Launch of the SEC's redesigned website | Enroll Now: Training Opportunities at The Nigerian Capital Market Institute (NCMI)! | In a major boost to capital market regulation in Nigeria, President Ahmed Bola Tinubu GCFR, has assented to the Investments and Securities Bill (ISB) 2025, which repeals the Investments and Securities Act No. 29 of 2007 | Launch of the SEC's redesigned website | Enroll Now: Training Opportunities at The Nigerian Capital Market Institute (NCMI)! | In a major boost to capital market regulation in Nigeria, President Ahmed Bola Tinubu GCFR, has assented to the Investments and Securities Bill (ISB) 2025, which repeals the Investments and Securities Act No. 29 of 2007 |

Checklists

Ensure you're on the right track with our helpful checklists. These tools assist you in staying organized and prepared, whether you're an investor planning your portfolio, a capital market operator managing submissions, or a business contemplating market listing.

Checklists
Individual Registration Requirements for CMO 'Enter'
Individual Registration Requirements for Each CMO A comprehensive checklist to guide each capital market operator through their individual registration requirements—covering application steps, eligibility criteria, required documentation, governance and compliance controls, renewal and amendment processes, and post-approval obligations—with clarity and confidence.
Accelerated Regulatory Incubation Program (ARIP) Checklist for VASP Onboarding A comprehensive checklist to guide Virtual Asset Service Providers (VASPs) through the ARIP registration process—covering application steps, eligibility criteria, operational requirements, controls, transition to full registration, and post-approval obligations—with clarity and confidence.
Important Notes for Regulatory Incubation Applications (Checklist) A comprehensive checklist to guide fintech innovators through the SEC’s Regulatory Incubation application process—covering initial assessments, documentation requirements, financial evidence, business model schematics, implementation plans, risk management frameworks, and transition strategies—with clarity and confidence.
Corporate Updates Checklist for CMOs A comprehensive checklist to guide CMOs through essential corporate updates—address and logo changes, name changes, director appointments, additional function registration, and shareholding adjustments—with clarity and confidence.
Withdrawal of CMO and Function Checklist A comprehensive checklist to guide CMOs through the withdrawal of their registration or functions—covering application steps, client and regulatory obligations, successor arrangements and post-no-objection requirements—with clarity and confidence.
Checklist for Sponsored Individuals A comprehensive checklist to navigate the sponsored individuals lifecycle—registration, status changes, transfers, and resignation—with clarity and confidence.
CMOs Application Requirements, Fees and Implementation Time-Frame Navigating the Path to Becoming a Capital Market Operator
Registration of Securities Checklist Navigate the Securities Registration Process with Clarity This comprehensive checklist provides a detailed guide to registering securities with the Nigerian Securities and Exchange Commission (SEC). Find clear explanations of fees, timelines, approval processes, requirements, and relevant ISA regulations for each service. Whether you're a seasoned issuer or a first-time applicant, this resource will empower you to navigate the registration process with ease
Registration of IPOs (CIS, REIT, ETF), PE/VC, Infrastructure and Specialized Funds Empowering Capital Formation: A Guide to Registering IPOs and Diverse Investment Funds
Requirements for Filing of Returns by Capital Market Operators Ensuring Market Transparency and Compliance: A Guide to Return Filing for Capital Market Operators
Regulatory Returns Filing Calendar For Public Companies Ensuring Timely Compliance: A Comprehensive Guide to Regulatory Return Filing for Public Companies
Minimum Capital Requirement For CMOs This page serves as an amendment to Schedule I of the Rules and Regulations, dated December 5, 2013
Mergers and Acquisitions Checklist A comprehensive checklist to guide businesses and advisers through the mergers and acquisitions process—covering strategic planning and target identification, due diligence requirements, regulatory approvals and filings, valuation and transaction structuring, documentation and closing steps, and post-merger integration—with clarity and confidence.
Cross-Reference Checklist Review of Bond/Fixed Income Applications This page offers comprehensive guides for issuers seeking to list bonds or other fixed-income securities on the Nigeria Exchange Group (NGX). Find checklists for all required documentation and information, as well as a step-by-step guide to the application process.
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