Directives and Guidelines – Securities and Exchange Commission Ghana

Directives

2026

Directive To Market Operators On Investments In Foreign Securities For The Collective Investment Schemes

2011 - 2025

Directive To All Market Operators On The Submission Of An Electronic Version Of The Directors And Principal Officer’s Personal Notes (E-DPN) On The Regulatory Compliance Portal.

Directive To All Investors And Market Operators On The Use Of The “Ghana Card” As The Only Identity Card For All Transactions In The Securities Market.

Directive To Market Operators On The Use Of Fair Value Through Other Comprehensive Income (“Mark-To-Market”) Valuation Method In The Valuation Of Clients’ Investment Assets /Securities And Portfolios In The Securities Sector.

Directive To All Investors And Market Operators On The Use Of The “Ghana Card” As The Only Identity Card For All Transactions In The Securities Market.

Directive On Adoption And Implementation Of Minimum Standardized Know Your Client Forms For All Capital Market Operators

Directive to Fund Managers on Interconnectedness Reporting

Directive On Trust Accounts

Directive On Payments To The Securities And Exchange Commission, Ghana

Directive To Fund Managers On Guaranteed Returns

Directive on Pending Cases

Directive on Guaranteed Returns/Fixed Term Investment

Directive to Securities Exchanges and Depositories on Changes To Market Infrastructure

Client placement records

Client placement records Data File

Returns on Clients Investments

2000 - 2010

Appointment of Directors of LDMs-Stockbrokers to Boards of Public Companies

Guidelines

2026

Guidelines On Market Levies For 2026

2021 - 2025

Securities Industry (Dealing In Government Of Ghana Securities) Guidelines 2025

Securities Industry (Underwriter) Guidelines 2025

Securities Industry (Financial Resources) Guidelines 2025

Guidelines On Market Levies For 2025

Guidelines For Issuing Instruments Under Section 209 Of The Securities Industry Act 2016 (Act 929) As Amended 2024

Crowdfunding Guidelines 2024

Green Bonds Guidelines 2024

Guidelines On Market Levies For 2023

AML/CFT/CPF Guidelines 2023

Securities Industry (Registration of Securities) Guidelines 2022

Securities Industry (Over-The-Counter Market) Guidelines 2022

Securities Industry (Note Trustees) Guidelines 2022

Securities Industry (Issuing House) Guidelines 2022

Securities Industry (Self-Regulatory Organizations) Guidelines 2022

Investment Guidelines for Fund Managers

Credit Rating Agency Guidelines

2016 -2020

Security Industry (NOMINEE) Guidelines

Licensing_Requirements_for_Market_Operators

Regulatory_Sandbox_Licensing_Guideline

Conduct_of_Business_Guidelines

Guidelines on holding of electronic or virtual annual general meetings by issuers and other capital market operators

Guidelines on Market Levies for 2020

Guidelines on Reporting Accountants 2020

Guidelines on Auditors 2020

Guidelines on REITS 2019

Guidelines on Warehouse Receipts 2019

Guidelines on Commodity Exchanges 2019

Guidelines on Market Levies for 2019

Guidelines Private Funds April 2018

Guidelines on Market Levies for 2018

Guidelines Market Levies Final

Mandatory Disclosure Items for Public Companies

2011- 2015

Registrar Guidelines Final

Guidance for Investments in Foreign Jurisdictions by Managers of CIS

Guidance Notes on Dismissed Employees 2012

Guidelines for Investment in Commercial Paper

2000 -2010

Market Guidance for the Issue of Securities

Guidance on the Issuance of Licences to Representatives of Licensees 2010

Notice of Initial Public Offers and Rights Issues

Guidance on Unclaimed Dividends

Unclassified

Guidance on Appointment By Issuers of Independent Agencies (IPO)

Guidance on Appointment By Issuers of Independent Registrars (IPO)