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Circular To All Brokers/Dealers

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Rule 56 (1&2) (c) of the Rules and Regulations of the Securities and Exchange Commission provides that:

Registered brokers/dealers shall disclose to the Commission any dealings in a Security valued at a minimum of 500,000 units executed in a single deal or in multiple deals on the same day on behalf of his clients or on his own account not later than 24 hours after such activity”.

In line with the above Rule, the Commission wishes to request all Capital Market Operators registered as Brokers, Dealers or Broker Dealers to henceforth comply with the Rule and forward the required returns as in the template below. The returns shall be sent to the following email address in excel csv template.

Email

[email protected]  

Template

Broker

CHNumber

Investor
Name

Permanent
Address

Email
Address

Phone
Number

Transaction
Date

Security
Symbol

Transaction
Type

Ticket
Number

Volume

Unit
Price

Total Price

The implementation of this template will take effect from January 2, 2021.

Signed

Management

                                 

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Regulator Information

Abbreviation: SEC NG
Jurisdiction: Nigeria

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