Investor Presentaiton
Entities Suspended in 2013
SN
Name of
Company
Nature of Enforcement
action
Reason
1
Ecobank Plc
Suspension/fine
Date of
Suspension
Remarks
Failure to carry out the
Commission's directives
February 5, 2013
lifted
2
Gosord
Suspension
Securities Ltd
Breach of the ISA 2007
and SEC Rules and
Regulations
March 6, 2013
In force
3
Aims Asset
Suspension
Management
Non refund of sum
invested
April 16, 2013
lifted
Limited
4
Vision Trust and
Suspension
Investment
Unauthorised disposal of
shares
April 17, 2013
In force
Limited
5
Falcon
Suspension
Securities
Limited
Non rendition of quarterly June 3, 2013
reports
In force
6
Wizetrade
Suspension
Capital and
Unauthorised sale of
shares
June 5, 2013
In force
Asset
Management
Ltd
7
Monument
Suspension
Securities &
Finance Limited
Unauthorised sale of
shares.
March 4,2011
lifted
Annual Report and Accounts 2013 - Securities & Exchange Commission
110View entire presentation