Introduction to Equity Financing Webinar

 

Welcome! You are invited to join a Free Webinar - Introduction to Equity Financing on Thursday 11th April from 11 am to 12:30 pm. After registering, you will receive a confirmation email about joining the meeting.

Click here to register for the webinar. Click here to view the flyer for more information. X

ECSM Certification

 

The 26th Eastern Caribbean Securities Market (ECSM) Certification Program will be held from 9th April to 18th April 2024. The objective of the programme is to familiarise participants with the principles and operations of the ECSM; and to prepare prospective market participants for the ECSM Certification Examination. Please click here to learn more and to register to participate in the Programme.

Download the Registration Form X

ECSRC NOTICE

 

The Office of the Secretariat of the Eastern Caribbean Securities Regulatory Commission is now open for normal operations from Tuesday to Thursday each week from 8:00 am to 4:00 pm.

We continue to work remotely on Monday and Friday each week. You may contact us via email at info@ecsrconline.com or telephone 1 (869) 465-2537.

Thank you for your continued patience and cooperation.

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News Releases

All Archived News

News Releases

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Archived News Releases
Title
MARKET NOTICE - Citizenship by Investment and Securities Legislation: Unauthorised Offer of Securities
Date Issued
2023-02-14
Action
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Title
MARKET NOTICE - ECSRC: Appointment of Commissioners
Date Issued
2023-02-14
Action
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Title
ECSRC NOTICE: Invitation for Nominations from Private Sector Organisations - Appointment as Commissioner to ECSRC
Date Issued
2022-12-08
Action
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Title
MARKET NOTICE: Continuing Disclosure Obligations of Reporting Issuers: Financial Reporting And Disclosure
Date Issued
2022-11-29
Action
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Title
Caribbean Development Bank Partners with the Eastern Caribbean Securities Regulatory Commission to Bring Crowdfunding to MSMEs
Date Issued
2022-08-24
Action
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Title
ECSRC Launches Project to Promote Crowdfunding, Calls For Early Stakeholder Participation
Date Issued
2022-08-19
Action
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Title
MARKET NOTICE: ECSRC APPROVES INVESTMENT ADVISER LICENCE
Date Issued
2022-08-05
Action
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Title
ECSRC ATTAINS IOSCO MEMBERSHIP
Date Issued
2022-03-18
Action
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Title
ECSM Licensing Policy: Market Notice
Date Issued
2021-06-04
Action
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Title
Participating Governments of the Organisation of Eastern Caribbean States (OECS) sign Revised Eastern Caribbean Securities Regulatory Agreement
Date Issued
2020-11-19
Action
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Advisories: New Licences

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Current Advisories: New Licences
Title
New Representative Licence granted to Greg Ferriera, First Citizens Investment Services Ltd.
Date Issued
2018-02-02
Action
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Title
New Principal Licence granted to Laurent Hadley, Bank of St Vincent and the Grenadines
Date Issued
2017-11-22
Action
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Title
New Representative Licence granted to Mervin Simeon, Bank of Saint Lucia Ltd
Date Issued
2017-11-22
Action
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Title
New Representative Licence granted to Denicia Small, The Bank of Nevis Ltd
Date Issued
2017-11-02
Action
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Title
New Principal Licence granted to Allana Joseph, Grenada Cooperative Bank
Date Issued
2017-10-20
Action
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Title
New Principal Licence granted to Temelia Providence, First Citizens Investment Services Ltd, St Vincent Office
Date Issued
2017-10-20
Action
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Title
New Representative Licence granted to Kishel Francis, Grenada Cooperative Bank
Date Issued
2017-09-28
Action
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Title
New Principal Licence granted to Stephen Grell, Citicorp Merchant Bank Limited, Trinidad & Tobago
Date Issued
2017-09-28
Action
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Title
Changes in the Register of Licensees
Date Issued
2017-08-31
Action
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Title
Licence Granted to Norlann Gabriel of First Citizens Investment Services Ltd
Date Issued
2016-07-01
Action
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Title
Licence Granted to Andrew Boissiere of RBC Merchant Bank (Caribbean) Ltd
Date Issued
2016-05-23
Action
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Title
Licence Granted to Lawrence Jean of ECFH Global Investment Solutions Ltd
Date Issued
2015-10-26
Action
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Title
Licence Granted to Aaron Logie of Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
Action
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Title
Licence Granted to Keisha Greenidge of Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
Action
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Title
Licence Granted to Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
Action
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Title
Licence Granted to Carla Sylvester of Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
Action
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Title
Licence Granted to Dave Dookie of First Citizens Investment Services Ltd
Date Issued
2015-06-22
Action
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Title
Licence Granted to Medford Francis of ECFH Global Investment Solutions Ltd
Date Issued
2015-06-15
Action
View
Title
Licence Granted to Chez Quow of Bank of St Vincent and the Grenadines
Date Issued
2014-07-29
Action
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Title
Licence Granted to Laurent Hadley of Bank of St Vincent and the Grenadines Ltd
Date Issued
2014-05-27
Action
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Title
Licence Granted to Judy Claxton of the Bank of Nevis
Date Issued
2014-05-27
Action
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Title
ECSRC Issues New Broker-Dealer Licence to ECFH Global Investment Solutions Ltd
Date Issued
2009-02-12
Action
View
Title
RBTT Merchant Bank Ltd is the Second Trinidad Company to Receive ECSRC Broker Dealer Licence
Date Issued
2005-06-06
Action
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Title
Caribbean Money Market Brokers (CMMB) Receives ECSRC Broker Dealer Licence
Date Issued
2005-02-09
Action
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Title
ECSRC Issues New Broker Dealer Licence to Republic Finance and Merchant Bank Ltd (FINCOR)
Date Issued
2003-04-02
Action
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Title
ECSRC Licenses Antigua Commercial Bank (ACB) and St Kitts-Nevis-Anguilla National Bank Ltd as Intermediaries for the Securities Market
Date Issued
2002-11-13
Action
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Advisories: Suspensions & Revocations

