Securities and Exchange Commission (SEC) Ghana

About

The Securities and Exchange Commission (‘the Commission’) is established by the Securities Industry Act, 2016 (Act 929) (‘the Act’) with the object to regulate and promote the growth and development of an efficient, fair and transparent securities market in which investors and the integrity of the market are protected. Functions of the Commission To achieve the object of the commission, the commission shall: - Advise the Minister on matters relating to the securities industry. - Maintain surveillance over activities in securities to ensure orderly, fair, and equitable dealings in securities. - Register, licence, authorize or regulate, in accordance with the Act or the Regulations, the establishment of securities exchanges, commodities and futures exchanges, securities depositories, clearing and settlement institutions, credit rating agencies, fund managers, investment advisers, unit trusts, mutual funds, hedge funds, private equity funds, venture capital funds, nominees, underwriters, issuing houses, registrars, custodians, trustees, primary dealers, broker-dealers the mode of conduct of securities businesses, issues concerning Accounts and Audits, the establishment of fidelity funds and trading in securities. - Formulate principles for the guidance of the industry. - Monitor the solvency of licence holders and take measures to protect the interest of customers where the solvency of a licence holder is in doubt. The Securities and Exchange Commission (SEC) Ghana, is the apex regulatory body of the Securities Industry in Ghana. It is backed by and operates with the following legislation: Securities Industry Law (SIL) 1993, PNDCL 333 Securities Industry (Amendment) Act (SIA) 2000, Act 590 Legislative Instruments (LI 1695 and LI 1728) Securities Industry Act, 2016(Act 929) OUR VISION  To be a top-tier securities market regulator in Africa. OUR MISSION To regulate, innovate, and promote the growth and development of an efficient, fair and transparent securities market in which investors and the integrity of the market are protected. CORE VALUES  To fulfill its mandate and accomplish the above vision and mission, the Commission will be guided by its core values of: I. Team spirit – We shall all be guided by the vision and mission of the Commission and work continually to support each other in the achievement of the same. II. Respect – We shall exhibit the highest standards of decorum in all our interactions with our internal and external stakeholders. III. Innovation – We shall employ creative methods in achieving superior results in market development activities. IV. Commitment – We shall be devoted to upholding the highest standards of corporate governance, ethical work practices and the achievement of superior results. COMMUNICATION LINES Phone and Email Address Office Line: 0 302 768 970 – 2 Toll-Free: 0 800 100 065 info@sec.gov.gh LOCATION Headquarters (Accra) Street: 30, 3rd Circular Road. City: Cantonments, Accra. Country: Ghana.

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