Status of Dealing Member Firms

Transcription

1 Status of Dealing Member Firms STATUS OF DEALING MEMBER FIRMS AS AT 1 FEBRUARY 2016 S/N FIRM STATUS A ACTIVE DEALING MEMBER FIRMS 1 Adamawa Securities Limited Active 2 Adonai Stockbrokers Limited Active 3 African Alliance Stockbrokers Limited Active 4 Afrinvest Securities Limited Active 5 Alangrange Securities Limited Active 6 Anchoria Investment & Securities Limited Active 7 Apel Asset Limited Active 8 Apt Securities & Funds Limited Active 9 Arian Capital Management Limited Active 10 ARM Securities Limited Active 11 Arthur Stevens Asset Management Limited Active 12 Associated Asset Managers Limited Active 13 Atlass Portfolio Limited Active 14 Belfry Investment & Securities Limited Active 15 Bestlink Investment Limited Active 16 Bestworth Assets & Trust Limited Active 17 Calyx Securities Limited Active 18 Camry Securities Limited Active 19 Capital Asset Limited Active 20 Capital Bancorp Plc Active 21 Capital Express Securities Limited Active 22 Capital Trust Brokers Limited Active 23 Cardinal Stone Securities Ltd Active 24 Cashcraft Securities Limited Active

2 25 Cashville Investment & Securities Limited Active 26 CDL Capital Markets Limited Active 27 Centre Point Investment Limited Active 28 Century Securities Limited Active 29 Chapel Hill Denham Securities Limited Active 30 Chartwell Securities Limited Active 31 Citi Investment Capital Limited Active 32 City Code Trust & Investment Company Limited Active 33 Clearview Investments Company Limited Active 34 Compass Investment & Securities Limited Active 35 Cordros Capital Limited Active 36 Core Trust & Investment Limited Active 37 Coronation Securities Limited Active 38 Cowry Securities Limited Active 39 Crane Securities Limited Active 40 Crossworld Securities Limited Active 41 Crown Capital Limited Active 42 CSL Stockbrokers Limited Active 43 Deep Trust & Investment Limited Active 44 Delords Securities Limited Active 45 Dependable Securities Limited Active 46 Diamond Securities Limited Active 47 Dominion Trust Limited Active 48 DSU Brokerage Services Limited Active 49 Dunbell Securities Limited Active 50 Dunn Loren Merrifield Securities Limited Active 51 Dynamic Portfolio Limited Active 52 ECL Asset Management Limited Active 53 EDC Securities Limited Active 54 Edgefield Capital Management Limited Active 55 EFCP Limited Active 56 Elixir Securities Limited Active 57 Enterprise Stockbrokers Limited Active 58 Equity Capital Solutions Limited Active

3 59 Eurocomm Securities Limited Active 60 Express Discount Asset Management Limited Active 61 Express Portfolio Services Limited Active 62 FBC Trust & Securities Limited Active 63 FBN Securities Limited Active 64 FCSL Asset Management Company Limited Active 65 Fidelity Finance Company Limited Active 66 Fidelity Securities Limited Active 67 Financial & Analytics Capital Limited Active 68 Financial Trust Company Limited Active 69 Finmal Finance Services Limited Active 70 First Integrated Capital Manangement Limited Active 71 First Stockbrokers Limited Active 72 FIS Securities Limited Active 73 Foresight Securities & Investment Limited Active 74 Forte Financial Limited Active 75 Forthright Securities & Investments Limited Active 76 Fortress Capital Limited Active 77 FSDH Securities Limited Active 78 Funds Matrix & Assets Mgt Limited Active 79 Futureview Securities Limited Active 80 Gem Assets Management Limited Active 81 Gidauniya Investment & Securities Limited Active 82 Global Asset Management (Nig) Limited Active 83 GlobalView Capital Limited Active 84 Golden Securities Limited Active 85 Greenwich Securities Limited Active 86 Gruene Capital Limited Active 87 GTI Securities Limited Active 88 Harmony Securities Limited Active 89 Heartbeat Investment Limited Active 90 Hedge Securities & Investment Limited Active 91 Heritage Capital Markets Limited Active 92 Horizon Stockbrokers Limited Active