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Current Advisories: Suspensions & Revocations

There are no current news items in this archive.

Market Directives

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Current Market Directives
Title
ECSRC Electronic Filing Guidance Note
Date Issued
2018-08-09
Action
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Title
ESCRC MARKET GUIDELINES (1 OF 2017)
Date Issued
2017-11-02
Action
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Title
Consultation Paper on Compliance and Internal Control Guidelines for Entities Licensed under the Securities Act (ECSRC Market Guidelines No.1 of 2017)
Date Issued
2017-03-01
Action
View
Title
No Extensions for Submission of Statutory Filings
Date Issued
2014-10-21
Action
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Title
ECSRC Issues Reporting Rules For Public Companies
Date Issued
2002-11-14
Action
View
Title
Securities Registries Need to Be Licensed
Date Issued
2002-11-14
Action
View
Title
Securities Registries Need to Be Licensed
Date Issued
2002-11-13
Action
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Title
ECSRC Issues Advisory
Date Issued
2002-05-24
Action
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Advisories: Cease & Desist Orders

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Current Advisories: Cease & Desist Orders

There are no current news items in this archive.

Market Warnings

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Current Market Warnings
Title
MARKET NOTICE - ALERT 1 of 2021 – Foreign Exchange (FOREX) Trading or Brokerage or Binary Options Trading
Date Issued
2021-12-30
Action
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Title
MARKET NOTICE - REQUIREMENTS FOR MARKET PARTICIPATION: COLLECTIVE INVESTMENT SCHEMES
Date Issued
2021-11-30
Action
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Title
WARNING NOTICE - BTSave, EZ2GO Ltd., Broker Z and GrouPolo Ltd,
Date Issued
2021-11-26
Action
View
Title
SVGEX and CMAEC Market Notice
Date Issued
2020-04-21
Action
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Title
PUBLIC ADVISORY: Virtual Currency Business
Date Issued
2018-11-15
Action
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Title
Market Alert for Grenada
Date Issued
2016-06-20
Action
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Title
Cantwell International LLC
Date Issued
2012-05-31
Action
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Title
CIBC Makes Takeover Bid For FirstCaribbean Shares
Date Issued
2006-12-29
Action
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Title
CIBC Acquires Majority Stake In FirstCaribbean International Bank
Date Issued
2006-12-29
Action
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Title
Sale of Dominica Electricity Services Limited (DOMLEC) Shares
Date Issued
2005-08-22
Action
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Recent Scams

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Current Recent Scams

There are no current news items in this archive.

Speeches

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Current Speeches
Title
Money Market Mutual Fund Reform: Opening Statement at the SEC Open Meeting
Date Issued
2013-06-29
Action
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Publications

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Current Publications
Title
Statement of the Chairman: 10th Anniversary Celebration Eastern Caribbean Securities Regulatory Commission
Date Issued
2011-10-25
Action
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Title
Chairman’s Address at the Commemorative Service Immaculate Conception Co-Cathedral Catholic Church St Kitts held on 16 October 2011
Date Issued
2011-10-16
Action
View
Title
Speech by the Deputy Chairman: Opening Ceremony - Seventh ECSM Workshop held on Monday, 29 November 2004
Date Issued
2005-05-12
Action
View
Title
Speech by the Deputy Chairman: Opening Ceremony - Sixth Eastern Caribbean Securities Market Certification Programme held 7 to 11 June 2004
Date Issued
2004-08-26
Action
View
Title
Remarks by the Deputy Chairman: Opening Ceremony – Fifth Eastern Caribbean Securities Market Certification Programme held on 20 To 24 October 2003
Date Issued
2004-08-26
Action
View
Title
Remarks by Deputy Chairman: TDC Listing Ceremony held on Thursday, 26 June, 2003
Date Issued
2003-06-26
Action
View
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