Market Regulation and Examination



Market Regulation Division

Responsible for all licensees of the ECSRC, this division establishes and maintains appropriate standards for fair, orderly and efficient securities dealings in the Eastern Caribbean Securities Market. The division:

  • establishes certification, operating, licensing, reporting and conduct requirements for licensees;
  • assesses applications for licence from prospective market participants;
  • conducts on-site examinations of market participants;
  • undertakes market surveillance; and
  • sets examinations for and certifies potential licensees.