Please note that until further notice, the staff of the ECSRC Secretariat are working remotely.
As such, we encourage our valued clients and the general public to communicate with us via electronic mail. You can reach us at firstname.lastname@example.org.
On behalf of the staff of the ECSRC Secretariat and Commissioners of the ECSRC, we pray that you and your loved ones remain safe during this period of global challenge.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: