Legal, Compliance and Enforcement Division

This division is responsible for enforcing the requirements of the securities legislation to protect investors from fraud and promote investor confidence, the division:

• Proposes, drafts and reviews legislation, regulations, guidelines and rules for the regulation of securities business in the ECCU;
• Provides advice and interpretation of the Securities Act 2001 and regulations, guidelines and rules issued under the Act;
• Respond to questionnaires and ad hoc requests from other regulators and international organizations (IOSCO, IMF etc)

Mrs Fernillia Felix-Frederick, Division Head – Legal, Compliance, Enforcement and International Cooperation

Ms Danyish Harford, Legal Officer II