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June 20, 2017

CIRCULAR APPOINTMENT OF FUND MANAGERS FOR 18 COLLECTIVE INVESTMENT SCHEMES

The Securities and Exchange Commission (hereinafter referred to as “SEC”) is the statutory body mandated by the Securities Industry Act 2016 (Act 929) to promote the orderly growth and development…

GUIDELINES ON THE REGISTRATION OF AUDITORS OF PUBLIC COMPANIES AND SEC LICENSEES

These Guidelines are issued by the Securities and Exchange Commission (hereinafter referred to as “the SEC”) pursuant to sections 3, 146 and 209 of the Securities Industry Act, 2016 (Act…

GUIDELINES ON THE REGISTRATION OF ACCOUNTANTS REPORTING FOR PUBLIC COMPANIES

These Guidelines are issued by the Securities and Exchange Commission (hereinafter referred to as “the SEC”) pursuant to sections 3, 146 and 209 of the Securities Industry Act, 2016 (Act…

PUBLIC NOTICE TO ALL DIRECTORS OF MUTUAL FUNDS AND TRUSTEES OF UNIT TRUSTS MANAGED BY FUND MANAGEMENT COMPANIES WHOSE LICENCES HAVE BEEN REVOKED

In accordance with section 88 (6) of the Securities Industry Act, 2019 (Act 929), Boards of Directors (for Mutual Funds) and Trustees (for Unit Trusts) of the 18 Collective Investment…

PUBLIC NOTICE ON EXTENSION OF DEADLINE FOR SUBMISSION OF INVESTMENT CLAIMS WITH FUND MANAGEMENT COMPANIES WHOSE LICENCES HAVE BEEN REVOKED

Pursuant to Section 122 (2) of the Securities Industry Act, 2016 (Act 929), the Securities and Exchange Commission (SEC) on 8th November 2019 revoked the licences of 53 Fund Management…

PUBLIC NOTICE ON DEADLINE FOR ON-GOING SUBMISSION OF INVESTMENT CLAIMS WITH FUND MANAGEMENT COMPANIES WHOSE LICENCES HAVE BEEN REVOKED

Pursuant to Section 122 (2) of the Securities Industry Act, 2016 (Act 929), the Securities and Exchange Commission (SEC) on 8th November 2019 revoked the licences of 53 Fund Management…

PUBLIC NOTICE ON MUTUAL FUNDS AND UNIT TRUSTS MANAGED BY FUND MANAGEMENT COMPANIES WHOSE LICENCES HAVE BEEN REVOKED

Pursuant to Section 122 (2) of the Securities Industry Act, 2016 (Act 929), the Securities and Exchange Commission (SEC) on 8th November 2019 revoked the licences of 53 Fund Management…

UPDATE ON PUBLIC NOTICE ON VALIDATION OF INVESTMENT CLAIMS WITH THE 53 FUND MANAGEMENT COMPANIES WHOSE LICENCES HAVE BEEN REVOKED

Pursuant to Section 122 (2) of the Securities Industry Act, 2016 (Act 929), the Securities and Exchange Commission (SEC) on 8th November 2019 revoked the licences of 53 Fund Management…

PUBLIC NOTICE ON VALIDATION OF INVESTMENT CLAIMS AGAINST THE 53 FUND MANAGEMENT COMPANIES WHOSE LICENCES HAVE BEEN REVOKED

Pursuant to Section 122 (2) of the Securities Industry Act, 2016 (Act 929), the Securities and Exchange Commission (SEC) on 8th November 2019 revoked the licences of 53 Fund Management…

FAQs on SEC Revocation of FM Licences

Frequently Asked Questions (FAQs) on Revocation of Licences of Fund Managers by the Securities & Exchange Commission 1. What has called for this exercise/action by the Securities & Exchange Commission…

Last modified: August 10, 2017

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