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 |

Frequently
Asked Questions Published: September 15, 2023

Delve into our comprehensive FAQs section and uncover answers to your burning questions. We simplify complex topics, catering to investors seeking clarity, capital market operators seeking guidance, and businesses exploring market entry.

Frequently Asked Questions Page Featured Image
FAQs for Bonds Bonds are an important asset class for many investors. This FAQ section provides insights into bond basics, types of bonds, and risk considerations.
FAQs for CMOs Capital markets officers (CMOs) face a unique set of challenges and opportunities. This page addresses key questions related to capital raising, investor relations, and regulatory compliance.
FAQs for Investors As an investor, it's important to stay informed about your rights and responsibilities. This page provides answers to some of the most frequently asked questions (FAQs) about investing in securities.
FAQs for Mergers and Acquisitions (M&A) Mergers and Acquisitions transactions can be complex and have significant implications for businesses and investors. This FAQ section provides answers to common questions about M&A processes, valuation, and regulatory considerations.
FAQs on "Net Asset Value" and "Unit Price" Understand how Net Asset Value and Unit Price are determined, why they matter to investors, and the mechanics behind their calculation and reporting in Nigeria’s capital market
FAQs on Collective Investment Schemes Get clarity on Collective Investment Schemes—explore scheme types, registration requirements, investor protections, and the roles of managers and custodians in fund operations
FAQs on Differentiating Ponzi/Pyramid Schemes from Registered Fund/Portfolio Managers Protect yourself from fraudulent investment schemes. This FAQ section helps you understand the red flags of Ponzi/pyramid schemes and how to identify legitimate registered fund/portfolio managers.
FAQs on FinTechs Fintech innovations are transforming Nigeria’s financial landscape, but navigating the regulatory framework can be challenging. This FAQ section offers clear, concise answers to common questions on licensing requirements, regulatory sandboxes, compliance obligations, and investor protection under the Nigerian SEC’s oversight, helping fintech entrepreneurs, investors, and stakeholders stay informed and compliant.
FAQs on Procurement Process and Award of Contracts Learn about the SEC’s procurement and contract award framework, including eligibility criteria, tendering steps, evaluation processes, and compliance obligations for suppliers
FAQs on Sponsored Individuals Find answers on Sponsored Individuals—discover eligibility conditions, sponsorship responsibilities, registration steps, and ongoing compliance requirements for market participants
FAQs on Unclaimed Dividends Retrieval Process A procedural guide to reclaiming unclaimed dividends, detailing how to search for outstanding dividends, obtain and complete e-dividend forms, and submit them via your bank or registrar for direct payment
FAQs on the New Merger Regime Dive into the new merger regime—clarify filing requirements, approval processes, stakeholder notifications, and post-merger obligations under the updated regulatory framework
FAQs on the Regularization of Multiple Subscriptions Address multiple subscription irregularities—understand the steps to regularize duplicative share subscriptions, compliance protocols, penalties, and rectification procedures
FAQs on the SEC Regulatory Incubation (RI) Program Regulatory Incubation (RI) is opening new pathways for fintech firms to test and scale innovative capital-market solutions in Nigeria—but understanding eligibility, application steps, fees, timelines and exit conditions can be daunting. This FAQ demystifies the SEC’s Regulatory Incubation (RI) program by providing concise answers on its objectives, who qualifies, where and how to apply, associated costs, duration, and post-incubation obligations—helping fintech entrepreneurs and stakeholders navigate the process with confidence and clarity.
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