Tip: To make an effective complaint learn more.
Tip: In the Eastern Caribbean Currency Union there are laws which provide legal recourse if you were defrauded in a securities transaction.  Learn more.
Tip: If an investment guarantees an incredibly high return it is likely to be a scam. Seek guidance from a trained licensed individual.  Learn more.
Tip: If you habitually spend less than you earn this may signal that you have funds to put towards investment. Learn more.
News: At its 75th Meeting held on 26 November 2019, the Commission unanimously agreed to adopt administrative procedures for the notification of changes in material information contained in approved prospectuses. Material information, as defined in the revised Securities (Accounting and Financial Reports) Rules that were reissued to the market in June 2019, is “information relating to the business, operations or securities of an issuer that would reasonably be expected to significantly affect the value or market price of the issuer or a security of the issuer.”
News: In accordance with Article 29(1) of the Eastern Caribbean Securities Regulatory Commission Agreement 2000, I have the honour to transmit herewith the Eastern Caribbean Securities Regulatory Commission Annual Report on its activities for the year ended 31 March 2019.
News: Globally, virtual currencies are becoming increasingly popular as a means to conduct traditional business in the financial and capital markets.  These transactions also include invitations to the public to invest in these virtual currencies or to participate in funding activities including Initial Coin Offerings (ICOs) or other Token Generating Events.  
News: The public is hereby notified that effective 3 May 2018, the Eastern Caribbean Securities Regulatory Commission (ECSRC) has revoked the broker-dealer licence (No. TT-BD-0006-11) of RBC Merchant Bank (Caribbean) Limited, as the company has ceased to hold itself out as carrying on the business of a licensed broker-dealer in the Eastern Caribbean Securities Market (ECSM).
News: Compliance and Internal Control Guidelines for Entities Licensed under the Securities Act
Annualize: Annualize means to convert a rate of return from a periodic basis to on an annual basis.
Asset: An asset means anything having commercial or exchange value that is owned by a business, institution, or individual. Financial instruments, in the form of securities, are classified as capital/financial assets.
Bond: A bond is an interest bearing or discounted government or corporate debt security that obligates the issuer (corporate or government entity) to pay the bondholder (investor).
Capital Gain: Capital Gain refers to the increase in the value of a financial asset.

Activities and Objectives

- ABOUT THE ECSRC

Activities and Objectives

The ECSRC regulates the Eastern Caribbean Securities Market in accordance with legislative requirements to protect investors from unfair, improper and fraudulent practices and to foster a fair, efficient and transparent securities market. The ECSRC also promotes financial stability and the growth and development of the ECSM.

This is accomplished by:

licensing, monitoring and supervising the activities of ECSM securities intermediaries;
training and certifying licensed individuals;
setting and implementing market disclosure standards;
maintaining effective programmes intended to ensure compliance with the securities legislation;
maintaining an effective enforcement programme;
cooperating with similar authorities for the effective regulation of the capital market;
making rules and proposing legislation for the regulation of the securities market;
amending existing rules and making recommendations for amendments to legislation;
interpreting the Securities Act Regulations;
collaborating with authorities concerned with the operations of companies.

ECSRC MANDATE

The ECSRC mandate, as stated in the statute, is the protection of investors in securities.

ECSRC VISION

To be a centre for competence in the regulation of securities markets and investment business in the Eastern Caribbean Currency Union.

ECSRC MISSION

To ensure integrity, probity, efficiency and transparency in the operations of the Eastern Caribbean Securities Market and its participants, while facilitating market development.