Guidelines

This listing includes SEC Guidelines, you can download them and read at your own convenient time.

File NameDownload
Securities (Internal Control Over Financial Reporting) Guidelines 2024Securities (Internal Controls over Financial Reporting) Guidelines 2024-GAZETTE COPY
Securities (Internal Controls over Financial Reporting) Guidelines 2024_CLEAN COPY
The Securities (Exchange Traded Funds) Guidelines, 2024The Securities (Exchange Traded Funds) Guidelines, 2024
Risk Management Guidelines for Capital Markets in ZambiaSEC Risk Management Guidelines for RISK MANAGEMENT GUIDELINES_Website Version
Risk Management for Capital Markets in Zambia Guidelines Gazette
Guideline No. 3 of 2020 - Regulatory Sandbox Framework for Capital MarketsRegulatory Sandbox Guidelines for Capital Markets_Final_OnlineSharing
The Securities (Commercial Papers) Guidelines, 2020The Securities (Commercial Papers) Guidelines, 2020
The Securities (Real Estate Investment Trust) Guidelines, 2020The Securities (Real Estate Investment Trust) Guidelines, 2020
The Securities (Green Bonds) Guidelines, 2019The Securities (Green Bonds) Guidelines, 2019
APPENDIX I - Eligible Green Project Categories as Per Green Bond Principles 2018
Guidelines on minimum fit proper requirements of competence and capability - Issued 17 December 2015Guidelines on minimum fit proper requirements of competence and capability - Issued 17 December 2015
GUIDELINE NO. 1 - Guidelines on Trustees and Custodians in a CIS established by TrustGUIDELINE NO. 1 - Guidelines on Trustees and Custodians in a CIS established by Trust
The Securities (Private Funds) Guidelines, (No. 1) 2022The Securities (Private Funds) Guidelines, (No. 1) 2022