The Custodian Declaration Form is a mandatory regulatory document required under Nigerian securities law, particularly under the oversight of the Securities and Exchange Commission (SEC) Nigeria. This document is essential for institutions providing custodial services in Nigeria's financial markets and must be submitted as part of their regulatory compliance requirements. The form serves multiple purposes: it acts as a formal declaration of the institution's capabilities and compliance, provides transparency about operational procedures, and confirms adherence to Nigerian regulatory standards. Custodians must complete this form to demonstrate their ability to safeguard client assets, maintain proper segregation, and operate within the regulatory framework established by Nigerian financial authorities. The document is particularly relevant in the context of increasing regulatory scrutiny and the growing complexity of financial markets in Nigeria.
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1. Custodian Information: Basic details of the custodian institution including full legal name, registered address, and regulatory licenses
2. Regulatory Status: Declaration of registration status with SEC Nigeria and other relevant regulatory bodies
3. Scope of Custodial Services: Detailed description of the custodial services offered and types of assets under custody
4. Compliance Declarations: Specific declarations regarding compliance with Nigerian securities laws and regulations
5. Risk Management: Statement of risk management procedures and systems in place
6. Client Asset Protection: Declaration of measures for segregation and protection of client assets
7. Operational Capabilities: Statement of technological and operational infrastructure for custodial services
8. Authorization: Signature section for authorized signatories with official designations
1. Sub-Custodian Arrangements: Details of any sub-custodian relationships, used when the custodian employs other institutions for specific markets or assets
2. Foreign Securities Handling: Specific declarations regarding handling of foreign securities, required when offering international custody services
3. Insurance Coverage: Details of professional indemnity and other relevant insurance coverage, optional but recommended
4. Conflict of Interest Statement: Declaration of potential conflicts and mitigation measures, required if custodian provides other financial services
5. Additional Services: Declaration of any additional services beyond basic custody, included when offering enhanced services
1. Schedule A - License Information: Copies or details of all relevant regulatory licenses and registrations
2. Schedule B - Key Personnel: List of key personnel responsible for custodial services with their qualifications
3. Schedule C - Service Level Standards: Detailed service standards and performance metrics
4. Appendix 1 - Compliance Checklist: Checklist confirming compliance with specific regulatory requirements
5. Appendix 2 - Risk Management Framework: Detailed overview of risk management procedures and controls
Relevant legal definitions
Custodian
Client Assets
Securities
Sub-custodian
Regulatory Authority
SEC
CBN
Custody Agreement
Client
Beneficial Owner
Securities Account
Corporate Action
Settlement
Safekeeping
Authorized Representative
Depository
Material Change
Segregation of Assets
Nominee
Operating License
Regulatory Requirements
Compliance Period
Professional Indemnity Insurance
Risk Management Framework
Asset Segregation
Control Systems
Due Diligence
Financial Instruments
Investment Assets
Market Rules
Record Date
Regulatory Filing
Service Level Standards
Trading Day
Working Day
Client Assets
Securities
Sub-custodian
Regulatory Authority
SEC
CBN
Custody Agreement
Client
Beneficial Owner
Securities Account
Corporate Action
Settlement
Safekeeping
Authorized Representative
Depository
Material Change
Segregation of Assets
Nominee
Operating License
Regulatory Requirements
Compliance Period
Professional Indemnity Insurance
Risk Management Framework
Asset Segregation
Control Systems
Due Diligence
Financial Instruments
Investment Assets
Market Rules
Record Date
Regulatory Filing
Service Level Standards
Trading Day
Working Day
Clauses
Regulatory Compliance
Asset Segregation
Client Asset Protection
Record Keeping
Operational Capabilities
Risk Management
System Infrastructure
Reporting Requirements
Confidentiality
Anti-Money Laundering
Sub-Custodian Arrangements
Insurance Coverage
Business Continuity
Corporate Actions
Settlement Procedures
Account Management
Fee Structure
Conflict of Interest
Due Diligence
Internal Controls
Staff Qualifications
Technology Systems
Regulatory Reporting
Asset Valuation
Client Communication
Dispute Resolution
Service Standards
Document Retention
Data Protection
Foreign Exchange Handling
Asset Segregation
Client Asset Protection
Record Keeping
Operational Capabilities
Risk Management
System Infrastructure
Reporting Requirements
Confidentiality
Anti-Money Laundering
Sub-Custodian Arrangements
Insurance Coverage
Business Continuity
Corporate Actions
Settlement Procedures
Account Management
Fee Structure
Conflict of Interest
Due Diligence
Internal Controls
Staff Qualifications
Technology Systems
Regulatory Reporting
Asset Valuation
Client Communication
Dispute Resolution
Service Standards
Document Retention
Data Protection
Foreign Exchange Handling
Relevant Industries
Banking and Financial Services
Investment Management
Securities Trading
Asset Management
Pension Fund Administration
Insurance
Private Equity
Mutual Funds
Capital Markets
Relevant Teams
Legal
Compliance
Risk Management
Operations
Regulatory Affairs
Client Services
Securities Services
Internal Audit
Corporate Governance
Relevant Roles
Compliance Officer
Head of Custody Services
Legal Counsel
Risk Manager
Operations Director
Chief Operating Officer
Regulatory Affairs Manager
Chief Compliance Officer
Head of Securities Services
Client Services Manager
Senior Compliance Analyst
Operations Manager
Head of Risk Management
Chief Legal Officer
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