Investor Presentaiton

(1) keep and maintain a register of foreign portfolio investments; (m) register and regulate securities depository companies, clearing and settlement companies, custodians of assets and securities, credit rating agencies and such other agencies and intermediaries; (n) protect the integrity of the securities market against all forms of abuses including insider dealing; (o) promote and register self regulatory organisations including securities exchanges, capital trade points and capital market trade associations to which it may delegate its powers; (p) review, approve and regulate mergers, acquisitions, takeovers and all forms of business combinations and affected transactions of all companies as defined in this Act; (q) authorise and regulate cross-border securities transactions; (r) call for information from and inspect, conduct inquiries and audit of securities exchanges, capital market operators, collective investment schemes and all other regulated entities; (s) promote investors' education and the training of all categories of intermediaries in the securities industry; (t) call for, or furnish to any person, such information as may be considered necessary by it for the efficient discharge of its functions; (u) levy fees, penalties and administrative costs of proceedings or other charges on any person in relation to in Nigeria in investments and securities business accordance with the provisions of this Act; (v) intervene in the management and control of capital market operators which it considers has failed, is failing or in crisis including entering into the premises and doing whatsoever the Commission deems necessary for the protection of investors; (w) enter and seal up the premises of persons illegally carrying on capital market operations; (x) in furtherance of its role of protecting the integrity of the securities market, seek judicial order to freeze the assets (including bank accounts) of any person whose assets were derived from the violation of this Act, or any securities law or regulation in Nigeria or other jurisdictions; (y) relate effectively with domestic and foreign regulators and supervisors of other financial institutions including entering into co-operative agreement on matters of common interest; (z) conduct research into all or any aspect of the securities industry; (aa) prevent fraudulent and unfair trade practices relating to the securities industry; (bb) disqualify persons considered unfit from being employed in any arm of the securities industry; (cc) advise the Minister on all matters relating to the securities industry; and (dd) perform such other functions and exercise such other powers not inconsistent with this Act as are necessary or expedient for giving full effect to the provisions of this Act. Annual Report and Accounts 2013 - Securities & Exchange Commission 7

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