The Investment Management Department is responsible for all fund management companies that take funds for the purposes of management, the operations of custodians and trustees of Collective Investment Schemes and pension funds.

The Corporate Finance Department oversees all activities involved in the issuance of new securities, from the initial application to post-offer activities. A major component of this involves monitoring the disclosure of material information to the investing public by issuers of listed securities. The department’s review process extends to ascertain if disclosures made by issuers conform to the disclosure requirements and standards imposed by law.

The Risk Management Department is responsible for the overall risk assessment, identification, and management of both the SEC and the capital market, as well as all matters pertaining to the enforcement of the anti-money laundering and anti-terrorist financing laws and regulations governing the securities industry. The department is also responsible for Business Continuity Management for the SEC and the market.

The Finance & Treasury Department is generally responsible for the financial administration and management of the finances and funds of the Commission.

The Information Technology Unit is responsible for supporting the SEC and its staff in all aspects of Information Technology including IT Server Management, Network Management, Database Management, IT Security Management, Visualization Solutions, Application Development and others.

The Legal Services & Investor Protection Department provides general legal advice to the Commission and investigates breaches of the Securities Laws. It is the primary department through which the Commission carries out its role as regulator, charged with the implementation of the Law.

The Research, Monitoring & Development Department is responsible for advising the SEC and its staff on all policy issues associated with the SEC’s regulatory and market development activities, formulating and implementing market development, and collaborating with other departments and units to implement investor education for the SEC.

The Human Resources and Administration Department is responsible for ensuring the smooth functioning and the provision and maintenance of the appropriate support services to all departments of the SEC.

The Department is also responsible for the continuous capacity building and motivation of employees of the SEC.

The International Relations Unit is the arm of the SEC that links the SEC to the global capital market and maintains its relationship with other Securities Regulators, the global standard setter in securities regulations; the International Organization of Securities Commissions (IOSCO) and other international regulatory bodies. The Secretary of the SEC oversees this Unit and provides secretarial services to the SEC and the Board of the SEC. The Board Secretary is also the Information Officer of the SEC.

The Communications and External Affairs Unit is responsible for developing and implementing holistic communications programs aimed at positioning the SEC as a top-tier securities market regulator in Africa.

The Communications and External Affairs Unit also provides information and education on the securities market to the SEC’s stakeholders including but not limited to investing and the general public, market operators, media, peer regulators, partners, and others.

Furthermore, the Unit is also responsible for maintaining sustainable and mutually beneficial relations in the furtherance of the SEC’s mandate.

The Project Management Unit (PMU) oversees the planning, execution and monitoring of all SEC projects, ensuring cross-departmental coordination and timely delivery. It develops project methodologies, plans and budgets, conducts feasibility and risk analyses, and manages project teams while tracking performance. The PMU also mobilises resources, engages external partners and maintains the Commission’s organisational process assets (OPAs) and project-management standards