The Nation had in December last year reported that the Exchange had amended its rules to enable it open a “blacklist” for recording corrupt persons. The amendment was approved by the Securities and Exchange Commission (SEC) in December, last year.
A list of persons on the high-profile “blacklist” obtained at the weekend indicated that no fewer than 33 persons have been blacklisted for various crimes ranging from unauthorised sale of clients’ shares, diversion of funds, professional misconduct and aiding and abetting criminal activities.
Those on the “blacklist” include stockbrokers, accountants, directors, compliance officers, registrar and information and technology specialists among others. A breakdown showed that stockbrokers were more than half of the blacklisted persons while compliance officers also featured prominently.
(The Nation)
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