Chukwuma Ekomaru, Senior Advocate of Nigeria, in judicial robes

Finance & Securities

Capital markets, investment, financial regulation, and compliance advisory for regulated Nigerian businesses.

The firm's finance and securities practice serves banks, capital market operators, investors, and regulated businesses across the full spectrum of Nigerian financial law. The practice extends the corporate governance advisory to cover capital markets transactions, investment structures, banking and lending arrangements, and regulatory compliance with the CBN, SEC, and PENCOM.

Transactions in Nigerian capital markets and financial services require precise legal documentation and careful navigation of regulatory requirements. Errors in securities documentation, improper disclosure in prospectuses, or non-compliance with CBN or SEC licensing requirements carry consequences — both for the transaction and for the individuals involved.

The practice covers both transactional advisory and regulatory enforcement defence. For clients who are not yet in difficulty, we build compliance structures. For those already facing regulatory action, we represent them in proceedings before the regulator and in court.

Why SAN-Led Representation

Financial regulatory proceedings — SEC enforcement, CBN investigations, PENCOM compliance matters — require advocacy at a level that carries institutional weight with the regulators involved. A Senior Advocate of Nigeria appearing in these proceedings signals that the representation on the other side of the table is at the highest professional level.

How We Help

Services Within This Practice Area

Capital Markets

Securities offerings, public company listing advisory, prospectus review and preparation, SEC regulatory filings and compliance.

Banking & Lending

Loan facility documentation, security perfection over assets, syndicated lending, guarantee arrangements, and enforcement.

Investment Transactions

Private equity transactions, joint ventures, shareholder agreements, convertible instruments, and investment advisory.

Financial Regulation

CBN, SEC, and PENCOM compliance advisory. Regulatory investigation defence. Licence applications and renewals.

Fintech & Digital Finance

Payment service bank licensing, BNPL and digital lending regulation, mobile money advisory, and NDPC data compliance for fintechs.

Foreign Investment

Legal advisory for foreign direct investment into Nigeria: business entry structures, repatriation advisory, and NIPC compliance.

Representative Matters

Selected Outcomes

All matters anonymised in accordance with professional confidentiality obligations.

Regulatory / Advisory

Capital markets transaction — equity offering

Transaction documented and SEC clearance obtained on schedule. Offering completed successfully.

Regulatory

CBN enforcement action

Enforcement action defended. Penalty significantly reduced following legal representation.

Advisory

Private equity investment — acquisition

Transaction structured and completed within agreed timeline. All regulatory approvals obtained.

Take the First Step

The outcome of your case depends on the firm you choose today.

A land title. A business dispute. A criminal charge. A family estate. Speak with a Senior Advocate before your options narrow — the first conversation is confidential and costs you nothing.