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Home Markets Fixed Income Securities

SEC urges capital market operators to maintain professionalism

Advocates measures that will make the market more transparent and attractive investors.

Ubah Jeremiah Ifeanyi by Ubah Jeremiah Ifeanyi
February 11, 2022
in Securities
Reps raise alarm over N200 billion unclaimed dividends in 2020, the Capital market, Lamido Yuguda assumes duty as new DG of Security and Exchange Commission, SEC promise to intensify monitoring, surveillance of market operators

Director-General of the SEC, Lamido Yuguda

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The Securities and Exchange Commission (SEC) has reiterated the importance of capital market operators acting professionally and ethically in the performance of their responsibilities.

During a meeting with the Chartered Institute of Stockbrokers (CIS) in Abuja, SEC Director-General Lamido Yuguda remarked that this will make the market more transparent and attract investors.

While requesting CIS’s assistance in the commission’s efforts to strengthen professionalism and good behaviour in the capital market, Yuguda praised the institution for collaborating with the commission and expressed the hope that the partnership would continue.

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What the SEC boss is saying

Yuguda said, “CIS has supported the SEC in our various initiatives in the past and we hope that this support will continue with the various initiatives we plan to roll out this year.We, therefore, urge the CIS to encourage its members to uphold the Code of Ethics of the profession and as contained in the Rules and regulations of the commission.”

The SEC’s DG emphasized the necessity of a positive working relationship between the regulator and the Self-Regulatory Organizations (CROs), claiming that this would result in a more vibrant capital market.

According to him, both parties must work in harmony to produce a transparent capital market in which the parties complement and reinforce one another.

“With all the initiatives we are rolling out, we are all heading towards a more robust and vibrant market. Only recently, in a bid to curb poor market conduct, the SEC resolved to intensify monitoring and surveillance of the market and vowed to apply stiff sanctions to any operator who engages in unethical conduct,” he said.

Yuguda said because market operators are the face of the market, there is a need for them to prioritise the interest of investors and demonstrate high level of integrity in conducting their activities.


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Tags: Lamido YugudaSECSecurities and Exchange Commission
Ubah Jeremiah Ifeanyi

Ubah Jeremiah Ifeanyi

For further inquiries about this article, contact: Email: Ifeanyi.ubah@nairametrics.com Twitter: @ubahjc Linkedln: Jeremiah Ubah

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