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ECSM Licensing Policy: Market Notice

Fri, Jun 4th,2021. By ECSRC

As part of its mandate to ensure the highest standards of professionalism within the Eastern Caribbean Securities Market (ECSM), the Eastern Caribbean Securities Regulatory Commission (the Commission) seeks to provide clear policies to guide licence applicants in the selection of Character Referees.

To this end, the Commission provides the following guidelines for the selection of referees for individuals who are applying to the Commission for a licence to operate as a Principal, Representative or Investment Adviser in the ECSM.


 

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