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Sigma Securities Limited is a reputable stockbroking firm based in Nigeria. With a team of experienced professionals, the company is committed to providing exceptional investment advisory and stockbroking services to its clients. Sigma Securities Limited has a strong track record of success in the Nigerian stock market, and is dedicated to helping its clients achieve their investment goals.

No 18 ST, Gregory College Road, off Awolowo Road, Ikoyi, Lagos
+234 816 334 3578
frontdesk@sigmasecurities.com.ng
09:00 - 17:00

Home
About Us
Services
Downloads
Contact Us
- Open An Account
- Broker Fintech Collaboration
Policy Statement
FAQ
Client Login

Broker Fintech Collaboration

Broker Fintech Collaboration

Initial Counterparty/Correspondent Due Diligence Request Sigma Securities Limited, (“SIGMASEC”) has developed this questionnaire to obtain information regarding your business to assist it with its due diligence. Please fill out the information contained herein, and return same to us.

Correspondent Background
Name of Company (Legal name)*
Name of Company (Legal name) Business Name (If Different)
Nature of Business:
Registered Office Address:*
Street Address Address Line 2 City State / Province / Region ZIP / Postal Code Country
Jurisdiction of the Company & Primary Regulator of the Company*
Registration No.

Provided by the Regulator:
Provide copy of the regulatory license,*
Drop files here or

Accepted file types: jpg, png, bmp, pdf, Max. file size: 10 MB, Max. files: 5.
approval and or membership agreement to your trade group or association. (e.g ICAN, CIS, ……..)
Date of Business Registration/Incorporation;
MM slash DD slash YYYY

please include the filed Certificate of Incorporation:
Legal Structure of the Company*

Type of Business entity:
Shareholding Structure of the Company (detailed):
Describe any changes to the legal or shareholding structure over the previous 12 months:
Compliance or representative Officer Contact Name:*

Name
Compliance or representative Officer GSM:
Contact Phone Number
Compliance or representative Officer eMail*

Contact eMail
Financial Status
Copy of the most recent financial audit and copies of unaudited or audited account for current fiscal year.*
Drop files here or

Accepted file types: jpg, png, bmp, pdf, Max. file size: 10 MB, Max. files: 5.
Are you (FINTECH) registered with CBN, SEC, NITDA or other related agency?*
Drop files here or

Accepted file types: jpg, png, bmp, pdf, Max. file size: 10 MB, Max. files: 5.
please provide copy of approval?
Provide the Balance sheet and Income statement for the last two years.*
Drop files here or

Accepted file types: jpg, png, bmp, pdf, Max. file size: 10 MB, Max. files: 5.
Audited copy
Do you have any Client Assets under Management? If so,*

please provide details:
Risk Management
Please supply information on the firms, Compliance, Internal Test Control and AML audits:
Provide copies of any regulatory examinations in the last two years
In brief state, the overall risk management process of your firm’s client trading operations:
Who is responsible for risk management and risk manager oversight position?*
Please provide copies of:
Business Continuity Plan
Drop files here or

