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