Regal Alliance Investments Limited operates in an industry that is strictly regulated. Our operations are subject to monitoring and regulation by two major statutory organisations, thus the Securities and Exchange Commission (SEC) and the National Pensions Regulatory Authority (NPRA)
The Securities and Exchange Commission (SEC)
The Securities and Exchange Commission was established by the Securities Industry Law 1993, PNDCL333 to execute the content of the law as well as the Securities and Exchange Regulations, 2003 L.I. 1728.
SEC provides an oversight role of monitoring, evaluating and regulating of all players within the investment advisory sector of Ghana. Its mission is to promote the growth and development of an efficient, fair and transparent securities market in which investors and market integrity are protected through the proactive implementation of the Securities Laws.
The National Pensions Regulatory Authority (NPRA)
The National Pensions Regulatory Authority (NPRA) was established by the National Pensions Act, 2008 Act 766 and authorised by same to monitor and regulate the activities of all the players in the management of pension funds in the country, thus, Trustees, Custodians and Managers.
