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
Principal is construed in accordance with the definition provided under PART IV of the Securities Act.
A principal is generally an individual who is actively involved in the management and daily supervision of the business (for example trading, operational, sales, compliance and staff) of a Broker Dealer, Limited Service Broker or an Investment Adviser that is a company.