- INVESTOR RESOURCES
Investors Resources
- TIPS, TOOLS & QUIZZES
Tips, Tools & Quizzes
- 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:
- News: This WARNING is issued by the Eastern Caribbean Securities Regulatory Commission (“the Commission/ECSRC”) pursuant to Article 5(q) of the Eastern Caribbean Securities Regulatory Commission Agreement 2020 and the Commission’s mandate to protect investors under the Securities Act 2001 of the laws of the member countries of the Eastern Caribbean Currency Union (ECCU).
- News: Crowdfunding: the ECSRC invites MSMEs and investors interested in crowdfunding to register for a series of free awareness-raising and training activities…
- 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.
News Releases
ECSRC Commissioners to Meet
Mon, Jan 28th,2002. By ECSRC
Commissioners of the Eastern Caribbean Securities Regulatory Commission (ECSRC) are scheduled to meet on Friday, February 1, 2002, to review applications for broker dealer licences and to consider other issues related to the conduct of business on the ECSE.
ECSRC Invites Applications for Certification Programme
Wed, Aug 14th,2002. By ECSRC
The Eastern Caribbean Securities Regulatory Commission is inviting applications for its certification workshop and examinations from persons desirous of operating as Principals and Representatives of broker dealer firms in the Eastern Caribbean Securities Market.
ECSRC Issues Reminder to Prospective Workshop Participants
Tue, Sep 17th,2002. By ECSRC
The Eastern Caribbean Securities Regulatory Commission is reminding all persons wishing to participate in the Eastern Caribbean Securities Market Certification Workshop and Examination to submit applications no later than September 20, 2002.
ECSRC Completes its First Year of Operation
Thu, Oct 17th,2002. By ECSRC
Mr Crispin Sorhaindo, Chairman of the Eastern Caribbean Securities Regulatory Commission, says he is satisfied with the progress made by the Commission in its first year of operation.
ECSRC Invites Applications for Certification Programme
Mon, Dec 16th,2002. By ECSRC
The Eastern Caribbean Securities Regulatory Commission is inviting applications for its certification workshop and examinations from persons desirous of operating as Principals and Representatives of broker dealer firms or as Investment Advisors, in the Eastern Caribbean Securities Market (ECSM).
