All Archived News

Title
Money Market Mutual Fund Reform: Opening Statement at the SEC Open Meeting
Date Issued
2013-06-29
Action

Advisories: New Licences

Title
New Representative Licence granted to Greg Ferriera, First Citizens Investment Services Ltd.
Date Issued
2018-02-02
Action
Title
New Principal Licence granted to Laurent Hadley, Bank of St Vincent and the Grenadines
Date Issued
2017-11-22
Action
Title
New Representative Licence granted to Mervin Simeon, Bank of Saint Lucia Ltd
Date Issued
2017-11-22
Action
Title
New Representative Licence granted to Denicia Small, The Bank of Nevis Ltd
Date Issued
2017-11-02
Action
Title
New Principal Licence granted to Allana Joseph, Grenada Cooperative Bank
Date Issued
2017-10-20
Action
Title
New Principal Licence granted to Temelia Providence, First Citizens Investment Services Ltd, St Vincent Office
Date Issued
2017-10-20
Action
Title
New Representative Licence granted to Kishel Francis, Grenada Cooperative Bank
Date Issued
2017-09-28
Action
Title
New Principal Licence granted to Stephen Grell, Citicorp Merchant Bank Limited, Trinidad & Tobago
Date Issued
2017-09-28
Action
Title
Changes in the Register of Licensees
Date Issued
2017-08-31
Action
Title
Licence Granted to Norlann Gabriel of First Citizens Investment Services Ltd
Date Issued
2016-07-01
Action
Title
Licence Granted to Andrew Boissiere of RBC Merchant Bank (Caribbean) Ltd
Date Issued
2016-05-23
Action
Title
Licence Granted to Lawrence Jean of ECFH Global Investment Solutions Ltd
Date Issued
2015-10-26
Action
Title
Licence Granted to Aaron Logie of Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
Action
Title
Licence Granted to Keisha Greenidge of Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
Action
Title
Licence Granted to Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
Action
Title
Licence Granted to Carla Sylvester of Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
Action
Title
Licence Granted to Dave Dookie of First Citizens Investment Services Ltd
Date Issued
2015-06-22
Action
Title
Licence Granted to Medford Francis of ECFH Global Investment Solutions Ltd
Date Issued
2015-06-15
Action
Title
Licence Granted to Chez Quow of Bank of St Vincent and the Grenadines
Date Issued
2014-07-29
Action
Title
Licence Granted to Laurent Hadley of Bank of St Vincent and the Grenadines Ltd
Date Issued
2014-05-27
Action
Title
Licence Granted to Judy Claxton of the Bank of Nevis
Date Issued
2014-05-27
Action
Title
ECSRC Issues New Broker-Dealer Licence to ECFH Global Investment Solutions Ltd
Date Issued
2009-02-12
Action
Title
RBTT Merchant Bank Ltd is the Second Trinidad Company to Receive ECSRC Broker Dealer Licence
Date Issued
2005-06-06
Action
Title
Caribbean Money Market Brokers (CMMB) Receives ECSRC Broker Dealer Licence
Date Issued
2005-02-09
Action
Title
ECSRC Issues New Broker Dealer Licence to Republic Finance and Merchant Bank Ltd (FINCOR)
Date Issued
2003-04-02
Action
Title
ECSRC Licenses Antigua Commercial Bank (ACB) and St Kitts-Nevis-Anguilla National Bank Ltd as Intermediaries for the Securities Market
Date Issued
2002-11-13
Action

Advisories: Suspensions & Revocations

There are no current news items in this archive.

