Market Regulation and Surveillance Division

This division is establishes and maintains appropriate standards for fair, orderly and efficient securities dealings in the Eastern Caribbean Securities Market. The division:

• establishes certification, operating, licensing, reporting and conduct requirements for licensees
• assesses applications for licence from prospective market participants
• conducts on-site examinations of licensees and off-site surveillance
• undertakes market surveillance and investigations
• establishes reporting and public disclosure standards
• registers reporting issuers
• reviews of prospectuses for private and public offerings
• reviews of prospectuses for securities issued on the Regional Government Securities Market (RGSM) in collaboration with the fiscal agent, the Eastern Caribbean Central Bank
• supervision of collective investment schemes
• reviews of applications for licences from prospective market participants (broker dealers, principals and representatives) to be granted under the Securities laws
• conducts on-site due diligence exercises of prospective market participants
• review the rules and amendments to rules of self-regulatory organizations

Ms Francine Felicien, Division Head – Market Regulation and Surveillance

Mr Troy Bullock, Analyst I – Intermediary Licensing, Regulation and Supervision

Ms Jonisia Browne, Analyst I – Intermediary Licensing, Regulation and Supervision

Ms Kimaner Julien, Analyst I – Corporate Finance