Circulars and Codes – Securities and Exchange Commission Ghana

Circulars

2021 - 2024

Circular on The Revised Fees and Charges of the SEC.

Fees and Charges Miscellaneous Provisions Regulations 2023

Circular To Market Operators On Regulatory Support To Mitigate Impact Of Government’s Domestic Debt Exchange Programme.

Circular To All Market Operators Regarding Developing, Maintaining And Testing Of Business Continuity Plans (BCP).

Circular To Market Operators To Comply With All Provisions On Advertisement In The Securities Industry.

Circular To All Market Operators Regarding Revenue Collections Account

Circular to Market Operators on the Submission of Licence Renewal Applications

2016 - 2020

CIRCULAR TO AUDITORS OF CAPITAL MARKET OPERATORS

CIRCULAR ON CONORAVIRUS (COVID-19)

CIRCULAR ON APPOINTMENT OF FUND MANAGERS FOR 18 COLLECTIVE INVESTMENT SCHEMES

Market Guidance Note – New Funds Undermanagement Reporting Format

2011 - 2015

Application for Mutual Fund Schemes

Circular on GSIA

Final Permissible Activities in Securities Market

2000 - 2010

Report of Compliance Officers – Regulation 25-7bc of Securities and Exchange Commission Regulations 2003 LI 17

RE: Redenomination of the Cedi

Notice on Initial Public Offer (IPO) and Rights Issues

Implementation of Regulations 14 and 22 of the Securities and Exchange Commission Regulations 2003 LI1728

Implementation of Regulation 33-3a of the Securities and Exchange Commission Regulations 2003 LI1728

Circulars on Appointment of Directors and Acquisition of Securities of Public Companies

Circular on Periodic Compliance Reports by Broker-Dealers and Investment Advisers

Circular on Periodic Compliance Reports by Broker-Dealers and Investment Advisers

Circular on Imposition and Publication of Sanctions

Appointment of Directors of Licensed Dealing Members Stockbrokers to Boards of Public Companies

Appointment by Issuers of Registrars in Respect of Initial Public Offers (IPOs) and Other Invitation to the Public

Appointment by Issuers of Independent Advisers in Respect of Initial Public Offers (IPOs) and Other Invitation to the Public

Acquisition of Securities of Public Companies by Licensed Dealing Members Broker-Dealers and Investment Adviser

Imposition and Publication of Sanctions

Periodic Compliance Reports By Broker-Dealers and Investment Advisers

Codes

2008 -2020

SEC Corporate Governance Code

SEC Code On Takeovers & Mergers January 2008

SEC Compliance Manual For Broker-Dealers, Investment Advisers & Representatives January 2008