Regulation & Compliance

Securities Registration

Definition

What is Securities Registration?

The formal approval or filing process required before certain securities may be publicly offered.

Example in practice

The issuer completes registration before marketing the fund.

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A legal or ethical duty to act loyally and carefully in another person's best interest.

The requirement or process of determining whether an investment fits a client's circumstances and objectives.

A duty to place the client's interests ahead of the provider's when making a recommendation.

Nigeria's principal securities exchange, where listed shares, bonds, ETFs, and other instruments trade.

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