General Application Procedure

General Application Procedures - All Licences



Applicants are advised to refer to the provisions in the legislation prior to completing an application for licensing.

Applications for licensing:

  1. The Securities Act and its accompanying Regulations, requires that any person (company / individual) wishing to obtain a licence to operate within the Eastern Caribbean Securities Market must apply in the prescribed manner and pay the prescribed fee to the ECSRC.

  2. The ECSRC may refuse to accept an application if it is not accompanied by the prescribed application fee.

  3. An applicant for a licence shall forthwith give written notice to the ECSRC of -
    1. any proposed alteration to, or
    2. the occurrence of any event which the applicant knows affects or may affect in a material respect, information supplied by the applicant to the ECSRC in relation to the application, being a proposal or event made or occurring while the application is pending a decision by the ECSRC.

  4. An application for a licence in the prescribed form together with any relevant annexures and supporting documents must be enclosed in a sealed envelope and filed with the ECSRC

  5. The ECSRC may reject an application which is not complete in all respects or which does not conform to the instructions specified therein: provided that, before rejecting the application, the ECSRC shall give the applicant an opportunity to furnish the information required for assessment within a specified timeframe.

  6. The ECSRC on approval of an application for a licence, shall grant a licence to the applicant on payment by the applicant of the licence fees set out in the Third Schedule of the Securities (Licence and Fees) Regulations.

  7. The original, signed application must be submitted to:
The Secretary
Eastern Caribbean Securities Regulatory ECSRC
PO Box 1855
St Kitts
Tel: 869 465 2537
Fax: 869 466 8954


Soft copies of duly completed applications, any relevant annexures and supporting documentation may also be emailed to:  All enquiries should be referred to the above address.