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
What is an Intermediary?
Are there any standards of conduct for the licensees of the ECSM?
Where are the licensing implications for a licensee who has been suspended or revoked?
Why would the ECSRC suspend a licensee?
Under what circumstances would the ECSRC revoke a licence granted to a company licensed under Part IV of the Securities Act?
Under what circumstances would the ECSRC revoke a licence granted to an individual?
What are the legal implications of carrying on securities business in the Eastern Caribbean Securities Market without the requisite licence (s)?
Are there any institutions who may give advice on securities without requiring an investment adviser licence from the ECSRC to do so?
Under what conditions would a person be regarded as carrying on business giving advice on securities?
Under what conditions would a person be regarded as carrying on business dealing in securities?