The ECSRC maintains a Register of Licensees which provides the following information on licensees, as well as licensed market institutions:

1. the name and address of the licensee;
2. the date on which the licence was granted;
3. the type of securities business permitted by the licence;
4. any conditions attached to the licence;
5. the name and address of every accredited representative;
6. the name and address of every manager and officer;
7. the location of the premises at which the records or other documents of the licensed business are kept;
8. in the case of a company licensee, the name of the principal(s), the name of each director and of the corporate secretary, and the names and respective shareholding of each shareholder;
9. any disciplinary action against the licensee;
10. any order of suspension or revocation; and
11. such other particulars as the ECSRC considers necessary in the interest of the investing or general public.

The register may be view via this link. The register is open to inspection by members of the public.

The ECSRC may, if it thinks it necessary, suspend a licence of an individual or company licensed under PART IV of the Securities Act -

1. as a matter of urgency for the protection of investors, or
2. as a result of any investigation under the Securities Act or regulations made under the Securities Act; for a period, or until the happening of an event, as the ECSRC considers appropriate.

No. A firm licensed as a broker dealer is authorised to provide investment advisory services to the investing public.

Currently the staff complement is seven persons.

A Broker dealer, Limited Service Broker or Investment Adviser (in the case of a company) must have within its employ at least one individual who is licensed as a principal and representative under the Securities Act.

The custodian and management company of a collective investment scheme are also required to effect and maintain appropriate policies of insurance coverage.

It is a statutory requirement that all licensees, with the exception of an accredited principal and representative, effect and maintain appropriate policies of insurance coverage.

The Securities Act requires licensees to effect and maintain appropriate policies of insurance coverage for the purpose of indemnifying the firm against any liability that may be incurred as a result of any act or omission by the licensee or any of its officers or employees in the conduct of the licensee's securities business.