4 93 ICMG securities Limited Active 94 Icon Stockbrokers Limited Active 95 Imperial Assets Managers Limited Active 96 Independent Securities Limited Active 97 Integrated Trust & Investment Limited Active 98 Interstate Securities Limited Active 99 Investment Centre Limited Active 100 Investment One Stockbrokers International Limited Active 101 Investment Shark & Asset Mgt Ltd Active 102 Investors & Trust Company Limited Active 103 Kapital Care Trust & Securities Limited Active 104 Kedari Capital Limited Active 105 Kinley Securities Limited Active 106 Kofana Securities & Investment Limited Active 107 Kundila Finance Services Limited Active 108 Lambeth Trust & Investment Company Limited Active 109 Lead Securities & Investment Limited Active 110 Lighthouse Asset Management Limited Active 111 Long Term Global Capital Limited Active 112 Magnartis Finance & Investment Limited Active 113 Mainland Trust Limited Active 114 Mainstreet Bank Securities Limited Active 115 Marimpex Finance & Investment Company Limited Active 116 Marriot Securities & Investment Co. Limited Active 117 Maven Asset Management Limited Active 118 Maxifund Investment & Securities Plc Active 119 Mayfield Investment Limited Active 120 MBC Securities Limited Active 121 Mega Equities Limited Active 122 Meristem Stockbrokers Limited Active 123 Midas Stockbrokers Limited Active 124 Milestone Capital Management Limited Active 125 Mission Securities Limited Active 126 Molten Trust Limited Active

5 127 Morgan Capital Securities Limited Active 128 Mountain Investment & Securities Limited Active 129 Mutual Alliance Investment & Securities Limited Active 130 Network Capital Limited Active 131 Networth Securities & Finance Limited Active 132 Newdevco Investments & Securties Limited Active 133 Nigerian International Securities Ltd Active 134 Nigerian Stockbrokers Limited Active 135 Nova Finance & Securities Limited Active 136 Options Securities Limited Active 137 PAC Securities Limited Active 138 Partnership Securities Limited Active 139 Peace Capital Markets Ltd Active 140 Perfecta Investment & Trust Limited Active 141 Phronesis Securities Limited Active 142 Pilot Securities Limited Active 143 Pinefields Investment Services Limited Active 144 PIPC Securities Limited Active 145 Pivot Capital Limited Active 146 Planet Capital Limited Active 147 Portfolio Advisers Limited Active 148 Primera Africa Securities Limited Active 149 Primewealth Capital Limited Active 150 Prominent Securities Limited Active 151 PSI Securities Limited Active 152 Pyramid Securities Limited Active 153 Quantum Securities Limited Active 154 Rainbow Securities & Investment Company Limited Active 155 Readings Investment Limited Active 156 Regency Asset Management Limited Active 157 Rencap Securities (Nig) Limited Active 158 Resort Securities & Trust Limited Active 159 Reward Investment & Service Limited Active 160 Rostrum Investment & Sec Limited Active

6 161 Rowet Capital Mgt Limited Active 162 Royal Crest Finance Limited Active 163 Royal Guaranty & Trust Limited Active 164 Royal Trust Securities Limited Active 165 Santrust Securities Limited Active 166 Securities Africa Financial Limited Active 167 Securities and Capital Management Company Limited Active 168 Security Swaps Limited Active 169 SFC Securities Limited Active 170 Shalom Investment & Financial Services Limited Active 171 Shelong Investments Limited Active 172 Sigma Securities Limited Active 173 Signet Investment & Securities Limited Active 174 Skyview Capital Ltd Active 175 Smadac Securities Limited Active 176 Solid Rock Securities & Investment Plc Active 177 Spring Trust & Securities Limited Active 178 Springboard Trust & Investment Limited Active 179 Stanbic IBTC Stockbrokers Limited Active 180 Standard Alliance Capital Asset Mgt Limited Active 181 Standard Union Securities Limited Active 182 TFS Securities & Investment Company Limited Active 183 The Bridge Securities Limited Active 184 Tiddo Securities Limited Active 185 Tomil Trust Limited Active 186 Topmost Securities Limited Active 187 Tower Asset Management Limited Active 188 Tower Securities & Investment Company Limited Active 189 Trade Link Securities Limited Active 190 Traders Trust & Investment Co. Limited Active 191 Transafrica Financial Services Limited Active 192 Transworld Investment Limited Active 193 Trust Yield Securities Limited Active 194 TrustBanc Capital Management Limited Active

