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ECSM Licensing Policy: Market Notice

As part of its mandate to ensure the highest standards of professionalism within the Eastern Caribbean Securities Market (ECSM), the Eastern Caribbean Securities Regulatory Commission (the Commission) seeks to provide clear policies to guide licence applicants in the selection of Character Referees. To this end, the Commission provides the following guidelines for the selection of referees for individuals who are applying to the Commission for a licence to operate as a Principal, Representative or Investment Adviser in the ECSM.

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Welcome to the ECSRC

The Eastern Caribbean Securities Regulatory Commission (ECSRC) is the regulatory body that administers the securities legislation governing securities business in the Eastern Caribbean Currency Union.

To help you become and/or remain an informed participant of the Eastern Caribbean Securities Market please visit our "Media Center".

If you are, or wish to become, an owner of securities, follow the "Investor Resources" link below.

If you feel you have been or are being targeted for fraud or other misconduct, please visit our "Complaint Center".