- INVESTOR RESOURCES
Investors Resources
- TIPS, TOOLS & QUIZZES
Tips, Tools & Quizzes
No. A firm licensed as a broker dealer is authorised to provide investment advisory services to the investing public.
No. Unlike a broker dealer, a limited service broker is precluded from:
More information on limited service brokers can be accessed via Licensee/Prospective Licensee Resources.
A broker dealer is a company that carries on the business of dealing in securities, or holds itself out as conducting such business, as defined in the legislation. This market participant generally provides full broker dealer services including investment banking, buying and selling of securities, underwriting, holding discretionary and non-discretionary accounts, and providing investment advice. The legislation informs that carrying on business dealing in securities, (whether acting as principal or agent) by way of business involves:
The ECSRC maintains a Register of Licensees which provides the following information on licensees, as well as licensed market institutions:
The register may be view via this link. The register is open to inspection by members of the public.
Apart from licensees the ECSRC is also the sole licensing authority for the following securities market institutions:
A licensee refers to a person (individual or company) licensed under Part IV of the Securities Act. The following persons are considered licensees:
The division of Market Regulation establishes and maintains appropriate standards for fair, orderly and efficient securities dealings in the Eastern Caribbean Securities Market. The division:
Currently the staff complement is seven persons.
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