Regulatory Actions

Licensees

For full details, see Suspension and/ or Revocation of Licences under Market Advisories. 

1. Revocation of Principal Licence - Keith Innis, Basseterre, March 25, 2014
2. Revocation of Broker Dealer Licence - FICS, Basseterre, February 10, 2014
3. Revocation of Anderson Soomer's Representative Licence, Basseterre, November 29, 2013
4. Licence Revocations for ACB's Accredited Individuals, Basseterre, September 30, 2013
5. Suspension of NBA Broker Dealer Licence and Revocation of Representative Licence of Shernika Connor, Basseterre, July 31, 2013
6. Revocation of Principal and Representative Licenses of Casroy James of ABI Bank Basseterre, July 23, 2013
7. Broker Dealer Licence Revocation and Principal Licence of Kriss Marcus, Basseterre, February 25, 2013
8. National Mortgage Finance Company of Dominica (NMFC) Broker Dealer Licence Revocation, Basseterre, November 28, 2012
9. Licence Revocations for Accredited Individuals of NMFC Licence Revocation, Basseterre, November 27, 2012
10. Principal licences Revocation,Mr Joel Allen who was accredited to ECFH Global Investment Solutions Ltd and Mr Kevin Huggins who was accredited to Bank of Nevis Ltd, Basseterre, October 26, 2012
11. Licence Revocation for Antigua Commercial Bank, Basseterre, October 19, 2012
12. Representative Licence Revocation for Kevin Dollywho was accredited to the Trinidad and Tobago Unit Trust Corporation, Basseterre, October 08, 2012
13. Suspension of Broker Dealer Licence of Trinidad and Tobago Unit Trust Corporation (TTUTC), Basseterre, September 26, 2012
14. Principal Licence Revocation for Sharmaine Francois and Representative Licence Revocation of Amobi Armstrong, Basseterre, August 28, 2012
15. Principal Licence Revocation of Stephen Lander and Representative Licence Revocation of Selwyn Horsford, Basseterre, July 20, 2012
16. Suspension of Broker Dealer licence for FICS, Basseterre, July 20, 2012
17. Revocation of Representative Licence of Cecelia Melville of CMBL, Basseterre, April 24, 2012.

Reporting Issuers

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