7 195 Trusthouse Investment Limited Active 196 TRW Stockbrokers Limited Active 197 Tyndale Securities Limited Active 198 Unex Capital Limited Active 199 Union Capital Markets Limited Active 200 United Capital Securities Limited Active 201 Valmon Securities Limited Active 202 Valueline Securities & Investment Limited Active 203 Vetiva Securities Limited Active 204 Woodland Capital Markets Plc Active 205 WSTC Financial Services Limited Active 206 Yuderb Investment & Securities Limited Active 207 Zenith Securities Limited Active 208 Zion Stockbrokers & Securities Limited Active

8 B S/N INACTIVE DEALING MEMBER FIRMS FIRM STATUS 1 Aims Asset Management Limited Inactive 2 Amyn Investment Limited Inactive 3 Anchorage Securities & Finance Limited Inactive 4 Bauchi Investment Corp. Sec Limited Inactive 5 BGL Securities Limited Inactive 6 Bytofel Trust & Securities Limited Inactive 7 Cadington Securities Limited Inactive 8 CEB Securities Limited Inactive 9 Covenant Securities & Asset Management Limited Inactive 10 Cradle Trust Finance & Securities Limited Inactive 11 DBSL Securities Limited Inactive 12 Excel Securities Limited Inactive 13 Falcon Securities Limited Inactive 14 Finbank Securities & Assets Management Limited Inactive 15 First Alstate Securities Limited Inactive 16 GMT Securities & Asset Mangement Limited Inactive 17 Gombe Securities Limited Inactive 18 HIP Asset Management Limited (Formerly Kakawa Asset Mgt Ltd) Inactive 19 International Standard Securities Limited Inactive 20 ITIS Securities Limited Inactive 21 LB Securities Limited Inactive 22 Lion Stockbrokers Limited Inactive 23 LMB Stockbrokers Limited Inactive 24 Mact Securities Limited Inactive 25 MBL Financial Services Limited Inactive 26 Mercov Securities Limited Inactive 27 Midpoint Capital Limited Inactive 28 ML Securities Limited Inactive 29 Monument Sec & Finance Limited Inactive 30 Northbridge Investment & Trust Limited Inactive 31 PML Securities & Company Limited Inactive 32 Professional Stockbrokers Limited Inactive

9 33 Profund Securities Limited Inactive 34 Redasel Investments Limited Inactive 35 Regency Finance Limited Inactive 36 Resano Securities Limited Inactive 37 Stanwal Securities Limited Inactive 38 Summa Guaranty & Trust Company Limited Inactive 39 Supra Commercial Trust Company Limited Inactive 40 Surport Services Limited Inactive 41 UIDC Securities Limited Inactive 42 Vision Trust & Investment Limited Inactive 43 Waila Securities and Funds Limited Inactive 44 Wema Asset Management Limited Inactive 45 Yobe Investment & Securities Limited Inactive C S/N DEALING MEMBER FIRMS DEREGISTERED BY THE SECURITIES & EXCHANGE COMMISSION (SEC) FIRM STATUS 1 Allbond Investment Limited Limited Deregistered by SEC as at 18th December Alliance Capital Management Company Limited Deregistered by SEC as at 24th December Consolidated Investment Limited Deregistered by SEC as at 18th December Dakal Services Limited Deregistered by SEC as at 18th December Decanon Investment Limited Deregistered by SEC as at 18th December Emi Capital Resources Limited Deregistered by SEC as at 18th December First Equity Securities Limited Deregistered by SEC as at 21st May Ideal Securities Limited Deregistered by SEC as at 24th December Maninvest Asset Management Plc Deregistered by SEC as at 18th December Metropolitan Trust Nigeria Limited Deregistered by SEC as at 18th December Midland Capital Markets Limited Deregistered by SEC as at 24th December Omas Investment & Trust Company Limited Deregistered by SEC as at 18th December Peninsula Asset Management & Investment Company Limited Deregistered by SEC as at 18th December Platinum Capital Limited Deregistered by SEC as at 18th December Prudential Securities Limited Deregistered by SEC as at 18th December Securities Solutions Limited Deregistered by SEC as at 18th December 2015

