NOTICE OF FINE

 

Notice is hereby given that cable and wireless (St Kitts and Nevis) ltd is fined the sum of $100,000.00 for breach of the securities (continuing disclosure obligations of issuers) regulations of the securities act cap. 21.16.

Source

X
HomeSite PlanCONTACT ECSRC
Email us
Call us
Give us Feedback

Broker Dealer

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:

  1. making or offering to make an agreement with another person to enter into or offer to enter into an agreement, for or with a view to acquiring, disposing of, or subscribing for or underwriting securities;

  2. making or offering to make an agreement that effects or causes  to effect a securities transaction; or

  3. managing a portfolio of securities for another person where the portfolio manager may hold property of the other person.
First Citizens Investment Services Ltd, Saint Lucia
Address
John Compton Highway
San Souci
Castries
License Number
SL-BD-0004-11
Effective Date
07/12/2010
First Citizens Investment Services Limited, Trinidad & Tobago
Address
17 Wainwright Street
St Clair
Port of Spain
License Number
TT-BD-0005-12
Effective Date
03/12/2012
Grenada Co-operative Bank Ltd
Address
No 8 Church Street
St George's
License Number
GR-BD-0002-15
Effective Date
28/09/2015
The Bank of Nevis Limited
Address
Main Street
Charlestown
License Number
KN-BD-0001-01
Effective Date
17/10/2001
St Kitts-Nevis-Anguilla National Bank Ltd
Address
Central Street
Basseterre
License Number
KN-BD-0002-02
Effective Date
16/04/2002
Bank of St Vincent and the Grenadines Ltd
Address
Reigate
Granby Street
Kingstown
License Number
SV-BD-0001-10
Effective Date
26/11/2010
Bank of Saint Lucia Ltd
Address
2nd Floor, Financial Centre Building
No. 1 Bridge Street
Castries
License Number
SL-BD-0006-16
Effective Date
20/12/2016
First Citizens Investment Services Ltd, St Vincent
Address
2nd Floor Lewis Pharmacy Building,
Corner of James and Middle Streets,
Kingstown,
License Number
SV-BD-0002-19
Effective Date
25/03/2019
FirstCaribbean International Bank (Barbados) Ltd
Address
Michael Mansoor Building
Warrens
St Michael, BB 22026
License Number
BB-BD-0002-19
Effective Date
15/01/2019
Sheppard Investment Services Limited
Address
Bella Rosa Road
Gros Islet
License Number
SL‑BD‑0009‑26
Effective Date
04/04/2022
Sagicor Asset Management Inc
Address
Sagicor Financial Centre
Choc Estate
Castries
License Number
SL-BD-0008-22
Effective Date
13/10/2022
Antigua Commercial Bank Limited trading as ACB Caribbean
Address
Thames & St Mary’s Streets
St Johns
License Number
AB-BD-0001-24
Effective Date
08/02/2024
National Investment Corporation Ltd
Address
64 Hillsborough Street
Roseau
License Number
DM-BD-0002-25
Effective Date
06/06/2025
First Citizens Investment Services Limited
Address
John Compton Highway, Sans Souci
Castries
License Number
SL-RR-0032-26
Effective Date
31/12/1969
Copyright © | Eastern Caribbean Securities Regulatory Commission | All rights reserved.