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.

Download Application Forms

- RESOURCE LIBRARY

Online Application Forms

How to apply for a Licence.

Download the correct application to the bottom of this page
Fill in the form by typing in the information
Print, sign and scan the document
If you have an account, please log in to submit your application
1. If you do not have an account, please click open an account to the top of the website (near the search box).
Once you are logged in, proceed to submit your completed and signed application by uploading the scanned file from your computer.
Fill in all other required information and click submit
Log in periodically to view the progress and result of your application

Related Documents

FORM CIS 1 - COLLECTIVE INVESTMENT SCHEME (Authorisation) Application

FORM CIS 2 - COLLECTIVE INVESTMENT SCHEME (Management Company) Licence Application

FORM CIS 3 - COLLECTIVE INVESTMENT SCHEME (Custodian) Licence Application

Securities Exchange Licence Application

Securities Clearing Agency Licence Application

Share Registry Service Application

Renewal of Licene Application Form [Corporate Entities]

Renewal of Licene Application Form [Individuals]

Information Release Form for Iinstitutions and Affiliates of Institutions Regulated by the Eastern Caribbean Central Bank

Form 4 - Application for Principal or Representative Licence

Form 4 - Additional Information for Application for Principal or Representative Licence

Form 5 - Register of Securities

FORM 1 - Application for Broker Dealer, Limited Service Broker

FORM 2 - Application by an Individual for Investment Adviser Licence

FORM 3 - Application by a Company for Investment Adviser Licence