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.
The EPSC is accountable to the Governing Council and has responsibility to advice Council on matters relating to and affecting the Securities Industry/ Capital Market in Ghana.
i. Ekow Afedzie – GSE (Chair)
ii. Yao Abalo – CSD Committee is being reconstituted to include external parties.
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.
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.
i. Winston Nelson Jnr. – African Alliance (Chair)
ii. Armah Akotey – Databank (Vice-Chair)
iii. Fouad Idun-Ogde – SBG Securities
iv. Ben Ackah – UMB
v. Edem Dewotor – EDC Stockbrokers
vi. Enyonam Dagadu – African Alliance
vii. Randy Ackah- IC Securities
To advise the Governing Council on matters relating to regulatory and legislative matters that may impact on the Industry.
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.
i. Kojo Addae – Mensah – Databank (Chair)
ii. Enyonam Dagadu – African Alliance (Vice Chair)
iii. Emmanuel Quarshie – Wealth Management
iv. Nana Sarfo – Bora Capital
v. Richard Agala – GT Bank
vi. Madeleine Nettey – Republic Securities
vii. Mathew Boadu Adjei – Oasis Capital
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
i. Kisseih Antonio – (Chair)
ii. Elsie Enninful Adu – Parkstone Capital
iii. Nana Sarfo – Bora Capital
iv. Edem Harrison – Frontline Advisors
v. Okwei Dowuona – SEM Capital
vi. Ruth Atobrah – NDK
vii. Dorothy Ametefe – First Atlantic Asset Mgt.
viii. Alex Asiedu - Stanlib
ix. Anastacia Arko - (Secretary)
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.
i. Raziel Obeng-Okon, PhD – CIDAN Investments Limited (Chair)
ii. Gillian Hammah – Databank (Vice- Chair)
iii. Ben Ackah – UMB Stockbrokers
iv. Seth Aryitey - CDH Asset Management Ltd
v. Anita Nadia Quarshie – CAL Asset Management
vi. Gordon Doe – Cornerstone Capital Advisors
vii. Marian M. Dsane – GSIA Secretariat
viii. Faustina Coleman-Forson - Central Securities Depository
ix. Diana Okine - Ghana Stock Exchange
a. Advice 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.
i. Yvonne Oppong Ayisi - First Atlantic Bank (Chair)
ii. Elias Dey – Fidelity Bank
iii. Beverly Frimpong – Stanchart Custody
iv. Akua Sackey Acquah – Stanbic
v. Yaw Boamah – GCB vi. Nan Opoku – Cal Bank
vii. Richard Agala – GT Bank