Compliance & Disclosures

Our Commitment to Transparency, Integrity,
and Full Regulatory Compliance.

As a licensed capital market operator regulated by the Securities and Exchange Commission (SEC) Nigeria, NCDF Securities operates under the highest standards of regulatory compliance, ethical governance, and public market transparency. 
This section outlines our key policies, disclosures, and legal obligations governing our institutional platform.

Regulatory License & Status

Forms for corporate issuers, public sector bodies, and PPP transaction participants.

License Authority: Securities & Exchange Commission (SEC Nigeria)
License Type: Issuing House / Financial Adviser
Registered Name: NCDF Securities Ltd
Company RC Number: 7871397
Scope of Authorization: Institutional Securities Operations (Non-Retail)

Risk Disclosures

All securities transactions carry varying levels of market, credit, liquidity, and regulatory risks.
NCDF Securities performs appropriate due diligence, but ultimate investment decisions remain with qualified institutional clients.
No guarantees of returns or principal protection are implied on any capital markets instrument.

Conflicts of Interest Policy

NCDF Securities maintains strict controls to avoid conflicts between advisory roles, issuer engagements, and investment decisions.
All potential conflicts are disclosed to institutional clients and regulators as required.

Anti-Money Laundering (AML) & Counter Terrorism Financing (CFT) Policy

Full AML/CFT protocols are implemented across all transactions, clients, and issuers.
KYC processes apply to all institutional clients.
Suspicious transactions are reported immediately to relevant authorities.

Data Protection & Privacy Compliance (NDPR)

NCDF Securities is fully compliant with Nigeria Data Protection Regulation (NDPR).
All institutional data is securely stored, encrypted, and access-controlled.
Client data is never shared or sold to third parties.

Professional Conduct Standards

All NCDF Securities personnel are bound by professional ethics, SEC rules, and internal codes of conduct.
Board-level compliance committees supervise adherence to legal and ethical obligations.

Whistleblower Protection

Any unethical conduct, regulatory breach, or misconduct may be reported through NCDF Securities’ secure whistleblower portal.
Full confidentiality and non-retaliation protections apply.

Contact Compliance Office

Chief Compliance Officer NCDF Securities Ltd

Join Us in Building the Future

At NCDF Securities, we believe that finance should serve development.
We bridge the gap between visionary projects and capital, with innovation, trust, and long-term value creation.