L.I. 1728

Securities and Exchange Commission Regulation, 2003 (as amended)

Published in Government Gazette on 21 March 2003
Assented to on 7 March 2003
Commenced on 4 June 2003
[This is the version of this document at 12 August 2021.]

[Amended by Securities and Exchange Commission (Amendment) Regulations, 2019 (Legislative Instrument 2397 of 2019) on 21 November 2019]

IN the exercise of the powers conferred on the Minister responsible for Finance by Section 141 of the Securities Industry Law 1993 (P.N.D.C.L. 333) and on the recommendation of the Securities and Exchange Commission, these Regulations are made this 7th day of March, 2003.

Part I – APPLICATION OF REGULATIONS, QUALIFICATION OF DIRECTORS AND OTHER EXECUTIVE OFFICERS

1. Application

These Regulations apply to stock exchanges, investment advisers, dealers including broker-dealers, trustees, share transfer agents, custodians, central securities depositories, providers of securities clearing and settlement services, registrars, underwrite…

Securities and Exchange Commission Regulation, 2003 (as amended) 🇬🇭

L.I. 1728

Securities and Exchange Commission Regulation, 2003 (as amended)

Part I – APPLICATION OF REGULATIONS, QUALIFICATION OF DIRECTORS AND OTHER EXECUTIVE OFFICERS

1. Application

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Securities and Exchange Commission Regulation, 2003 (as amended) 🇬🇭

L.I. 1728

Securities and Exchange Commission Regulation, 2003 (as amended)

Part I – APPLICATION OF REGULATIONS, QUALIFICATION OF DIRECTORS AND OTHER EXECUTIVE OFFICERS

1. Application

There's more. Sign in to continue reading