ENSURING INVESTOR PROTECTION

SEC NewsSEC ISSUES A CODE AND THREE GUIDELINES FOR THE MARKET
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SEC ISSUES A CODE AND THREE GUIDELINES FOR THE MARKET

October 8, 2020

The Securities and Exchange Commission (hereinafter referred to as “SEC”) is the statutory body mandated by the Securities Industry Act 2016 (Act 929) to protect investors and the interest of the general investing public. The Act among other things specifically mandates SEC to “promote the orderly growth and development of an efficient, fair and transparent securities market in which investors and the integrity of the market are protected”…

In view of this, the SEC has issued a code and three guidelines for the market.

 

Corporate_Governance_Code Full document can be downloaded here

Licensing_Requirements_for_Market_Operators Full document can be downloaded here

Regulatory_Sandbox_Licensing_Guideline Full document can be downloaded here

Conduct_of_Business_Guidelines Full document can be downloaded here

Last modified: October 8, 2020

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