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Revision of Licensing Policy for Individual Licence: Mark...

The Eastern Caribbean Securities Regulatory Commission (“Commission”) informs of a revision of its licensing policy for individual licence holders. At present, a licence granted to an individual to operate as a Principal, Representative or Investment Adviser in the Eastern Caribbean Securities Market (ECSM) is subject to immediate revocation if the individual licence holder is no longer employed with a licensed intermediary and the Commission has not received the required notification of a change in the individual’s employer. Since the Securities Act 2001 does not provide for the reinstatement of a licence, a former licence holder must reapply, if he/she wishes to participate in the ECSM after his/her licence has been revoked by the Commission.

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Welcome to the ECSRC

The Eastern Caribbean Securities Regulatory Commission (ECSRC) is the regulatory body that administers the securities legislation governing securities business in the Eastern Caribbean Currency Union.

To help you become and/or remain an informed participant of the Eastern Caribbean Securities Market please visit our "Resource Center".

If you are, or wish to become, an owner of securities, follow the "Investor Resources" link below.

If you feel you have been or are being targeted for fraud or other misconduct, please visit our "Complaint Center".