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Supervision Guideline with Templates V1.0

The Ethiopian Capital Market Authority (ECMA) has released the Supervision Guidelines for Capital Market Service Providers, Exchanges, Over-the-Counter Markets, Market Infrastructures, and Self-Regulatory Organizations — a key milestone in shaping a transparent, resilient, and well-regulated capital market in Ethiopia.

The Guideline provides practical direction on supervision principles, compliance expectations, inspection processes, and reporting obligations for licensed and recognized market participants. It reinforces ECMA’s commitment to building a trusted, fair, and efficient market that protects investors and supports long-term growth.

We invite all stakeholders, from regulated entities to investors, to explore the document and gain a deeper understanding of ECMA’s supervisory approach and standards.

📄 Reporting Templates:
Please find the official reporting templates provided below. All market participants are required to download and use only these templates when submitting reports to the Authority. Submissions made using other formats will not be accepted.

1. Template - CMSPs Quarterly Complaints Management Report
2. Template - Monthly Report on Collective Investment Schemes Managed by CIS Operators
3. Template - Monthly Transaction Report for Crowdfunding Intermediaries
4. Template - Monthly Transaction Report for Securities Brokers, Dealers and Investment Banks
5. Template - SRO Quarterly Regulatory Compliance Report
6. Template - SRO Weekly Report on Administrative Sanctions
7. Template - SROs Quarterly Complaints (Against a Third-Party) Management Report (1)
8. Template - SROs Quarterly Complaints (Against a Third-Party) Management Report (2)
9. Template - SROs Quarterly Complaints (Against a Third-Party) Management Report (3)
10. Template - SROs Quarterly Complaints (Against a Third-Party) Management Report (4)