Investor Presentaiton
Issuing Houses
Two hundred and twenty four (224) returns were received from seventy two (72) Issuing Houses as at the end of the third
quarter 2013. Analysis showed that only eighteen (18) participated in Offers in 2013.
Underwriters
Fifty two (52) returns were received from Underwriters as at September, 2013.. Review of the returns revealed that only six (6)
firms participated in underwriting Offers in 2013.
Investment Adviser
One hundred and fifty eight (158) Investment Advisers' returns were received and analyzed in 2013.
On-site Inspections
The breakdown of the on-site inspections conducted in 2013 is shown below:
Target Inspections
Target Inspections were carried out on three (3)) that were found to have committed various market infractions.
Annual Report and Accounts 2013 - Securities & Exchange Commission
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