East Caribbean Securities Regulatory Commission:

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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ECSM LICENSING POLICY FOR INDIVIDUALS

As part of its mandate to ensure the highest standards of professional and other activities within the Eastern Caribbean Securities Market (ECSM), the Eastern Caribbean Securities Regulatory Commission (the Commission) seeks to provide clear policies and procedures to assist all licensees and prospective licensees in the ECSM, in navigating the regulatory and supervisory licensing process.

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Participating Governments of the Organisation of Eastern ...

The revised Eastern Caribbean Securities Regulatory Commission (ECSRC) Agreement is now in effect.
The Instruments of Ratification in support of the Revised ECSRC Agreement were deposited with the Director General of the Organisation of Eastern Caribbean States, marking the final stage to bring the revised Agreement into operation.

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WARNING NOTICE: COVID-19 RELATED SCAMS

The Eastern Caribbean Securities Regulatory Commission (ECSRC) advises the public in the member countries of the Eastern Caribbean Currency Union (ECCU) to be aware of fraudulent investment offerings that are being circulated via the internet and other channels. These scams are currently being promoted using the COVID-19 pandemic as a cover to target unsuspecting or vulnerable individuals in times of economic stagnation and downturns. They include: Pyramid Schemes, Unauthorised Forex Trading, false COVID-19 related investments and Work From Home and Personal Finance Scams.

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Revision of Licensing Policy for Individual Licence: Mark...

The Eastern Caribbean Securities Regulatory Commission (“Commission”) informs of a revision of its licensing policy for individual licence holders. At present, a licence granted to an individual to operate as a Principal, Representative or Investment Adviser in the Eastern Caribbean Securities Market (ECSM) is subject to immediate revocation if the individual licence holder is no longer employed with a licensed intermediary and the Commission has not received the required notification of a change in the individual’s employer. Since the Securities Act 2001 does not provide for the reinstatement of a licence, a former licence holder must reapply, if he/she wishes to participate in the ECSM after his/her licence has been revoked by the Commission.

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SVGEX and CMAEC Market Notice

ALERT: SAINT VINCENT AND THE GRENADINES SECURITIES EXCHANGE/SAINT VINCENT AND THE GRENADINES EXCHANGE LTD (SVGEX) AND CAPITAL MARKET ASSOCIATION OF THE EASTERN CARIBBEAN (CMAEC) This NOTICE is issued by the Eastern Caribbean Securities Regulatory Commission (“the Commission /ECSRC”) pursuant to Article 5(f) of the Eastern Caribbean Securities Regulatory Commission Agreement 2000 and the Securities Act No. 29 of 2001 of the Laws of Saint Vincent and the Grenadines (“the Act”).

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Corporate Governance Market Notice

In fulfilling its mandate to promote a securities market that is fair, efficient and transparent, the Eastern Caribbean Securities Regulatory Commission (ECSRC), at its 76th Meeting held on 27 March 2020, approved the attached Eastern Caribbean Securities Market (ECSM) Corporate Governance Rules (No. 1 of 2020). These Rules shall apply to all public companies whose securities are listed on a securities exchange in the Eastern Caribbean Currency Union (ECCU) and any issuer that has or is proposing to raise capital through the public issue of its own securities in the ECSM.

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Procedure for the Notification of Changes in Material In...

At its 75th Meeting held on 26 November 2019, the Commission unanimously agreed to adopt administrative procedures for the notification of changes in material information contained in approved prospectuses. Material information, as defined in the revised Securities (Accounting and Financial Reports) Rules that were reissued to the market in June 2019, is “information relating to the business, operations or securities of an issuer that would reasonably be expected to significantly affect the value or market price of the issuer or a security of the issuer.”

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2019 Annual Report

In accordance with Article 29(1) of the Eastern Caribbean Securities Regulatory Commission Agreement 2000, I have the honour to transmit herewith the Eastern Caribbean Securities Regulatory Commission Annual Report on its activities for the year ended 31 March 2019.

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World Investor Week (WIW) 2019

The International Forum for Investor Education (IFIE) Caribbean Working Group in partnership with the International Organisation of Securities Commissions (IOSCO) launches its annual World Investor Week (WIW) 2019 to raise awareness about the importance of investor education and protection ... Let us do our part to protect our financial markets.

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Draft Corporate Governance Rules

The ECSRC in fulfilling its mandate to protect investors and to promote a fair, efficient and transparent securities market, is proposing to issue new Rules to the market. These new Rules, the “Eastern Caribbean Securities Market (ECSM) Corporate Governance Rules” (the Rules) will provide...

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PUBLIC ADVISORY: Virtual Currency Business

Globally, virtual currencies are becoming increasingly popular as a means to conduct traditional business in the financial and capital markets. These transactions also include invitations to the public to invest in these virtual currencies or to participate in funding activities including Initial Coin Offerings (ICOs) or other Token Generating Events.

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Voices of the Caribbean

The IFIE Caribbean Working Group in partnership with IOSCO launches its second annual World Investor Week (WIW) 2018 to Promote Investor Education and Protection.

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ECSRC Electronic Filing Guidance Note

In keeping with its mandate to promote a fair, efficient and transparent securities market, the ECSRC has developed a revised policy for the electronic delivery of documents that are required to be filed with the Commission. This policy is also consistent with the relevant provisions of the Electronic Transactions Act of each of the ECCU Member Territories.

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Public Consultation on Draft Securities Act 2018

The Eastern Caribbean Securities Regulatory Commission (“the Commission”) in its capacity as regional regulator of the Eastern Caribbean Securities Market (ECSM) has issued the Securities Bill 2018, (the “Bill”) for public consultation. This Bill will repeal and replace the Securities Act 2001.

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ESCRC MARKET GUIDELINES (1 OF 2017)

Compliance and Internal Control Guidelines for Entities Licensed under the Securities Act

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Investor Centre

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List of Financial Terms
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If you need to make a complaint, here's what you should do

Complaint Form
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List of Issuers / Registered Companies
A list of companies available to invest in

Register of Licensees
Broker Dealer Limited-Service Broker Dealer Custodian...

Related Links
Advancing the Mission of the ECSRC through the Region: -...

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About the ECSRC
- What is the ECSRC? Our History, Objectives, Strategy and Work Programme Vision and Mission
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- Prospective Licensee Would you like to help others to invest? Get licensed Apply for a Licence
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- Frequently Asked Questions Your questions may already be answered here. Choose a cat...
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- Complaint Procedures If you need to make a complaint, here's what you should do Procedures
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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".

INVESTOR RESOURCES
Investors Resources
TIPS, TOOLS & QUIZZES
Tips, Tools & Quizzes