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In safeguarding and protecting the interest of investors in securities and the integrity of the Eastern Caribbean Securities Market (ECSM), the Eastern Caribbean Securities Regulatory Commission (the Commission) is proposing to provide a set of Compliance and Internal Control Guidelines for Entities Licensed under the Securities Act.
In keeping with its mandate to promote a fair, efficient and transparent securities market, the ECSRC has developed a revised policy for the electronic delivery of documents that are required to be filed with the Commission. This policy is also consistent with the relevant provisions of the Electronic Transactions Act of each of the ECCU Member Territories.
The Eastern Caribbean Securities Regulatory Commission, the ECSRC, is advising firms and individuals involved in securities business in the Eastern Caribbean Currency Union of the need to be licensed by the Commission.
In an effort to ensure that investors have access to full information when making investment decisions, the Eastern Caribbean Securities Regulatory Commission (ECSRC) has issued new reporting and disclosure requirements for public companies.
Compliance and Internal Control Guidelines for Entities Licensed under the Securities Act