| Licensee Name: |
ECFH Global Investment Solutions Limited |
| Licence Number: |
SL-BD-0003-08 |
| Licensee
Address, Telephone Number,
E-mail: |
5th Floor, Financial Centre Building
No. 1 Bridge Street
Castries
Saint Lucia
Telephone No. 1 758 456 6826
Fax No. 1 758 456 6733
E-mail: customerservice@ecfhglobalinvestments.com
|
| Date on which Licence was granted: |
8 September 2008 |
| Type of Securities Business Permitted by the Licence: |
Broker
Dealer |
|
| |
| NAME
& LICENCE NUMBER OF PRINCIPALS: |
| Name |
Licence
Number |
| Carla Morton-Campbell |
SL-PL-0007-06 |
| Beverly Ann Henry |
SL-PL-0004-03 |
| Donna Matthew |
SL-PL-0005-05 |
|
| |
| NAME ,
LICENCE NUMBER & ADDRESS OF EVERY ACCREDITED REPRESENTATIVE: |
| Name |
Licence
Number |
| Dianne Augustin |
SL-RR-0009-07 |
| Lawrence Jean |
SL-RR-0005-03 |
|
| |
| NAME OF MANAGERS AND OFFICERS: |
| Name |
Position |
Robert Norstrom |
Group Managing Director, ECFH |
Esther Browne |
General Manager - ECFH |
Joanna Charles |
Senior Manager |
|
| |
| LOCATION
OF THE PREMISES AT WHICH RECORDS OR OTHER DOCUMENTATION OF THE LICENSED
BUSINESS ARE KEPT: |
5th Floor,
Financial Centre Building
No.1 Bridge Street
Castries
Saint Lucia
|
|
| |
| NAME
OF DIRECTORS |
Lisle Chase
Isaac Anthony
Vern Gill
Cadie
St Rose-Albertini
|
Robert Norstrom
Esther Browne
Joanna Charles |
|
| |
| NAME OF SECRETARY |
Estherlita
Cumberbatch |
| DETAILS
OF SUBSTANTIAL SHAREHOLDERS AND NUMBER OF SHARES HELD: |
East Caribbean Financial Holding Company Ltd
10,000 ordinary shares
|
| DISCIPLINARY
ACTION AGAINST THE LICENSEE |
None |
| DETAILS
OF ANY SUSPENSION OR REVOCATION OF LICENCES |
None |
|
