​​​​​COMPLAINTS MANAGEMENT AND DISPUTE RESOLUTION​

NSE Regulation ​
In line with its commitment towards protecting investors, The Nigerian Stock Exchange (NSE) has instituted a robust complaints management and dispute resolution framework to manage investor complaints in an expedient, just and equitable manner. The Exchange has a Complaints Management Unit designed to address investors' grievances.  The Complaints Management Unit plays a pivotal role in enhancing and maintaining investors' confidence by resolving their grievances against The Exchange’s Dealing Members. 

The Exchange welcomes information from investors and others who believe that a Dealing Member or Authorized Dealing Clerk may have violated securities rules and regulations. In the case that such matter arises, The Exchange recommends that investors should promptly contact the affected Dealing Member with their inquiry before contacting The Exchange. If they are not satisfied with the response received from the Dealing Member, the investor should file the complaint with The Exchange. ​

The NSE Complaint and Dispute Resolution Process
NSE Compalaint and Dispute Resolution Process​
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​How to File a Complaint 
To file a complaint, please send an email to nsebdr@nse.com.ng or write a letter of complaint to The Nigerian Stock Exchange (Attention: Broker Dealer Regulation Department). You can also send your queries to any of NSE's branch offices nearest to you. 

When filing a complaint, please include the following informat​ion: ​
  • Your full name
  • Contact address and telephone numbers to reach you should we need to clarify your complaint with you;
  • The name of the Dealing Member that handled the transaction;
  • A description of the alleged improper conduct; the date/dates when the improper conduct took place and the details of the transactions involved; and
  • Documents to support your claim

​Enhanced Collaboration with Law Enforcement Agencies 
The Nigerian Stock Exchange has made great strides in the collaboration with other regulators and law enforcement agencies. A Memorandum of Understanding was signed between the Economic and Financial Crimes Commission (EFCC) and The Exchange in October 2013. This has enhanced our efforts towards sanitizing the capital market from fraud and other related criminal activities.
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