CAPITAL MARKET OPERATORS PENALISED FOR AML/CFT VIOLATIONS IN 2008
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1 CAPITAL MARKET OPERATORS PENALISED FOR AML/CFT VIOLATIONS IN 2008 S/N HOUSES TOTAL PENALTY CHARGED (N) 1 LEAD CAPITAL 1, 080, MAININVEST ASSET MGT LTD 1, 080, MBC SECURITIES LTD 240, PENINSULA ASSET MGT 1,320, ALANGRANGE SEC. LTD 1, 200, ATLAS PORTFOLIO LTD 1, 000, FITTCO SECURITIES LTD 1,200, CAPITAL EXPRESS LTD 1, 200, CAPITAL TRUST BROKERS 1, 080, APT SECURITIES LTD 1, 200, CENTURY SEC. LTD 1, 200, FORTHRIGHT SEC. LTD 960, FOUNTAIN SEC.LTD 1, 200, MUTUAL ALLIANCE INV & SEC. LTD 960, OASIS CAPITAL LTD 960, PILOT SECURITIES LTD 1, 200, ASSOCIATED ASSET MANAGERS 480, CITI INVESTMENT CAPITAL LTD 1, 200, FUTUREVIEW FIN. SERV. LTD 240,
2 20 INT L STANDARD SEC. LTD 840, PML SECURITIES LTD 720, MAINLAND TRUST LTD 720, NIGERIAN INT L SEC.LTD 1, 000, HAMMILTON HAMMER & CO. LTD 740, HEARTBEAT INV. LTD 600, IDEAL SECURITIES LTD 1, 200, INVESTMENT CENTRE LTD 1, 000, KAPITAL CARE TRUST SEC. LTD 1, 000, RAINBOW SEC & INV. LTD 1, 000, SECURITIES SOLUTIONS LTD 1, 000, SECURITIES TRADE & INV. LTD 1, 000, SIGNET INV. SEC. LTD 1, 000, ATLAS PORTFOLIO LTD 1, 200, GRAND TOTAL 32, 020,
3 NIGERIAN CAPITAL MARKET OPERATORS PENALIZED FOR AML/CFT VIOLATIONS IN 2009 BASIS OF COMPUTATION OF THE PENALTIES PERIOD OF REVIEW: ONE YEAR (FROM JANUARY DECEMBER, 2008). PENALTY CHARGED: Based on RULE 7 on Fine/Penalty- Except otherwise specified, any person who violates any provision of these Rules and Regulations shall be liable to a fine not exceeding N5000 for every day of default. AMOUNT: N1000 per day of default (5days X 4 weeks = 20 days per month x 12 months = 240 days per year) S/N OPERATORS PENALTIES 1. Capital Trust Investment & Asset Management Limited 600, Index Asset Management Limited 720, Afribank Capital Market Limited 600, Seasons Trust & Investment Limited 600, Flourish Securities Investment & Trust Limited 849, Tower Asset Management Limited 360, Tiddo Securities Limited 600, Standard Securities Limited 720, , NMA Investment Securities 10. Kundila Finance & Securities Limited 720, Gidauniya Securities Limited 720, Finmal Finance Services Limited 360, F&C Securities Limited 240, TDA Capital Management Limited 360, Spring Capital Market Limited 240,000.00
4 16. Rowet Capital Management Limited 1,200, EMI Capital Resume Limited 960, Unex Capital Limited 600, Swaps Securities Limited 480, Value Line Securities & Investment Limited 960, Kofana Securities & Trust Limited 240, Allbond Investment & Securities Limited 960, Cradle Trust & Finance Securities Limited 600, Davandy Finance & Securities Limited 1,200, Cashcraft Asset Management Limited 1,080, Chapel Hill Advisory Partners 240, Cordros Capital Limited 480, Core Trust & Investment Limited 360, FIS Securities Limited 480, Habitat Trust Limited 360, Imperial Asset Management Limited 480, Cornerstone Asset Management Ltd. 600, Spring Trust & Sec. Ltd. 1,440, TFS Securities & Invt. Co. Ltd. 1,320, Zenith Capital Limited. 480, Intercontinental Trustees Limited. 840, Trade link Securities Limited. 720, Stanbic Equities Nigeria Ltd. 600, Lotus Capital Limited. 480, Standard Alliance Capital & Asset Management Limited. 720,000.00
