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