Preamble

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 929) as amended with respect to professional services provided by legal practitioners/lawyers to SEC licensees (hereinafter referred to as “client firms”) and public companies operating within the Capital Market.

These guidelines shall apply to legal practitioners/lawyers of client firms and public companies operating within the Capital Market.

Invitation

The SEC therefore invites all stakeholders to submit their comments on the Final Draft Guidelines for Legal Practitioners/Lawyers Providing Professional Services In The Capital Market.