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Securities & Exchange Commission, Zambia

Securities & Exchange Commission, Zambia

Protecting Investors in the Capital Markets

Stay Connected

  • HOME
  • ABOUT
    • Mission & Vision
    • Our Board
    • Organisation Structure
    • Directorate Market Supervision and Development
    • Directorate Enforcement & Legal Services
    • Website Disclaimer
  • LICENCING
    • List of Capital Market Operators
    • Forms/Checklists
  • SECURITIES REGISTRATION
    • LAWS & REGULATIONS
      • Securities Acts
      • Rules
      • Guidelines
      • Directives
      • Guidance Notes
      • Circulars
      • Draft Laws and Regulations
        • Stakeholder Consultations in Progress
        • Other Stakeholder Consultations
      • Judgments and Rulings
        • Court of Appeal
        • Capital Markets Tribunal
        • High Court
    • Equity/Debt
    • Employee Share Option Plans
    • Mergers and Acquisitions
    • Registered Securities
    • Collective Investment Schemes
  • Investor Information
    • Investor Protection
      • Warnings and Alerts
      • File a Compliant/Tip
    • Investor Education
      • Education
      • FAQs
  • Publications
    • Bonds Secondary Market Trades
    • Quarterly Publications (Bulletin)
    • Annual Reports
    • Other Publications
      • Forms/Checklists
  • SEC Special Projects
    • RISK BASED SUPERVISION
      • RBS Introduction and Background
      • RBS Toolkit
      • RBS Frequently Asked Questions
    • Capital Markets Master Plan
      • Capital Markets Master Plan
  • LATEST NEWS
    • News
    • Events
    • Events Calendar
    • Press Releases
    • Media Gallery

Latest News

Ponzi Scheme: CORE VARIOUS

MEDIA RELEASE ON THE SIGNING OF THE MOU BETWEEN SEC AND PA

PONZI SCHEME REPORT – TRUST FUNDER

SCAM ALERT: AGR SOLAR ENERGY CO LTD

Failure And/or Neglect By Pamodzi Hotel Plc To Disclose Price-Sensitive Information

OPERATION OF UNAUTHORISED PRIVATE FUNDS

Revised Internal Control Reporting Framework for Issuers of Registered Securities Guidelines

Press Release – Regulatory Sandbox Framework for Capital Markets

Green Bond Notice

Amnesty Notice for Unlicensed Capital Market Players

Wednesday, May 21, 2025

Forms/Checklists

Form NameDownload
Form 1Form1securitiesexchangelicence
Form 2Dealer Application Form
Form 3Individual Investment Licence
Form 4Form4investmentlicence
Form 5Dealer Investment Adviser Renewal
Form 6Representative Licence
Form 7Renewal Dealer Investment Rep
Form 8Record of Securities
Form 9Notice of Place of Record
Form 10Notice of Change of place of Business
Form 11Notification of Cessation of Business
Form 12Notice of Change of Reps Principal
Share Transfer Agent Application Form_Final
CHECKLISTS:
New-Checklist-for-New – Companies – 2025
Registration of Securities
New-Checklist-for-New-Applicants – Individuals – 2025

 

TEMPLATES:
REVISED BOND REPORTING TEMPLATE AUGUST 2022
Character Reference Letter Template

UPCOMING EVENTS & ACTIVITIES

Submit a Tip or File a Complaint
Download Brochures

LATEST TWEETS

Tweets by SECZambia

Recent Activities

  • PUBLIC ALERT – SEC Impersonation
  • Ponzi Scheme: CORE VARIOUS
  • MEDIA RELEASE ON THE SIGNING OF THE MOU BETWEEN SEC AND PA
  • PONZI SCHEME REPORT – TRUST FUNDER
  • SCAM ALERT: AGR SOLAR ENERGY CO LTD

Corporate Office Address

Stand No. 5475 – Corner of Great East Road and Libala Road, Kalundu,
P.O Box 35165,
Lusaka, Zambia.

Email: info@seczambia.org.zm
Tel: +260 211 227012/222368/222369

Useful Links

Lusaka Securities Exchange

Bank of Zambia

Pensions and Insurance Authority

Ministry of Finance

Capital Markets Association Of Zambia – CMAZ

 

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