SCB


Home The Commission Who We Are What We Do Who We Regulate Commission Structure Chairman Board Members Board Committees Departments of the Commission Organisational Chart Career Opportunities Legislative Framework Acts and Regulations Rules and Guidelines Policies Guidance Notes and Statements of Practice Judgments Memorandums of Understanding (Information Sharing) Consultation Documents Licensing and Registrants Application Forms Other Forms Other Information Fees Regulated Entities Enforcement Disciplinary Decisions Investor Alerts and Public Notices Supervisory Matters Settlements Publications Investors Investor Materials Investor Education Events Regulated Entities Press Releases Investor Alerts and Public Notices Publications Enforcement E-News E-Complaints Media Press Releases Investor Alerts and Public Notices Events Speeches and Presentations Publications E-News E-Complaints

A vibrant, competitive financial services sector that has sound regulatory practices and policies that promotes confidence.

To contribute to the growth and development of a financial services sector that is vibrant and competitive.

Securities Industry Act, 1999

Schedule 5 Form B	Registration as a Broker-Dealer (Stand-Alone)
Schedule 5 Form B-1	Registration as a Broker-Dealer (Central Bank Licencees)
Schedule 5 Form B-2	Registration as a Securities Investment Advisor

Schedule 5 Form E	Licensing as a Principal
Schedule 5 Form C	Registration as a Broker or Stockbroker
Schedule 5 Form C-1	Registration as a Securities Investment Advisor
Schedule 5 Form D	Registration as an Associated Person

Schedule 4 Form A	Investment Fund Administrators Licence
Schedule 4 Form B	Exempted Investment Fund Administrators Licence

Schedule 3 Form A	Investment Fund Licence
Schedule 3 Form B	Registration as a Recognised Foreign Fund
Schedule 6	Representative for a Non-Bahamas Based Investment Fund
Schedule 10	Re-Launch of a Dormant Fund

Schedule

Financial and Corporate Service Licence