Activities and Objectives

The ECSRC regulates the Eastern Caribbean Securities Market in accordance with legislative requirements to protect investors from unfair, improper and fraudulent practices and to foster a fair, efficient and transparent securities market. The ECSRC also promotes financial stability and the growth and development of the ECSM.

This is accomplished by:

• licensing, monitoring and supervising the activities of ECSM securities intermediaries;
• training and certifying licensed individuals;
• setting and implementing market disclosure standards;
• maintaining effective programmes intended to ensure compliance with the securities legislation;
• maintaining an effective enforcement programme;
• cooperating with similar authorities for the effective regulation of the capital market;
• making rules and proposing legislation for the regulation of the securities market;
• amending existing rules and making recommendations for amendments to legislation;
• interpreting the Securities Act Regulations;
• collaborating with authorities concerned with the operations of companies.

ECSRC MANDATE      

The ECSRC mandate, as stated in the statute, is the protection of investors in securities.

ECSRC VISION      

To be a centre for competence in the regulation of securities markets and investment business in the Eastern Caribbean Currency Union.

ECSRC MISSION      

To ensure integrity, probity, efficiency and transparency in the operations of the Eastern Caribbean Securities Market and its participants, while facilitating market development.