10 17 Securities Trading & Investments Limited Deregistered by SEC as at 18th December Transglobe Investment & Finance Company Limited Deregistered by SEC as at 24th December Tropics Securities Limited Deregistered by SEC as at 24th December WizeTrade Capital & Asset Management Limited Deregistered by SEC as at 18th December WT Securities Limited Deregistered by SEC as at 18th December Zuma Securities Limited Deregistered by SEC as at 18th December 2015 D S/N DEALING MEMBER FIRMS WITH INACTIVATED LICENSES FIRM STATUS 1 Bosson Capital Assets Limited Not Activated 2 Dealers Assets Management Limited Not Activated 3 GilJohn Capital Limited Not Activated 4 KFF Worldwide Solutions Limited Not Activated 5 Silver & Gold Securities Limited Not Activated

11 E REVOKED LICENSES S/N FIRM STATUS 1 AAA Stockbrokers Limited Revoked 2 Afro-Arab Investment Limited Revoked 3 Al-pina Investment & Trust Co. Limited Revoked 4 Apex Securities Limited Revoked 5 Asset Plus Securities Limited Revoked 6 Barakat Investment Limited Revoked 7 BBL Asset Mgt Limited Revoked 8 Beachgroove Securities Limited Revoked 9 BFCL Asset & Securities Limited Revoked 10 BIC Securities Limited Revoked 11 Broadeage Securities Limited Revoked 12 Colvia Securities Limited Revoked 13 Davandy Finance & Securities Limited Revoked 14 Empire Securities Limited Revoked 15 Enabell Capital & Investment Limited Revoked 16 Epic Investment Trust Limited Revoked 17 Equator Stockbrokers Limited Revoked 18 First Atlantic Securities Limited Revoked 19 First Express Limited Revoked 20 Fittco Securities Limited Revoked 21 Folu Securities Limited Revoked 22 Genesis Securities & Investment Limited Revoked 23 Gosord Securities Limited Revoked 24 HALSEC Finance & Securities Limited Revoked 25 IMB Morgan Plc Revoked 26 Indemnity Finance Limited Revoked 27 Integrated & Allied Securities Limited Revoked 28 Jenkins Investment Limited Revoked 29 Kingdom Securities Limited Revoked 30 Lakesworth Investment & Securities Limited Revoked 31 Midlands Investment & Trust Limited Revoked 32 MultiTrust Securities Limited Revoked

12 33 Prudent Stockbrokers Limited Revoked 34 RIV Trust Securities Limited Revoked 35 Riverside Trust Limited Revoked 36 Sikon Securities and Investment Trust Limited Revoked 37 Source Finance & Trust Limited Revoked 38 Standard Chartered Securities Limited Revoked 39 Thomas Kinsley Securities Limited Revoked 40 Trans Lux Services Limited Revoked 41 Viva Securities Limited Revoked SUMMARY A Active Dealing Member Firms 208 B Inactive Dealing Member Firms 45 C Dealing Member Firms Deregistered by The SEC 22 D Dealing Member Firms with Inactivated licenses 5 E Revoked Licenses 41