
Securities and Exchange Commission Nigeria
Major Amendments to the Rules and Regulations of the Commission - as at April 22, 2021
- Author
- Securities and Exchange Commission Nigeria
- Pages
- 9 pages
This document sets out major amendments to SEC Nigeria rules governing sub-brokers, including registration requirements for corporate and individual sub-brokers, additional requirements for sub-brokers serving multiple brokers through digital platforms, technology risk controls, client suitability and risk disclosures, contractual protections, and expanded records of client…