December 3, 2019/SEC

Sundry Amendments

1. Proposed Amendment of Rule 67- Rules on Sub-broker

2. Proposed Amendment to Rule 70: Records of Transactions with Clients

3. Proposed Amendment: creation of a new Rule 76 –Risk Management

Click to read full PDF copy of SEC Rules for Exposure (Nov 2019) 2nd batch

All comments and input should be forwarded by e-mail to the Secretariat, Rules Committee of the Commission, at rulescommittee@sec.gov.ng or by letter addressed to the Director-General, SEC, not later than two (2) weeks from date of publication.