[XNSA]>> CIRCULAR TO TRADING LICENSE HOLDERS | InfoWARE Finance
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[XNSA]>> CIRCULAR TO TRADING LICENSE HOLDERS
(Source: NSE, Date: 09-Oct-2025)
CIRCULAR TO TRADING LICENSE HOLDERS OCTOBER 09, 2025. NGXREG/MR/CIR03/25/10/09 RULE 11:14 ? THIRD-PARTY TRANSACTIONS (SALES PROCEEDS AND TRANSFER OF CLIENT BALANCE IN THE NAME OF THIRD PARTY). Trading License Holders are hereby reminded of their obligation to ensure strict compliance with the provisions of Rule 11:14-Third-Party Transactions (Sales Proceeds and Transfer of Client Balance in the Name of Third Party), Rulebook of The Exchange, 2015 (Dealing Members? Rules), as amended, which provide as follows: ?Under no circumstance shall a Trading License Holder deliver the proceeds of sale of a client?s securities or transfer a portion or all of the client?s available balance to a third party, Any Trading License Holder that contravenes the above stated rule shall be liable to a minimum fine of Two Hundred and Fifty Thousand Naira (N250,000) and/or suspension from trading on the floors of The Exchange for a period to be determined by The Exchange.? Note that non-compliance with the applicable Rules will attract appropriate regulatory sanctions. For further enquiries on the above, contact the Market Regulation Department via Marketreg@ngxgroup.com Please be guided accordingly. Chinedu Akamaka Head, Market Regulation Department
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