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: Globally, virtual currencies are becoming increasingly popular as a means to conduct traditional business in the financial and capital markets.  These transactions also include invitations to the public to invest in these virtual currencies or to participate in funding activities including Initial Coin Offerings (ICOs) or other Token Generating Events.  
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