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 firstname.lastname@example.org or telephone 1 (869) 465-2537.
Thank you for your continued patience and cooperation.X
A company that carries on the business of dealing in securities, or holds itself out as conducting such business, as defined in the legislation.
This market participant generally provides full broker dealer services including investment banking, buying and selling of securities, underwriting, holding discretionary and non-discretionary accounts, and providing investment advice.
The legislation informs that carrying on business dealing in securities, (whether acting as principal or agent) by way of business involves: