Securities Industry (Over-the-Counter Market) Guidelines, 2022 🇬🇭

Ghana

Guidelines sec-gui-001-02-2023

Securities Industry (Over-the-Counter Market) Guidelines, 2022

Issued by Securities and Exchange Commission on 30 November 2022
Commenced on 30 November 2022
[This is the version of this document from 30 November 2022.]

In the exercise of the powers conferred on the Securities and Exchange Commission (hereinafter referred to as “ the SEC”) by Section 209 of the Securities Industry Act 2016 as amended by the Securities Industry (Amendment) Act, 2021 (Act 1062), these Guidelines are made this 30 day of November 2022.

1. SCOPE OF APPLICATION

(1) These Guidelines shall apply to the Over-The-Counter (OTC) market, prescribe the rights and obligations of issuers whose securities are admitted to trade, and the securities that qualify to be traded(2) Where the SEC agrees to waive the full application of any part of these Guidelines, it shall issue a directive to specify alternative measures in place of full application of the Guidelines.(3) Where any doubt arises about …

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