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ECSM Licensing Policy: Market Notice

Fri, Jun 4th,2021. By ECSRC

As part of its mandate to ensure the highest standards of professionalism within the Eastern Caribbean Securities Market (ECSM), the Eastern Caribbean Securities Regulatory Commission (the Commission) seeks to provide clear policies to guide licence applicants in the selection of Character Referees.

To this end, the Commission provides the following guidelines for the selection of referees for individuals who are applying to the Commission for a licence to operate as a Principal, Representative or Investment Adviser in the ECSM.


ECSM LICENSING POLICY FOR INDIVIDUALS

Thu, Nov 19th,2020. By ECSRC

As part of its mandate to ensure the highest standards of professional and other activities within the Eastern Caribbean Securities Market (ECSM), the Eastern Caribbean Securities Regulatory Commission (the Commission) seeks to provide clear policies and procedures to assist all licensees and prospective licensees in the ECSM, in navigating the regulatory and supervisory licensing process.


Participating Governments of the Organisation of Eastern Caribbean States (OECS) sign Revised Eastern Caribbean Securities Regulatory Agreement

Thu, Nov 19th,2020. By ECSRC

The revised Eastern Caribbean Securities Regulatory Commission (ECSRC) Agreement is now in effect.
The Instruments of Ratification in support of the Revised ECSRC Agreement were deposited with the Director General of the Organisation of Eastern Caribbean States, marking the final stage to bring the revised Agreement into operation.


WARNING NOTICE: COVID-19 RELATED SCAMS

Fri, Jul 24th,2020. By ECSRC

The Eastern Caribbean Securities Regulatory Commission (ECSRC) advises the public in the member countries of the Eastern Caribbean Currency Union (ECCU) to be aware of fraudulent investment offerings that are being circulated via the internet and other channels.

These scams are currently being promoted using the COVID-19 pandemic as a cover to target unsuspecting or vulnerable individuals in times of economic stagnation and downturns. They include: Pyramid Schemes, Unauthorised Forex Trading, false COVID-19 related investments and Work From Home and Personal Finance Scams.


 

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