What Information Should I Provide?

We can best respond to you if we receive accurate and complete information. Though you are not required to furnish any more information than you wish, critical information for us to completely evaluate your complaint or tip includes:

• Your name, mail and email addresses, and telephone numbers.

• The name, mail and email addresses, telephone numbers, and website address of any individual or company you mention in the complaint.

• If you have a complaint about a security or a securities salesperson, specific details of how, why, and when you were defrauded or encountered problems with investments or your broker or adviser.

You can send this information via email to sec@sec.gov.ng;

alternatively you can send a letter or call one of our offices.

What Happens After I Send Information to the SEC?

We thoroughly review and evaluate your information so that we may refer it to the appropriate SEC office. The Office of Enforcement & Compliance will handle certain general questions about the securities laws and complaints relating to financial professionals or a complainant's personal financial matters.

As an employee, am I obligated to report irregularities in my organisation?

The Investment and Securities Act 2007, Part 17 section 306 An employee of a capital market operator or public company shall have the right to disclose any information connected with the activities of his work place which tends to show one or more of the following-

(a) that a criminal offence has been, is being or is likely to be committed; (b) that a person has failed, is failing, is likely to fail or otherwise omitted to comply with any legal obligation to which he is subject; (c) that any disclosure tending to show any matter falling within (a) or (b) above has been, is being or is likely to be deliberately concealed.

(b) that a person has failed, is failing, is likely to fail or otherwise omitted to comply with any legal obligation to which he is subject;

(c) that any disclosure tending to show any matter falling within (a) or (b) above has been, is being or is likely to be deliberately concealed.

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This section also covers protection and compensation.