NOTICE OF FINE

 

Notice is hereby given that cable and wireless (St Kitts and Nevis) ltd is fined the sum of $100,000.00 for breach of the securities (continuing disclosure obligations of issuers) regulations of the securities act cap. 21.16.

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Advisories: Cease & Desist Orders

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Archived Advisories: Cease & Desist Orders

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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
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Title
New Representative Licence granted to Mervin Simeon, Bank of Saint Lucia Ltd
Date Issued
2017-11-22
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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
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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
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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
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Title
Changes in the Register of Licensees
Date Issued
2017-08-31
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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
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Title
Licence Granted to Lawrence Jean of ECFH Global Investment Solutions Ltd
Date Issued
2015-10-26
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Title
Licence Granted to Aaron Logie of Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
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Title
Licence Granted to Keisha Greenidge of Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
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Title
Licence Granted to Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
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Title
Licence Granted to Carla Sylvester of Grenada Co-operative Bank Ltd
Date Issued
2015-09-30
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Title
Licence Granted to Dave Dookie of First Citizens Investment Services Ltd
Date Issued
2015-06-22
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Title
Licence Granted to Medford Francis of ECFH Global Investment Solutions Ltd
Date Issued
2015-06-15
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Title
Licence Granted to Chez Quow of Bank of St Vincent and the Grenadines
Date Issued
2014-07-29
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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
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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

