Tip: To make an effective complaint learn more.
Tip: In the Eastern Caribbean Currency Union there are laws which provide legal recourse if you were defrauded in a securities transaction.  Learn more.
Tip: If an investment guarantees an incredibly high return it is likely to be a scam. Seek guidance from a trained licensed individual.  Learn more.
Tip: If you habitually spend less than you earn this may signal that you have funds to put towards investment. Learn more.
News: The public is hereby notified that effective 3 May 2018, the Eastern Caribbean Securities Regulatory Commission (ECSRC) has revoked the broker-dealer licence (No. TT-BD-0006-11) of RBC Merchant Bank (Caribbean) Limited, as the company has ceased to hold itself out as carrying on the business of a licensed broker-dealer in the Eastern Caribbean Securities Market (ECSM).
News: Compliance and Internal Control Guidelines for Entities Licensed under the Securities Act
Annualize: Annualize means to convert a rate of return from a periodic basis to on an annual basis.
Asset: An asset means anything having commercial or exchange value that is owned by a business, institution, or individual. Financial instruments, in the form of securities, are classified as capital/financial assets.
Bond: A bond is an interest bearing or discounted government or corporate debt security that obligates the issuer (corporate or government entity) to pay the bondholder (investor).
Capital Gain: Capital Gain refers to the increase in the value of a financial asset.

Proposed Legislation & Rules

- RESOURCE LIBRARY

Proposed Legislation & Rules

Current

N/A

Past

Securities (Private Placement) Rules No. 3 of 2002

Related Documents

Template for Comments on Securities Bill 2018

Market Comments on Private Placement Rules

Draft Securities Act 2018

Explanatory Memorandum for Securities Bill 2018