East Caribbean Securities Regulatory Commission:

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.

Register of Licensees

Name

Broker Dealer / Limited Service Broker Dealer

First Citizens Investment Services Ltd, Saint Lucia	SL-BD-0004-11	Issued - 2010-07-12	View
First Citizens Investment Services Ltd, Trinidad & Tobago	TT-BD-0005-12	Issued - 2005-01-17	View
Grenada Co-operative Bank Ltd	GR-BD-0002-15	Issued - 2015-09-28	View
The Bank of Nevis Limited	KN-BD-0001-01	Issued - 2001-10-18	View
St Kitts-Nevis-Anguilla National Bank Ltd	KN-BD-0002-02	Issued - 2002-04-16	View
Bank of St Vincent and the Grenadines Ltd	SV-BD-0001-10	Issued - 2010-11-26	View
Bank of Saint Lucia Ltd	SL-BD-0006-16	Issued - 2016-12-20	View
First Citizens Investment Services Ltd, St Vincent	SV-BD-0002-19	Issued - 2019-03-25	View
FirstCaribbean International Bank (Barbados) Ltd	BB-BD-0002-19	Issued - 2019-01-15	View

Investment Advisor Company

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Individual : Principal

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Aaron Logie	Grenada Co-operative Bank Ltd	GR-PL-0002-15	Issued - 2015-09-28	View
Monifa Latham	Bank of St Vincent and the Grenadines Ltd	SV-PL-0005-10	Issued - 2010-11-26	View
Anthony Galloway	St Kitts-Nevis-Anguilla National Bank Ltd	KN-PL-0004-01	Issued - 2002-04-16	View
Lawrence Jean	Bank of Saint Lucia Ltd	SL-PL-0011-15	Issued - 2015-10-26	View
Heather Titus	FirstCaribbean International Bank (Barbados) Ltd	TT-PL-0003-03	Issued - 2003-04-29	View
Medford Francis	Bank of Saint Lucia Ltd	SL-PL-0010-15	Issued - 2015-05-27	View
Monique Williams	The Bank of Nevis Limited	KN-PL-0012-17	Issued - 2017-07-06	View
Omar Burch-Smith	First Citizens Investment Services Ltd, Saint Lucia	SL-PL-0013-17	Issued - 2017-06-06	View
Temelia Providence	First Citizens Investment Services Ltd, St Vincent	SV-PL-0002-17	Issued - 2017-10-19	View
Allana Joseph	Grenada Co-operative Bank Ltd	GR-PL-0003-17	Issued - 2017-10-19	View
Laurent Hadley	Bank of St Vincent and the Grenadines Ltd	SV-PL-0007-17	Issued - 2017-11-20	View
Norlann Gabriel	First Citizens Investment Services Ltd, Trinidad & Tobago	SL-PL-0004-16	Issued - 2020-01-02	View
Petronella Crooke	St Kitts-Nevis-Anguilla National Bank Ltd	KN-PL-0013-19	Issued - 2019-04-01	View
Cedric Charles	Bank of Saint Lucia Ltd	SL-PL-0014-19	Issued - 2019-04-01	View
Judy Claxton	The Bank of Nevis Limited	KN-PL-0014-19	Issued - 2019-06-24	View
Margaret Cox	First Citizens Investment Services Ltd, Saint Lucia	SL-PL-0015-21	Issued - 2021-04-14	View

Individual : Representatives

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Patricia John	Bank of St Vincent and the Grenadines Ltd	SV-RR-0002-10	Issued - 2010-11-26	View
Marlene Nisbett	St Kitts-Nevis-Anguilla National Bank Ltd	KN-RR-0002-01	Issued - 2002-06-14	View
Angelica Lewis	St Kitts-Nevis-Anguilla National Bank Ltd	KN-RR-0011-10	Issued - 2010-08-27	View
Samuel Agiste		SL-RR-0010-10	Issued - 2020-09-30	View
Shaka St. Ange		KN-RR-0015-20	Issued - 2020-06-26	View
Deesha Lewis	Bank of Saint Lucia Ltd	SL-RR-0013-11	Issued - 2011-12-09	View
Nisha Mohammed	FirstCaribbean International Bank (Barbados) Ltd	BD-RR-0004-10	Issued - 2010-08-27	View
Chez Quow	Bank of St Vincent and the Grenadines Ltd	SV-RR-0009-14	Issued - 2014-07-22	View
Denicia Small	The Bank of Nevis Limited	KN-RR-0013-17	Issued - 2017-10-30	View
Kishel Francis	Grenada Co-operative Bank Ltd	GR-RR-0007-17	Issued - 2017-09-27	View
Mervin Simeon	Bank of Saint Lucia Ltd	SL-RR-0017-17	Issued - 2017-11-14	View
Greg Ferreira	First Citizens Investment Services Ltd, Trinidad & Tobago	TT-RR-0027-18	Issued - 2018-01-31	View
Maurice Horne Jr.		SVG-RR-0010-18	Issued - 2020-08-11	View
Nikesia Pemberton	The Bank of Nevis Limited	KN-RR-0014-19	Issued - 2019-03-29	View
Shaiiede Kallicharran	Bank of Saint Lucia Ltd	SL-RR-0018-20	Issued - 2020-04-28	View
Gavery David	First Citizens Investment Services Ltd, St Vincent	SV-RR-0011-20	Issued - 2020-12-07	View
Gale Cumberbatch	First Citizens Investment Services Ltd, Saint Lucia	SL-RR-0019-21	Issued - 2021-04-14	View

Individual : Investment Advisor

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Farmers, St. Thomas, Barbados

BB-IA-0001-21

Issued - 2021-01-27

View

Custodian

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Bank of Saint Lucia Ltd

SL-CUS-0002-16

Issued - 2016-12-20

View

CIS : Collective Investment Scheme

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	Bank of Nevis Mutual Fund Ltd	KN-CIS-0001-05	Issued - 2005-12-21	View
	Sagicor International Balanced Fund	KN-CIS-0002-16	Issued - 2016-12-21	View

CIS : Custodian

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	First Citizens Investment Services Ltd, Trinidad & Tobago	TT-CUS-0001-12	Issued - 2012-03-12	View
	FirstCaribbean International Bank (Barbados) Ltd	BB-CUS-0001-18	Issued - 2018-12-12	View

CIS : Management Company

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	Bank of Nevis Fund Managers Ltd	KN-MAN-0001-05	Issued - 2005-12-21	View
	Sagicor Asset Management (Eastern Caribbean) Limited	LC-MAN-0001-16	Issued - 2016-12-21	View