Tag: compliance offficers

NSE to Fine Dealing Members N0.5 million for Non-Registration of Compliance Officers

By Yakubu LAAH InvestAdvocate Lagos (INVESTADVOCATE)-The Nigerian Stock Exchange (NSE) said it will fine dealing member firms who are yet to register their compliant officers the sum of N500,000. This is contained in a circular with reference number BDR/CIR/01/MSI/09/13 by Olufemi Shobanjo, Head, Broker Dealer Regulation to dealing members on […]