Answersheets

1.

The Eastern Caribbean Securities Regulatory Commission (ECSRC) is an independent and autonomous body which was established by the:

Eastern Caribbean Central Bank (ECCB)Governments of the Member Territories of the Eastern Caribbean Currency Union (ECCU)Eastern Caribbean Securities Exchange (ECSE)None of the above

2.

One of the ECSRCâ€™s mandates is to

Facilitate the sale of securities to the publicProtect the Eastern Caribbean Securities Exchange (ECSE)Promote the protection of investors in securities within the Eastern Caribbean Securities Market (ECSM)None of the above

3.

The ECSRC is responsible for the

Regulation of Foreign Securities MarketsRegulation of the ECSMRegulation of commercial banks in the ECCUDonâ€™t know/not sure

4.

The ECSRC is comprised of

Eight CommissionersFive part-time CommissionersFive full-time CommissionersNone of the above

5.

The Market Regulation Division of the ECSRC is responsible for

Regulating the Eastern Caribbean Securities ExchangeRegulating all public companies in the ECCULicensing market intermediaries who operate on the ECSMAll of the above

6.

The Legal, Compliance and Enforcement Division of the ECSRCis responsible for

Enforcing the provisionsof the securities legislation Enforcing the provisions of the Banking ActEnforcing the provisions of the Companies ActNone of the above

7.

The Corporation Finance Division of the ECSRCis responsible for

Developing and promoting the financial reporting and disclosure standards for licenceesDeveloping and promoting the financial reporting and disclosure standards for issuersDeveloping and promotingthe financial reporting and disclosure standards for the ECCBAll of the above

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