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Securities and Exchange Commission Nigeria

Major Amendments to the Rules and Regulations of the Commission - as at April 22, 2021

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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…

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