Securities & Exchange Commission of Pakistan.

2. Securities and
Exchange Commission
of Pakistan
PRESENTED BY:
RIZWAN HAMEED KHAN
MBA EXECUTIVE 4TH SEMESTER
SUPERIOR UNIVERSITY LAHORE,
DEPALPUR CAMPUS

3. SECP Introduction
 SECP stands for Security and Exchange Commission
of Pakistan
 Financial Regulatory Agency in Pakistan
 Setup under the Act 1997
 This Act may be called as the Securities and Exchange
Commission of Pakistan Act, 1997.
 It extends to the whole of Pakistan.
 Save for section 43, the Act shall come into force at once
and section 43 shall come into force on such date as the
Federal Government may, by notification in the official
Gazette, appoint.

4. Establishment of commission
 The SECP was set up in pursuance of the SECP Act
1997
 And become operational in January 1999
 It was initially concerned with the regulation of corporate
sector and capital market.
 Over time, its mandate has expanded to include
supervision and regulation of insurance companies, non-
banking finance companies and private pensions.

5. Definition
 The SECP is the financial regulatory
agency in Pakistan whose objective is
to develop a modern and efficient
corporate sector
 In order to encourage investment
and foster economic growth and
prosperity in Pakistan.

6. Vision, Mission and strategy
 Its VISION is the development of modern and efficient
corporate sector and capital market, based on sound
regulatory principles.
 MISSION is to develop a fair, efficient and transparent
regulatory framework, based on international legal
standards and best practices
 STRATEGY is to develop an efficient and dynamic
regulatory body , ensures proper risk management
procedures in the capital market, and protects investors
through responsive policy measures and effective
enforcement practices.

7. Functions
 These are the some following functions:
 Regulating the issue of securities
 Regulating the business in Stock Exchanges and any
other securities markets
 Prohibiting fraudulent and unfair trade practices relating
to securities markets
 Supervising and monitoring the activities of any central
depository and Stock Exchange clearing house
 Encouraging the organized development of the capital
market and the corporate sector in Pakistan

8. Certificates issued by SECP
SECP issues these type of Certificates
regarding the corporation

9. Objectives
 It was initially concerned with the regulation of corporate
sector and capital market.
 Now it also concern with the supervision and
regulation of insurance companies, non-banking finance
companies and private pensions.
 The SECP has also been entrusted with oversight of
various external service providers to the corporate and
financial sector.

10. SECP Division
 The SECP is divided into the following four divisions:

11. Law Division
Objective:
Growth of enterprise, protection of investors and creditors,
promotion of investment and development of economy
Law division divided into three departments:
Registration
Department
Enforcement
Department
Management
Team

12. Securities Market Division
 Objective:
Protection of investors, regulation of markets
dealings in securities
It has two department:
Market
Supervision and
Capital Issues
Department.
Policy,
Regulation and
Development
Department.

13. 3.Specialized Companies Division
Objective:
 To provide a regulatory environment
for the development and promotion of a Non-Bank
Financial (NBF) sector.
 Protect the interests of shareholders, depositors and
policyholders under the relevant laws.
.

14. 4. Insurance Division.
 The main objectives includes:
 Regulates and monitors the
Insurance Sector through
 Insurance Ordinance, 2000 and the Companies Ordinance,
1984

15. Thank you