Browse Tag
SEC
8 Articles
Daily News
In Cabotage Compliance Crackdown, NIMASA Detains Four Vessels
World Bank Debars Three Nigerian Firms over Alleged Procurement Fraud
NCS Inaugurates WCO AML/CFT Mentoring Mission to Strengthen Financial Compliance
NIS Flags Human Trafficking, Travel Fraud Risks, Calls for Stronger Migration Compliance
28
Sep
Nigerian Companies Seek SEC Clarity on New IFRS Sustainability Reporting Deadline
Nigerian public companies and significant public-interest capital market...
25
Aug
Nigeria Rewrites the Compliance Rulebook for BDCs and Virtual Assets
Analysis Nigeria’s financial regulatory landscape is becoming...
20
Aug
Nigeria SEC Warns Weak ESG Disclosure Could Shut African Businesses Out of Global Capital
• SEC Director-General Emomotimi Agama says sustainability disclosure is...
15
Aug
SEC Delays Crypto Rulebook as Washington Waits on Clarity Act
The US Securities and Exchange Commission has abruptly pulled a meeting that...
28
Jul
SEC Fines Simplify $400,000 Over ETF Transaction Failures, Reinforcing Expectations Around Trade Compliance
The enforcement action shows that operational lapses in fund trading can...
28
Jul
Private Equity Founder Pleads Guilty in $50 Million Ponzi Scheme, Renewing Focus on Investment Compliance
The case underscores the importance of investor due diligence, governance, and...
13
Jul
Beyond the Fine: What the Merrill Lynch SAR Failure Means for Compliance Officers in Nigeria and Africa
The SEC’s $7.5 million penalty against Merrill Lynch offers valuable...
12
Jul
SEC Fines Merrill Lynch $7.5 Million for SAR Reporting Failures
The U.S. Securities and Exchange Commission (SEC) has imposed a $7.5 million...
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