Licensee - Guidance Note
Pursuant to s. 163 of the Act, the ECSRC may from time to time issue such guidance notes, bulletins, advice or other regulatory statements as it may consider necessary or desirable for the administration of the Securities Act. Accordingly, licensees are advised and encouraged to review all regulatory statements issued by the ECSRC. Below is a list of guidance notes, issued to date, that are relevant to licensees.
Guidance Note #6: Release No. 001-May 2002: Dealing in Securities by Unlicensed Persons
Guidance Note #7: Notice to Investors: ECSRC Emphasises Investment Licensing Requirements