Max. file size: 512 MB.
Cyber Security Policy
Max. file size: 512 MB.
Anti-money Laundering Policies and Procedures
Max. file size: 512 MB.
Operational Policies and Procedures
Max. file size: 512 MB.
IT Disaster Recovery Plan
Max. file size: 512 MB.
An Identity Theft Protection Program
Max. file size: 512 MB.
How does the company ensure that client cash and securities (clients assets) are segregated from your Companies own assets (proprietary cash and securities)?
Are client assets ever used to cover transactions related to other clients or the firm’s own dealings?
- Yes
- No
What provision are in place in your firm in the event of Bankruptcy?
Provide a listing of locations the firm services customer in (list customer locations, and branch office locations, as applicable).
Provide some information of any professional services outsourced relating to IT security and systems, risk oversight, back and middle offices, etc.:
Who is responsible for maintaining the IT infrastructure?
- In-house
- Outsourced
- Both
Compliance with Anti-Money Laundry counter financing of terrorism (AML/CFT) laws:
Is your firm in compliance with all applicable laws in the Prohibition of Money Laundry and Financing of terrorism Act 2011?
- Yes
- Not Sure
Confirm that your company is not engaged in any activity, practice or conduct that would constitute an offence under Money Laundering (Prohibition) Act 2011.
- Yes
- Not Sure
Confirm whether your company has been duly registered with Nig. Financial Intelligence Unit (NFIU).
- Yes
- Not Sure
Legal/Compliance Matters
Has the company its management, the advisor(s) or any of their respective principals ever been subject to any of the following;
1) Expulsion?
- Yes
- No
2) Fine or Civil Monetary Penalty?
- Yes
- No
3) Censure, Denial, Suspension by any regulatory Body?
- Yes
- No
4) Restriction of Revocation of membership of Registration by any Regulatory Body of Exchange?
- Yes
- No
5) Permanent or temporary injunction?
- Yes
- No
6) Cease and desist order?
- Yes
- No
7) Denial of trading privileges or other sanctions or disciplinary action through or as the result of an adverse determination?
- Yes
- No
8) Voluntary settlement or otherwise, in an action or proceeding brought by the government of any nation, state, province or municipality (whether foreign or domestic), and judicial body, department or agency thereof, or any regulatory or self-regulatory authority?
- Yes
- No
9) Is the entity, its management, the advisor(s) or any of their respective principals or any affiliated entities currently involved in any of the aforementioned actions?
- Yes
- No
10) Has there been any litigation (Including arbitration and similar claims) brought at any time by any client or consumer of the Company, its management, the advisor(s) or any of their respective principals?
- Yes
- No
11) Describe if the Company is in default under any agreements (including credit agreements):
- Yes
- No
13) Has the firm ever been cited for or charged with violations of AML laws? YES/NO (if yes, please provide the claim and remediation)
- Yes
- No
Management Experience, Capability and Insurance
Does the firm subscribe to any Director’s liability insurance /Employees fidelity insurance?
If so, please provide copy of application for latest policy and policy certification.
Max. file size: 512 MB.
List any other relevant insurance the Company subscribes to and the total amount of insurance coverage undertaken by the company:
Please provide a copy of the organizational chart for the firm operations:
Max. file size: 512 MB.
Please provide brief biographies of senior management, including but not limited to Hire Date, No. of years’ experience in their field of operations.
Signature of Authorized Person:
Max. file size: 512 MB.
(Please also affix your Companies stamp)
Name:
Designation/Title:
Date*
MM slash DD slash YYYY
Consent*
I agree to the privacy policy.
PRIVACY POLICY
Introduction
This Privacy Policy sets out how the Sigma Securities Limited uses and protects any information that you give the SIGMA SECURITIES LIMITED when you use this website. The SIGMA SECURITIES LIMITED is committed to ensuring that your privacy is protected. Should we ask you to provide certain information by which you can be identified when using this website; you can be assured that it will only be used in accordance with this Privacy Policy. The SIGMA SECURITIES LIMITED’s Privacy Policy, is expressly incorporated by reference into the Terms of Use which explains the data processing practices of the SIGMA SECURITIES LIMITED in so far as it relates to the Website.

Controlling your Personal Information
whenever you are asked to fill a form on the Website, you may choose to look for the box that you can click to indicate that you do not want the information to be used by anybody for direct marketing purposes. We will not sell, distribute or lease your personal information to third parties unless we have your permission or are required by law to do so. If you have previously agreed to us using your personal information for direct marketing purposes, you may change your mind at any time by writing to or emailing us at frontdesk@sigmasecurities.com.ng Please note that it may take some time for us to update our records to ensure your new choices are respected.

What Information does the SIGMA SECURITIES LIMITED Collect?
Information collected when you browse the Website: the SIGMA SECURITIES LIMITED will not collect any personal information about you from your browsing of the Website unless you agree to collection and use of your personal data. The personal information we collect may be captured from a variety of sources. These sources include, but are not limited to voluntary submissions and review of site usage patterns.
Information collected when you become a client of the SIGMA SECURITIES LIMITED: when you enter into a contract, agreement with us for our services or products, you may be asked to submit personal information about yourself or company in order to receive or use these services or products. This information may include: your name, address, job title, telephone number, email address and financial information necessary to conclude the contract and enable administration and management of such services or products. The SIGMA SECURITIES LIMITED will only collect information that is necessary for the provision of the product or service that you have subscribed to. The type of information collected will depend on the nature of the product or service demanded.

Nigeria Data Protection Regulation - Data Subject Consent
I hereby grant Sigma Securities Limited and all its third-party processors authority to process my personal data, for the purpose of;
 Opening a brokerage account
 Execution of sales and purchase instructions
 Receiving trade alert
 Accessing the company on-line customer portal
 Receiving investment updates and newsletters
 Receiving email, promotions and marketing materials
 Rectification of my personal data
 Financial Services Education
 Asset and portfolio management
 Processing e-dividend
 Research and statistical purpose
I am aware this is necessary for Sigma Securities Limited legitimate interest to process personal information for the purpose of processing my request. I consent to Sigma Securities Limited using my personal data for the purposes described in this notice and understand that I can withdraw my consent at any time using the Data Subject Consent Withdrawal Form.

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SIGMA SECURITIES LIMITED was incorporated on 30th May, 1995 as a Limited Liability Company under the Nigeria’s Companies and Allied Matters Decree 1990.

CONTACT INFO

18, St Gregory College Road, Ikoyi, Lagos

+234-8163343578, +234-9083606969

frontdesk@sigmasecurities.com.ng

RELATED LINKS

The Nigerian Stock Exchange

Securities & Exchange Commission

Central Bank of Nigeria

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