In This Issue

  • Chairman's Message

    Chairman’s Message Welcome to the first issue of the ECSRC Newsletter!

  • ECSRC Responsibilities

    What are we and What do we do? The ECSRC’s primary responsibility is to regulate the Eastern Caribbean Securities Market (ECSM)

  • Our Commissioners

    Meet our Commissioners The Commission is governed by five part-time Commissioners who are appointed by the Monetary Council for terms of three to five years, with opportunity for reappointment.

  • Investment Fraud

    Being an Alert Investor An investment scam, which is designed to part you from your money, might involve legitimate products that are sold illegitimately or completely illegitimate investment products.

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Securities Market
Our Values

Our Vision, Mission and Core Values

MARKET NEWS
Registration of New Issuers

The Commission recently completed the registration of two issuers – Bank of St Vincent and the Grenadines and First Citizens Investment Services Ltd. Following the company’s registration with the ECSRC, the shares of the Bank of St Vincent and the Grenadines were listed on the Eastern Caribbean Securities Exchange in June 2016.

As at 30 September 2016, there were 39 reporting issuers registered with the Commission. See Page XXX for the full list of reporting issuers.

New Licences Issued

Over the year to 30 September 2016, the Commission approved and granted the following new licences to market participants.

Type

Name

 Accredited /Licensed to Broker-Dealer

Effective Date

Representatives

Carla Sylvester

Grenada Cooperative Bank Ltd

28-Sep-15

Keisha Greenidge

Grenada Cooperative Bank Ltd

28-Sep-15

Principals

Dave Dookie

First Citizens Investment Services Ltd,  Trinidad and Tobago

11-May-15

Medford Francis

ECFH Global Investment Solutions Ltd

27-May-15

Aaron Logie

Grenada Cooperative Bank Ltd

28-Sep-15

Lawrence Jean

ECFH Global Investment Solutions Ltd

26-Oct-15

Norlann Gabriel

First Citizens Investment Services Ltd

 

Broker-Dealer

Grenada Co-operative Bank Ltd

28-Sep-15

The Division of Market Regulation and Supervision currently oversees the activities of 32 individuals and 14 companies within the ECSM.


Being an Alert Investor
  • Kinds of Scams

    Investment scams take many forms—and unfortunately criminals and con artists come up with new ones all the time. While the particulars of an actual investment scam might change, the basic kinds of securities fraud fall into...

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  • Red Flags

    No reputable broker, investment sales representative or other investment professional should push you to make an immediate decision about an investment, or tell you that you’ve got to “act now.”

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  • Who Gets Victimized?

    Almost anyone who invests is a potential fraud target, though you can reduce your vulnerability if you know what to guard against. One of the most basic cautions is not to be greedy. If you’re trying to get rich quick, there’s probably

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  • Fraud Prevention TipsTip #1: Identify the warning signs
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  • Fraud Prevention TipsTip #2: Take immediate action
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  • Fraud Prevention TipsTip#3: Report the fraud
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Stay Connected
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Market News
Registration of New Issuers
12 June, 2016

The Commission recently completed the registration of two issuers – Bank of St Vincent and the Grenadines and First Citizens Investment Services Ltd. Following the company’s registration with the ECSRC, the shares of the Bank of St Vincent and the Grenadines were listed on the Eastern Caribbean Securities Exchange in June 2016.

Regulatory Updates
Revised Issuer Reporting Forms Issued
19 September, 2016

To ensure that public companies continued to provide full, timely and accurate information that meets the needs of the investing public, in 2015, the ECSRC undertook a comprehensive review of the ECSRC Reporting Rules.

  • ECSRC Newsletter

    ECSRC introduces Interim Repurchase Agreement (Repo) Guidelines for the ECSM 19 September, 2016 learn more