Nigerian financial sector compliance directory — Acts, Regulations, Guidelines and Circulars from PenCom, CBN, NAICOM, SEC and NDPC.
Introduces guidelines for social bonds, including eligibility criteria, disclosure requirements, and roles/responsibilities of market participants in the issuance process.
Introduces rules on robo-advisory services and trade repositories, plus a substantial amendment on the fairness review of mergers, takeovers and acquisitions.
Sandbox-style pathway allowing fintechs offering capital market services to operate under SEC observation ahead of full registration; accompanied by rules for digital/robo-advisory…
Refines and strengthens the registration process for market operators under Rule 45 (registerable functions).
Detailed operational guidelines for the Regulatory Incubation pathway: pre-qualification requirements, incubation operations, restrictions (up to 100 clients, one-year duration), t…
Amends Rule 67 (sub-brokers) and Rule 70 (records of transactions with clients), and introduces new Rule 76.
Introduces rules on warehousing and collateral management; sundry amendments reinstate individual sub-broker registration (Rule 19), address fidelity bonds (Rule 27), and set minim…
Enables MSMEs to raise capital through registered crowdfunding portals and intermediaries, with issuer eligibility, fundraising caps, disclosure requirements and investor limits.
Introduces rules covering fund management products, nominee companies, and general rules for collective investment schemes; amendments touch trust deeds, CIS, and disclosure requir…
Amendments covering legal practitioners, removal from listing, additional requirements for sukuk programs, and registration requirements for incidental functions.
Introduces rules on regulation of derivatives trading, central counterparties (CCPs), and registration of fixed income existing securities; major amendments to CIS rules; sundry am…
Introduces rules on specialised funds/schemes, registration requirements for commodity brokers, and regulation of capital market holding companies (CMHCs); amendments touch sponsor…
This vault is a monitoring aid, not legal advice; always confirm against the regulator's official publication.
