The purpose of the Committee is to interpret the code of ethics, to consider and recommend appropriate actions on inquiries of the GC concerning complaints, breaches and enforcement and recommend amendments as it deems necessary. To this end the Committee educates members on the code and provides guidance for the industry as it relates to professional conduct and standards.
Objectives
The EPSC is accountable to the Governing Council and has responsibility to advise Council on matters relating to and affecting the Securities Industry/ Capital Market in Ghana.
Objectives
a. To manage, advice and promote the collective interest of the Broker-Dealer community in Ghana.
b. To advice Council on matters relating to and affecting, the stock and bond markets in Ghana and the Broker-Dealer community.
Responsibilities
a. To recommend policies to promote the development of the stock market and related products and services.
b. To assist in resolution of disputes arising from the business activities of Broker-Dealers when requested by any of the parties concerned.
c. To maintain and manage disciplinary records of the executives and employees of members.
Membership
Kofi Adusei Koduah-Sarpong Sarpong Capital Markets Limited
Winston Nelson Jnr. Amber Securities Limited
Armah Akotey Databank Brokerage Limited
Fouad Idun-Ogde SBG Securities Ghana Limited
Ben Ackah UMB Stockbrokers Limited
Edem Dewotor EDC Stockbrokers Limited
Enyonam Dagadu Amber Securities Limited
Randy Ackah IC Securities (Gh) Limited
Seth Ofori SIC Brokerage Limited
Objectives
To advise the Governing Council on matters relating to regulatory and legislative matters that may impact on the Industry.
Responsibilities
a. Review all regulatory changes that affect the industry
b. Make policy recommendations to the Regulator and other key parties in order to promote development in the industry
c. Recommend amendments or make new proposals altogether d. Provide guidance for the industry as it relates to the direction and strategy.
Membership
Kojo Addae–Mensah Databank Financial Services Limited
Enyonam Dagadu Amber Securities Limited
Richard Agala Guarantee Trust Bank Ghana Limited
Madeline Nettey Republic Investments (Gh.) Limited
Akwesi Adu-Boahene Fidelity Securities
Emmanuel Owusu EDC Investments Limited
Kofi Adusei Koduah-Sarpong Sarpong Capital Markets Limited
Marian M. Dsane GSIA Secretariat
Responsibilities
a. To review the financial reporting templates of SEC and recommend appropriate changes
b. Advice governing council on permissible investment advisory services and recommend changes if any c. To assist with investor education across the country and capacity building of industry members
d. To promote integrity in the investment advisory industry by fostering adherence to global standards e. To bolster the notion of self- regulation
Membership
Kisseih Antonio Sentinel Asset Management Limited
Kwabena Boamah Stanbic Investment Management Services Limited
Eugenia Basheer Tesah Capital Limited
Nana Sarfo Bora Capital Advisors Limited
Helena Kemetse Databank Asset Management Services Limited
Cecelia Hesse Temple Investments Limited
Henry Sunkwa-Mills InvestCorp Asset Management Limited
Marian Maanaa Dsane GSIA Secretariat
Responsibilities
a. To review existing standards of training for industry players annually and make recommendations.
b. To identify relevant training courses by external bodies and arrange for members to attend.
c. To ensure that training courses are organized across the country to give equal access to all members. d. To organize investor education programs e. To collaborate with the Ghana Education Services to develop training programs for inclusion in the curriculum of JHS, SHS and Tertiary Institution in the country.
Membership
Eugenia Basheer Tesah Tesah Capital Limited
Gillian Hammah Databank Financial Services Limited
Faustina Coleman-Forson Central Securities Depository
Diana Okine Ghana Stock Exchange
George Allotey Stanbic Investment Management Services Limited
Edmund Brite Oppong Standard Chartered Bank, Custody
Emmanuel Cudjoe Black Star Brokerage Limited
Marian M. Dsane GSIA Secretariat
Responsibilities
a. To advise governing council on permissible services for custodians and trustees and recommend changes if any
b. To promote integrity of the business of custodians and trustees by fostering adherence to ethical and professional standards
c. To recommend policies to promote the development of the custodial and trustee services.
Membership
Beverly Frimpong Standard Chartered Bank, Custody
Akua Sackey Acquah Stanbic Bank Ghana Limited
Elias Dey Fidelity Bank Ghana Limited
William Sowah Stanbic Bank Ghana Limited
Alvin Aba-Foli Zenith Bank Ghana Limited
Richard Agala Guaranty Trust Bank Ghana
