Introduction to Equity Financing Webinar

 

Welcome! You are invited to join a Free Webinar - Introduction to Equity Financing on Thursday 11th April from 11 am to 12:30 pm. After registering, you will receive a confirmation email about joining the meeting.

Click here to register for the webinar. Click here to view the flyer for more information. X

ECSM Certification

 

The 26th Eastern Caribbean Securities Market (ECSM) Certification Program will be held from 9th April to 18th April 2024. The objective of the programme is to familiarise participants with the principles and operations of the ECSM; and to prepare prospective market participants for the ECSM Certification Examination. Please click here to learn more and to register to participate in the Programme.

Download the Registration Form X

ECSRC NOTICE

 

The Office of the Secretariat of the Eastern Caribbean Securities Regulatory Commission is now open for normal operations from Tuesday to Thursday each week from 8:00 am to 4:00 pm.

We continue to work remotely on Monday and Friday each week. You may contact us via email at info@ecsrconline.com or telephone 1 (869) 465-2537.

Thank you for your continued patience and cooperation.

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Legal, Compliance and Enforcement Division

About The ECSRC

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Legal, Compliance and Enforcement Division

Functions:
  • Draft laws, rules and regulations for the fair and orderly dealing in securities.
  • Advises the Commission on legal, regulatory and compliance matters.
  • Ensures compliance by market participants with securities laws.
  • Liaises with international and regional regulatory bodies.

Enforcement

The Commission by virtue of the Securities Legislation and Regulations have a wide range of enforcement powers. The Legal, Compliance and Enforcement Division is responsible for enforcing the requirements of the Securities Legislation to protect investors and encourage investor confidence. Possible violations are investigated within the powers of the Commission.

Enforcement Powers
  • Suspension and revocation of market participants licences.
  • Issuing warnings and/or fines against firms and individuals for breaches of securities law and regulations.
  • Issuing market notices on policy decisions, unauthorized firms and individuals.
  • Inspection and investigative powers in relation to alleged or possible breaches of securities law and regulations.
Division Employees:

Suzy St Brice- Senior Legal Officer
Email address: sstbrice@ecsrconline.org

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