The Commission’s regulatory and supervisory authority is derived from legislation comprising various Acts and subsidiary legislation made thereunder consisting of Regulations, Rules and Guidelines.
Draft documents are circulated for industry-wide consultation and public review.
Submission of Comments
All comments, queries and/or concerns are welcomed and should be submitted to the noted addressees. You are however cautioned to observe the stated deadlines.
Draft Documents for Consultation
|Document For Review||Review Period||Comment|
|Securities Industry (Amendment) Bill, 2021
|Securities Industry (Amendment) Regulations, 2021; Draft Securities Industry (Financial Resources) Regulatory Rules, 2021; and Draft First Schedule to Securities Industry (Financial Resources) Regulatory Rules, 2021 – Form FRR.
|Draft Securities Industry (Fee) (Amendment) Rules, 2020||6/11/2020 – 20/11/2020|
|Draft Investment Funds (Fees) (Amendment) Rules, 2020||6/11/2020 – 20/11/2020|
|Draft Financial and Corporate Service Providers (Fees) Rules, 2020||6/11/2020 – 20/11/2020|
|Guidance Notes on Elective Professional Client (Rule 25) of the Contracts for Differences Rules, 2020||4/11/2020 – 13/11/2020|
|Digital Assets and Registered Exchanges Bill, 2020||14/10/2020 – 20/10/2020|
|Financial and Corporate Service Providers Bill 2020||14/10/2020 – 20/10/2020|