General Application Procedures - All Licences
Applicants are advised to refer to the provisions in the legislation prior to completing an application for licensing.
Applications for licensing:
- The Securities Act and its accompanying Regulations, requires that any person (company / individual) wishing to obtain a licence to operate within the Eastern Caribbean Securities Market must apply in the prescribed manner and pay the prescribed fee to the ECSRC.
- The ECSRC may refuse to accept an application if it is not accompanied by the prescribed application fee.
- An applicant for a licence shall forthwith give written notice to the ECSRC of -
- any proposed alteration to, or
- the occurrence of any event which the applicant knows affects or may affect in a material respect, information supplied by the applicant to the ECSRC in relation to the application, being a proposal or event made or occurring while the application is pending a decision by the ECSRC.
- An application for a licence in the prescribed form together with any relevant annexures and supporting documents must be enclosed in a sealed envelope and filed with the ECSRC
- The ECSRC may reject an application which is not complete in all respects or which does not conform to the instructions specified therein: provided that, before rejecting the application, the ECSRC shall give the applicant an opportunity to furnish the information required for assessment within a specified timeframe.
- The ECSRC on approval of an application for a licence, shall grant a licence to the applicant on payment by the applicant of the licence fees set out in the Third Schedule of the Securities (Licence and Fees) Regulations.
- The original, signed application must be submitted to:
Eastern Caribbean Securities Regulatory ECSRC
PO Box 1855
Tel: 869 465 2537
Fax: 869 466 8954
Soft copies of duly completed applications, any relevant annexures and supporting documentation may also be emailed to: email@example.com. All enquiries should be referred to the above address.