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  The Securities and Exchange Commission (SEC) has warned Nigerians engaging in investment against the proliferation of unregistered online investment and trading platforms facilitating access to trading in securities listed in foreign markets. SEC issued the warning in a circular dated April 8 and addressed to Capital Market Operators by the management of the commission in Abuja, the nation’s capital. “The attention of the SEC has been drawn to the existence of several providers of online investment and trading platforms which purportedly facilitate direct access of the investing public...

Nigerian Stock Exchange becomes public company after 11 years in the works The shift makes the NSE the 57th exchange in the world to embrace such a transformation since Sweden’s Stockholm Stock Exchange piloted the move in 1993. The Nigerian Stock Exchange (NSE) will henceforth run as a public company limited by shares, rather than a private company limited by guarantee of owners or members after consummating a demutualisation process that spanned The shift makes the NSE the 57th exchange in the world to embrace such a transformation since Sweden’s Stockholm Stock Exchange piloted the m...

Israel Securities Authority Granted The Right To Open “Alternative Stock Exchange Date 05/03/2021 For the first time in history, the Israel Securities Authority, a leader in the regulatory space, has been granted the right to open an “alternative stock exchange.” The Authority (the country’s securities regulator) has been given permission to allow DLT (Distributed Ledger Technology) Securities Exchanges to operate from Israel. What this means, in effect, is the creation of a second stock exchange, which could establish new digital and other more sophisticated trading platforms...

Enhanced Focus on Climate-Related Risks FOR IMMEDIATE RELEASE Washington D.C., March 3, 2021 — The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers (fiduciary duty), and attendant risks relating to FinTech in its initiatives and examinations. The Division publishes its examination priorities annually to provide insights into its risk-based ap...

SEC Division Of Examinations Announces 2021 Examination Priorities - Enhanced Focus On Climate-Related Risks Date 03/03/2021 The Securities and Exchange Commission’s Division of Examinations today announced its 2021 examination priorities, including a greater focus on climate-related risks. The Division will also focus on conflicts of interest for brokers (Regulation Best Interest) and investment advisers (fiduciary duty), and attendant risks relating to FinTech in its initiatives and examinations. The Division publishes its examination priorities annually to provide insights into its ...