Licensee / Prospective Licensee

This Section provides general information for licensees and prospective licensees under the Securities Act 2001 administered by the Eastern Caribbean Securities Regulatory Commission (“ECSRC”).

All individuals who wish to engage in carrying on regulated activities or in the conduct of securities business with the public in the Eastern Caribbean Securities Market (“ECSM”) within the Eastern Caribbean Currency Union (ECCU) must be licensed with the ECSRC.

Persons proposing to offer the following services must be Licensed accordingly:

• SRO: Securities Exchange
• SRO: Securities Clearing Agency
• SRO: Self-Regulatory Organizations
• Securities Registry
• Broker Dealer
• Limited Service Broker Dealer
• Investment Adviser (Company)
• Investment Adviser (Individual)
• Custodian
• CIS: Custodian
• CIS: Management Company
• CIS: Collective Investment Scheme
• Principal (Individual)
• Representative (Individual)