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Services/Individuals Requiring Licence

The legislation governing activities in the Eastern Caribbean Securities Market informs the services and individuals requiring a licence from the ECSRC.

Persons proposing to offer the following services require a licence to do s:

  • Securities Exchange
  • Clearing Agency
  • Securities Registry
  • Self-Regulatory Organizations
  • Broker Dealer
  • Limited Service Broker Dealer
  • Investment Adviser (Company)
  • Investment Adviser (Individual)
  • Custodian
  • CIS Custodian
  • CIS Management Company
  • Principal
  • Representative