5 41. FBC Trust & Securities Limited. 720, Jamkol Investment Ltd. 240, Fidelity Finance Services Limited. 240, Skye Trustees Limited. 240, Truevine Global Asset Mgt Ltd. 480, Union Trustees Limited. 240, Enterprise Stockbrokers Limited. 360, Wema Asset Mgt. Ltd. 360, Summa Guaranty & Trust Co. Limited 1,080, Arian Trustees & Investment Limited 360, Mountain Investment & Securities Limited 960, Altrade Securities Limited 720, Bestworth Asset & Trust Limited 840, Afribank Trustees & Investment Limited 720, First Trustees Limited 840, Zenith Securities Limited 480, Portfolio Advisers Limited 960, Networth Securities Limited 960, Mission Securities Limited 960, CDL Asset Management Limited 480, Compass Investment & Securities Limited 600, Trusthouse Investment Limited 240, Nigerian Stockbrokers Limited 240, SMADAC Securities Limited 480, Horison Stockbrokers Limited 240, Tropics Securities Limited 1,440,000.00
6 67. Genesis Securities & Investment Limited 840, TRW Stockbrokers Limited 720, Yuderb Investment & Securities Limited 840, Capital Asset Limited 960, Stantwal Securities Limited 720, FBN Capital Limited 360, Maven Assets Management Limited 120, WSTC Financial Services Limited 120, Excel Securities Limited 720, DVCF Oil & Gas Plc 240, ECL Asset Mgt Limited 240, Prime Wealth Capital Limited 480, Staco Prime Capital Securities Limited 960, Santrust & Securities Limited 960, Strategy &Arbitrage Limited 960, Support Service Limited 720, Union Capital Limited 480, Equity Capital Solution Limited 480, WT Securities Limited 720, Solid Rock Securities &Investment Limited 480, Shelong Investment Limited 480, Peace Capital Limited 480, FBC Trust & Securities Limited 240, Traders Trust & Investment Co Limited 480, Rodasel Investment Limited 480, GRAND TOTAL N56,049,000.00
7 NIGERIAN CAPITAL MARKET OPERATORS PENALIZED FOR AML/CFT VIOLATIONS IN 2010 PROPOSED PENALTIES & BASIS OF COMPUTATION PERIOD OF REVIEW: One year. NATURE OF VIOLATIONS: AML/CFT requirements. RULE: Based on Rule 7 on Fine/Penalty which states that Except otherwise specified, any person who violates any provision of these Rules and Regulations shall be liable to a fine not exceeding N5000 for every day of default. AMOUNT IN CONSIDERATION: N1000 (amount/standard used in previous penalties) CALCULATIONS: N1000 per day of default (5days X 4 weeks = 20 days per month x 12 months = 240 days per year, 240 days X N1000 = N240, per violation. TABLE 2 S/N OPERATORS PROPOSED PENALTIES 1. Afri Invest Limited 240, BGL Securities Limited 480, Eurocomm Securities Limited 120, CSL Stockbrokers Limited 240, Equity Capital Solutions Ltd. 240, Intercontinental Securities Ltd 240, Northbridge Invt.& Trust Ltd (Kano 840, & Abuja Branches) 8. Fidelity Union Securities Ltd. 720, Mega Equities Limited 720, Integrated Trust & Invt. Ltd 360, Mega Asset Managers Ltd 240, GTB Asset Management Ltd 600, Asset & Resource Mgt. Ltd. 240, Fortress Asset Mgt Ltd. 720, Lead Asset Mgt. Ltd. 480, Meristem Securities Ltd. 480, Intercontinental Securities Ltd 360, Lead Securities Ltd 480, Anchorage Securities&Fin. Ltd 480, PHB Asset Management Ltd 240, Aquila Asset Mgt. Limited 480, BGL Asset Mgt Limited 240,000.00
8 23. AIMS Asset Mgt. Ltd 240, Woodland Securities Ltd 740, Futureview Financial Services 720, Partnership Invt. Ltd 720, FSDH Securities Ltd 960, Crossworld Securities Ltd. 1,080, Unity Capital & I nvt. Ltd. 480, Falcon Securities Limited 480, TOTAL N14,660,000.00
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