This
page provides links to financial and accounting forms that are to be filed
by public companies. It also links to application forms for broker dealers,
limited broker dealers, investment advisers, principals, representatives,
collective investment schemes, exchanges, clearing agencies and registries.
Comprehensive instructions for filing information electronically for inclusion
in the Eastern Caribbean Securities Information Network (ECSIN) database
are also provided.
[ECSIN Filing Instructions] [Financial Reporting Forms] [Material Change Reporting Form] [Applications] [Other Forms]
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WHAT IS ECSIN? The Eastern Caribbean Securities Information Network is a database that facilitates the electronic filing, storage, classification and retrieval of information from participants and licensees operating in the Eastern Caribbean Securities Market. It is a browser based, Internet-capable application. HOW DO ISSUERS USE ECSIN? Issuers with disclosure information to be submitted to the Eastern Caribbean Securities Regulatory Commission (ECSRC) may use the following options: 1) Online Issuer Services (OIS) provided by Eastern Caribbean Central Securities Registry (ECCSR). An electronic copy of the document should be prepared and saved as a "text" document. This document should then be retrieved while logged into OIS and submitted to the ECCSR as documented in the ECSIN Instructions Manual. 2) Submission of the information on diskette. Issuers who do not have OIS will prepare documents using a structured "header" format, which is provided by the ECSRC, and save these documents as "text" documents on a diskette, which is sent to the ECSRC. 3) Submission of the information via e-mail. Issuers who do not have OIS will prepare documents using a structured "header" format, which is provided by the ECSRC, and save these documents as "text" documents on a diskette, which is sent to the ECSRC. The ECSRC reviews filings and either accepts or rejects them. Issuers will be advised of rejected filings and the reason for rejection. Rejected filings must be corrected and resubmitted. Accepted filings become public documents. HOW DO INTERMEDIARIES USE ECSIN? Intermediaries are required to prepare filings using a structured "header" format followed by text data. The Eastern Caribbean Securities Regulatory Commission (ECSRC) will provide this "header" format when the licensing process is complete. Intermediaries are required to deliver this information to the ECSRC via diskette or email. OTHER USERS OF ECSIN ECSIN is operated by the ECSRC. Other users of the database are:
PUBLIC ACCESS INQUIRY FACILITY Once the Commission has accepted a filing this data becomes public and is accessible on the ECSIN database. Persons can search this database for specific information (structured search) or can search using keywords (free form search) to locate a document.
Material
Change Reporting Form
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