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News Releases

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Current News Releases
Title
NEWS RELEASE: ECSRC Officially Welcomes New Commissioner
Date Issued
2023-09-05
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Title
MARKET NOTICE - ECSRC: Appointment of Commissioners
Date Issued
2023-02-14
Action
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Title
MARKET NOTICE - Citizenship by Investment and Securities Legislation: Unauthorised Offer of Securities
Date Issued
2023-02-14
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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
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Title
MARKET NOTICE: ECSRC APPROVES INVESTMENT ADVISER LICENCE
Date Issued
2022-08-05
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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
ECSM LICENSING POLICY FOR INDIVIDUALS
Date Issued
2020-11-19
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
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Title
WARNING NOTICE: COVID-19 RELATED SCAMS
Date Issued
2020-07-24
Action
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Title
Revision of Licensing Policy for Individual Licence: Market Notice
Date Issued
2020-06-16
Action
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Title
Corporate Governance Market Notice
Date Issued
2020-04-21
Action
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Title
Procedure for the Notification of Changes in Material Information in Approved Prospectuses
Date Issued
2020-02-20
Action
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Title
2019 Annual Report
Date Issued
2020-02-20
Action
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Title
World Investor Week (WIW) 2019
Date Issued
2019-10-02
Action
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Title
Draft Corporate Governance Rules
Date Issued
2019-09-30
Action
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Title
Voices of the Caribbean
Date Issued
2018-10-08
Action
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Title
Public Consultation on Draft Revised ECSRC Reporting Rules
Date Issued
2018-08-17
Action
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Title
Public Consultation on Draft Securities Act 2018
Date Issued
2018-07-25
Action
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Title
Register for the 19th ECSM Certification Programme Workshop & Examination
Date Issued
2018-06-18
Action
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Title
Revocation of Broker-Dealer Licence of RBC Merchant Bank (Caribbean) Ltd
Date Issued
2018-05-04
Action
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Title
ECSRC Recognises Retiring Commissioner
Date Issued
2017-12-13
Action
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Title
Monetary Council Appoints New Commissioner to the ECSRC
Date Issued
2017-12-13
Action
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Title
ECSRC Celebrates 15 Years of Promoting a Safe Environment For Investing in the Eastern Caribbean Securities Market
Date Issued
2016-10-28
Action
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Title
Register for the 17TH ECSM Certification Programme Workshop & Examination
Date Issued
2016-10-05
Action
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Title
ECSRC Participates in IFIE Working Group Meeting
Date Issued
2016-04-28
Action
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Title
Participation in the Toronto Centre International Program for Securities Regulators by Members of the Eastern Caribbean Securities Regulatory Commission
Date Issued
2015-09-10
Action
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Title
Signing of Memorandum of Understanding
Date Issued
2014-04-19
Action
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Title
SUSPENSION OF BROKER DEALER LICENCE FOR NATIONAL BANK OF ANGUILLA LTD
Date Issued
2014-02-18
Action
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Title
Market Advisory: Broker Dealer Licence Revocation and Principal Licence of Kriss Marcus of Trinidad and Tobago Unit Trust Corporation
Date Issued
2013-02-25
Action
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Title
Market Advisory: Broker Dealer Licence Revocation for National Mortgage Finance Company Ltd
Date Issued
2012-11-28
Action
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Title
Market Advisory: Licence Revocation for Individuals Accredited to National Mortgage Finance Company Ltd
Date Issued
2012-11-27
Action
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Title
Market Advisory: Licence Revocation for Joel Allen of ECFH Global Investment Solutions Ltd and Kevin Huggins of Bank of Nevis Ltd
Date Issued
2012-10-26
Action
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Title
Tribute to Calvin A Rodgers - Third Chairman of the ECSRC
Date Issued
2011-12-29
Action
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Title
Appointments to the Eastern Caribbean Securities Regulatory Commission
Date Issued
2011-03-24
Action
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Title
ECSRC Recognises Commissioner Crispin Sorhaindo
Date Issued
2009-11-29
Action
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Title
Eastern Caribbean Securities Market (ECSM) Certification Programme Continues
Date Issued
2009-08-18
Action
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Title
Eastern Caribbean Securities Market (ECSM) Certification Programme Continues
Date Issued
2008-04-18
Action
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Title
Monetary Council Appoints New Commissioners
Date Issued
2007-10-18
Action
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Title
Eastern Caribbean Securities Market (ECSM) Certification Programme Continues
Date Issued
2007-05-04
Action
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Title
New Appointments At The ECSRC
Date Issued
2007-03-05
Action
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Title
Appointment of New Secretary to the Commission
Date Issued
2006-01-24
Action
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Title
ECSM Certification Workshop Series Continues
Date Issued
2005-11-11
Action
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Title
ECSRC Securities Market Certification Workshop Begins
Date Issued
2004-11-29
Action
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Title
ECSRC Continues Securities Market Certification Workshops
Date Issued
2004-10-13
Action
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Title
ECSRC Securities Market Workshop Underway
Date Issued
2004-06-07
Action
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Title
ECSRC Continues Securities Market Education Programme
Date Issued
2004-05-04
Action
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Title
5th ECSM Certification Workshop Underway
Date Issued
2003-10-21
Action
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Title
ECSRC Finalising Arrangements for Upcoming Certification Workshop
Date Issued
2003-08-27
Action
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Title
ECSRC Launches New Website
Date Issued
2003-07-01
Action
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Title
ECSRC Joins International Regulatory Council
Date Issued
2003-03-27
Action
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Title
4th Securities Market Certification Workshop Opens
Date Issued
2003-01-20
Action
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Title
ECSRC Invites Applications for Certification Programme
Date Issued
2002-12-16
Action
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Title
ECSRC Completes its First Year of Operation
Date Issued
2002-10-17
Action
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Title
ECSRC Issues Reminder to Prospective Workshop Participants
Date Issued
2002-09-17
Action
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Title
ECSRC Invites Applications for Certification Programme
Date Issued
2002-08-14
Action
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Title
ECSRC Commissioners to Meet
Date Issued
2002-01-28
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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
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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
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Title
Securities Registries Need to Be Licensed
Date Issued
2002-11-14
Action
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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
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Market Warnings

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Current Market Warnings
Title
WARNING NOTICE - IOSCO Statement
Date Issued
2023-12-18
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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
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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
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Title
Speech by the Deputy Chairman: Opening Ceremony - Seventh ECSM Workshop held on Monday, 29 November 2004
Date Issued
2005-05-12
Action
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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
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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
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Title
Remarks by Deputy Chairman: TDC Listing Ceremony held on Thursday, 26 June, 2003
Date Issued
2003-06-26
Action
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