Job Description
Job Purpose:
• To ensure that issuers of securities to the public conduct their activities in accordance with Securities Laws and Regulations.
Major Accountabilities & Responsibilities:
• Review securities Offer Documents in line with Securities Industry Act, 2016 (Act 929), Securities and Exchange Commission (SEC) Regulations 2003, L.I. 1728, and Companies Act 2019 (Act 992).
• Review applications for Takeovers and Mergers and other forms of business combinations in line with SEC Code on Takeovers and Mergers, 2008 and the Companies Act 2019 (Act 992).
• Monitor securities offerings and business combination activities and processes to ensure compliance with securities laws and regulations and produce project closure reports.
• Lead post-offer review of issuers of securities to ensure terms and conditions of the offers as contained in offer documents are complied with.
• Review Annual Financial Reports and Inter...