Issues of new and additional securities e.g. equity security or shares; fixed income securities and other debt based securities such as bonds, debentures, notes
Persons participating in the trading, dealing and underwriting of securities and giving investment advice with respect to securities e.g. brokers, dealers, traders, securities companies, underwriters, investment advisers
Operation of self-regulatory organisations such as stock exchanges and securities depositories
Takeovers, amalgamations and business combinations in respect of public companies
Mutual fund activity and mutual fund administration/management activity
Reference can be made to the list of Registrants to determine whether the entity is registered. Alternately a written request may be sent by email, fax or post to the Commission, addressed to the Chief Executive Officer for the attention of the Securities Division. A copy of the Register of Registrants may be obtained from the Commission. A fee of $2.00 per page is payable for every extract of a page of the register of persons under the Securities Act Cap. 318A.
Information on the registration and licensing process, the forms, checklists and fees may be found under Licensing/Registration Process and Requirements section of the site. Reference should also be made to the relevant legislation.
Each financial institution is required to ensure that its auditor is approved by the Commission prior to appointment. Mutual Fund Administrators in particular must obtain prior approval of the Commission in order to appoint a director or similar senior officer unless the administrator is a licensee under the International Financial Services Act; or has a valid licence to carry on banking or trust business within the meaning of the Financial Institutions Act or both such banking business and trust business.
The Financial Services Commission Act permits Examiners to conduct examinations of all financial institutions registered and or licensed in accordance with the Securities Act Cap. 318A and Mutual Funds Act Cap. 320B. Examinations may be conducted with or without prior notice to the registrant or licencee.
A person who intends to distribute a security must file a prospectus or a block distribution circular with the Commission unless the distribution is being made pursuant to an exemption under Section 69 of the Securities Act Cap. 318A. A person who sells a security pursuant to an exemption under that section must file a report in the prescribed form with the Commission within ten (10) days of the completion of the sale.