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Investor Presentaiton

MONITORING The Commission assesses the financial health of registered Capital Market Operators (CMOS) through supervision and review on a quarterly and annual basis. Post public offerings are also monitored to verify utilization of issue proceeds. In the same vein, Anti-Money Laundering & Countering Financing of Terrorism (AML/CFT) measures were deployed to ensure compliance with Nigeria's AML/CFT regime. Monitoring activities were carried out using both off-site and on-site supervisory tools. Off-Site Analysis The Off-Site inspection focused mainly on reviewing returns, identifying deficiencies and compiling key data on operations of CMOs. One Thousand Nine Hundred and Sixty Four (1,964) returns were received and reviewed as stated below: S/N Category 1. Audited Annual Returns from all CMOS 2. Broker-Dealers 3. Fund/Portfolio Managers 4. Issuing Houses* 5. Underwriters 6. Trustees Number of returns reviewed 313 688 246 356 52 78 Annual Report and Accounts 2013 - Securities & Exchange Commission 89 68
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