News Releases

Title
Caribbean Development Bank Partners with the Eastern Caribbean Securities Regulatory Commission to Bring Crowdfunding to MSMEs
Date Issued
2022-08-24
Action
Title
ECSRC Launches Project to Promote Crowdfunding, Calls For Early Stakeholder Participation
Date Issued
2022-08-19
Action
Title
MARKET NOTICE: ECSRC APPROVES INVESTMENT ADVISER LICENCE
Date Issued
2022-08-05
Action
Title
ECSRC ATTAINS IOSCO MEMBERSHIP
Date Issued
2022-03-18
Action
Title
ECSM Licensing Policy: Market Notice
Date Issued
2021-06-04
Action
Title
ECSM LICENSING POLICY FOR INDIVIDUALS
Date Issued
2020-11-19
Action
Title
Participating Governments of the Organisation of Eastern Caribbean States (OECS) sign Revised Eastern Caribbean Securities Regulatory Agreement
Date Issued
2020-11-19
Action
Title
WARNING NOTICE: COVID-19 RELATED SCAMS
Date Issued
2020-07-24
Action
Title
Revision of Licensing Policy for Individual Licence: Market Notice
Date Issued
2020-06-16
Action
Title
Corporate Governance Market Notice
Date Issued
2020-04-21
Action
Title
Procedure for the Notification of Changes in Material Information in Approved Prospectuses
Date Issued
2020-02-20
Action
Title
2019 Annual Report
Date Issued
2020-02-20
Action
Title
World Investor Week (WIW) 2019
Date Issued
2019-10-02
Action
Title
Draft Corporate Governance Rules
Date Issued
2019-09-30
Action
Title
Voices of the Caribbean
Date Issued
2018-10-08
Action
Title
Public Consultation on Draft Revised ECSRC Reporting Rules
Date Issued
2018-08-17
Action
Title
Public Consultation on Draft Securities Act 2018
Date Issued
2018-07-25
Action
Title
Register for the 19th ECSM Certification Programme Workshop & Examination
Date Issued
2018-06-18
Action
Title
Revocation of Broker-Dealer Licence of RBC Merchant Bank (Caribbean) Ltd
Date Issued
2018-05-04
Action
Title
ECSRC Recognises Retiring Commissioner
Date Issued
2017-12-13
Action
Title
Monetary Council Appoints New Commissioner to the ECSRC
Date Issued
2017-12-13
Action
Title
ECSRC Celebrates 15 Years of Promoting a Safe Environment For Investing in the Eastern Caribbean Securities Market
Date Issued
2016-10-28
Action
Title
Register for the 17TH ECSM Certification Programme Workshop & Examination
Date Issued
2016-10-05
Action
Title
ECSRC Participates in IFIE Working Group Meeting
Date Issued
2016-04-28
Action
Title
Participation in the Toronto Centre International Program for Securities Regulators by Members of the Eastern Caribbean Securities Regulatory Commission
Date Issued
2015-09-10
Action
Title
Signing of Memorandum of Understanding
Date Issued
2014-04-19
Action
Title
SUSPENSION OF BROKER DEALER LICENCE FOR NATIONAL BANK OF ANGUILLA LTD
Date Issued
2014-02-18
Action
Title
Market Advisory: Broker Dealer Licence Revocation and Principal Licence of Kriss Marcus of Trinidad and Tobago Unit Trust Corporation
Date Issued
2013-02-25
Action
Title
Market Advisory: Broker Dealer Licence Revocation for National Mortgage Finance Company Ltd
Date Issued
2012-11-28
Action
Title
Market Advisory: Licence Revocation for Individuals Accredited to National Mortgage Finance Company Ltd
Date Issued
2012-11-27
Action
Title
Market Advisory: Licence Revocation for Joel Allen of ECFH Global Investment Solutions Ltd and Kevin Huggins of Bank of Nevis Ltd
Date Issued
2012-10-26
Action
Title
Tribute to Calvin A Rodgers - Third Chairman of the ECSRC
Date Issued
2011-12-29
Action
Title
Appointments to the Eastern Caribbean Securities Regulatory Commission
Date Issued
2011-03-24
Action
Title
ECSRC Recognises Commissioner Crispin Sorhaindo
Date Issued
2009-11-29
Action
Title
Eastern Caribbean Securities Market (ECSM) Certification Programme Continues
Date Issued
2009-08-18
Action
Title
Eastern Caribbean Securities Market (ECSM) Certification Programme Continues
Date Issued
2008-04-18
Action
Title
Monetary Council Appoints New Commissioners
Date Issued
2007-10-18
Action
Title
Eastern Caribbean Securities Market (ECSM) Certification Programme Continues
Date Issued
2007-05-04
Action
Title
New Appointments At The ECSRC
Date Issued
2007-03-05
Action
Title
Appointment of New Secretary to the Commission
Date Issued
2006-01-24
Action
Title
ECSM Certification Workshop Series Continues
Date Issued
2005-11-11
Action
Title
ECSRC Securities Market Certification Workshop Begins
Date Issued
2004-11-29
Action
Title
ECSRC Continues Securities Market Certification Workshops
Date Issued
2004-10-13
Action
Title
ECSRC Securities Market Workshop Underway
Date Issued
2004-06-07
Action
Title
ECSRC Continues Securities Market Education Programme
Date Issued
2004-05-04
Action
Title
5th ECSM Certification Workshop Underway
Date Issued
2003-10-21
Action
Title
ECSRC Finalising Arrangements for Upcoming Certification Workshop
Date Issued
2003-08-27
Action
Title
ECSRC Launches New Website
Date Issued
2003-07-01
Action
Title
ECSRC Joins International Regulatory Council
Date Issued
2003-03-27
Action
Title
4th Securities Market Certification Workshop Opens
Date Issued
2003-01-20
Action
Title
ECSRC Invites Applications for Certification Programme
Date Issued
2002-12-16
Action
Title
ECSRC Completes its First Year of Operation
Date Issued
2002-10-17
Action
Title
ECSRC Issues Reminder to Prospective Workshop Participants
Date Issued
2002-09-17
Action
Title
ECSRC Invites Applications for Certification Programme
Date Issued
2002-08-14
Action
Title
ECSRC Commissioners to Meet
Date Issued
2002-01-28
Action

