Licensee - Guidance Note

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.

ECSRC Guidance Note #8

ECSRC Guidance Note #2

ECSRC Guidance Note #3 - [Collective Investment Schemes Operating in the Capital Markets of the Eastern Caribbean Currency Union]

ECSRC Guidance Note #4 - [Public Offering of Securities: Guidance On The Exemption From Prospectus Requirements]

Guidance Note #5: Release No. 002-October 2002: Establishment or Operation of Securities Registries by Unlicensed Persons

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