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

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First Citizens Investment Services Ltd, Saint Lucia

Financial Services Provider: Non-Bank Financial Institution Investment Services and Reporting Issuer

Contact Person:
Margaret Cox
Issuer Name:
First Citizens Investment Services Ltd, Saint Lucia
Issuer Address:
John Compton Highway
San Souci
Castries
Saint Lucia
Mailing Address:
P O Box 1294
Castries
Saint Lucia
Telephone Number:
1-758-458-6375 ext 7202
Telephone Number 2:
1-758-458-6378
Mobile Number:
1-758-485-8005
Fax Number:
1-758-451-7984
Email Address:
Margaret.Cox@firstcitizensslu.com
Email Address 2:
Date of Incorporation:
27 June, 2005
Place of Incorporation:
Saint Lucia
Company/Corporate Secretary

Mrs Julieanne Griffith

Financial Year End
30 September
REGULATORY ACTION

SENIOR MANAGERS AND OFFICERS:

  1. Ms Sana Ragbir, General Manager
  2. Mr Stephen Thomas, Assistant General Manager
  3. Mrs Julieanne Griffith, Manager - Compliance, Legal, Compliance & Governance Division
  4. Mr Omar Burch-Smith, Business Development Manager

NAME OF DIRECTORS:

  1. Mr Anthony Isidore Smart, Chairman
  2. Ms Karen Darbasie
  3. Mr Ryan Proudfoot
  4. Mr Troy Garcia
  5. Ms Idrees Omardeen
  6. Ms Jayselle McFarlene
  7. Mr David Inglefield
  8. Ms Nicole De Freitas
  9. Mr Ian Narine
  10. Mr Sterling Frost

DETAILS OF SUBSTANTIAL SHAREHOLDERS AND NUMBER OF SHARES HELD


SHAREHOLDING:

637,697 Common Class Shares

DIRECTIVES ISSUED TO THE COMPANY:

NOTES:

Mrs Carole Eleuthere-JnMarie is temporarily reassigned to First Citizens Bank (Barbados) Limited as Chief Executive Officer, effective 1 December 2016 until further notice.  As such Mrs Eleuthere-JnMarie shall not engage in the conduct of any securities business in the Eastern Caribbean Securities Market, as permitted by her Principal Licence SL-PL-0003-10, while she is assigned as Chief Executive Officer for First Citizens Bank (Barbados) Limited.

 

Ms Norlann Gabriel is accredited to First Citizens Investment Services (FCIS) Saint Lucia but is assigned to the FCIS Branch Office in St Vincent and the Grenadines.  Effective 6 September 2017, Ms Gabriel was reassigned to First Citizens Investment Services Ltd, Barbados as Country Manager, until further notice.  For the time Ms Gabriel is reassigned, her Licence will be maintained in the Register of Licensees, however she shall not engage in the conduct of any securities business in the Eastern Caribbean Securities Market (ECSM), as permitted by the Principal Licnece, due to the re-assignment.

 

Ms Temelia Providence is accredited to First Citizens Investment Services (FCIS) Saint Lucia but is assigned to the FCIS Branch Office in St Vincent and the Grenadines.

 

 

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