Market Directives

Title
ECSRC Electronic Filing Guidance Note
Date Issued
2018-08-09
Action
Title
ESCRC MARKET GUIDELINES (1 OF 2017)
Date Issued
2017-11-02
Action
Title
Consultation Paper on Compliance and Internal Control Guidelines for Entities Licensed under the Securities Act (ECSRC Market Guidelines No.1 of 2017)
Date Issued
2017-03-01
Action
Title
No Extensions for Submission of Statutory Filings
Date Issued
2014-10-21
Action
Title
ECSRC Issues Reporting Rules For Public Companies
Date Issued
2002-11-14
Action
Title
Securities Registries Need to Be Licensed
Date Issued
2002-11-14
Action
Title
Securities Registries Need to Be Licensed
Date Issued
2002-11-13
Action
Title
ECSRC Issues Advisory
Date Issued
2002-05-24
Action

Advisories: Cease & Desist Orders

There are no current news items in this archive.

Market Warnings

Title
MARKET NOTICE - ALERT 1 of 2021 – Foreign Exchange (FOREX) Trading or Brokerage or Binary Options Trading
Date Issued
2021-12-30
Action
Title
MARKET NOTICE - REQUIREMENTS FOR MARKET PARTICIPATION: COLLECTIVE INVESTMENT SCHEMES
Date Issued
2021-11-30
Action
Title
WARNING NOTICE - BTSave, EZ2GO Ltd., Broker Z and GrouPolo Ltd,
Date Issued
2021-11-26
Action
Title
SVGEX and CMAEC Market Notice
Date Issued
2020-04-21
Action
Title
PUBLIC ADVISORY: Virtual Currency Business
Date Issued
2018-11-15
Action
Title
Market Alert for Grenada
Date Issued
2016-06-20
Action
Title
Cantwell International LLC
Date Issued
2012-05-31
Action
Title
CIBC Makes Takeover Bid For FirstCaribbean Shares
Date Issued
2006-12-29
Action
Title
CIBC Acquires Majority Stake In FirstCaribbean International Bank
Date Issued
2006-12-29
Action
Title
Sale of Dominica Electricity Services Limited (DOMLEC) Shares
Date Issued
2005-08-22
Action

Recent Scams

There are no current news items in this archive.

Publications

Title
Statement of the Chairman: 10th Anniversary Celebration Eastern Caribbean Securities Regulatory Commission
Date Issued
2011-10-25
Action
Title
Chairman’s Address at the Commemorative Service Immaculate Conception Co-Cathedral Catholic Church St Kitts held on 16 October 2011
Date Issued
2011-10-16
Action
Title
Speech by the Deputy Chairman: Opening Ceremony - Seventh ECSM Workshop held on Monday, 29 November 2004
Date Issued
2005-05-12
Action
Title
Speech by the Deputy Chairman: Opening Ceremony - Sixth Eastern Caribbean Securities Market Certification Programme held 7 to 11 June 2004
Date Issued
2004-08-26
Action
Title
Remarks by the Deputy Chairman: Opening Ceremony – Fifth Eastern Caribbean Securities Market Certification Programme held on 20 To 24 October 2003
Date Issued
2004-08-26
Action
Title
Remarks by Deputy Chairman: TDC Listing Ceremony held on Thursday, 26 June, 2003
Date Issued
2003-06-26
Action