SIA Bill 2011
Rules and Guidelines

Our Vision

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

Our Purpose

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

The Commission's regulatory and supervisory authority is derived from legislation comprising various Acts and subsidiary legislation made there under consisting of Regulations, Rules and Guidelines.

The relevant Acts and subsidiary legislation, duly passed and enacted by the Parliament of the Bahamas, are all listed on this website and their texts are provided for reference purposes only. The official law is in the 2000 Revised Edition of the Statute Law and Subsidiary Legislation of The Bahamas and in Official Gazettes printed by the Government Printing Department.


Rules

Securities Industry (Disciplinary Proceedings) (Hearings and Settlements) Rules, 2017 PDF
Securities Industry (Registration of Registrar and Transfer Agents) Rules, 2016 PDF
Securities Industry (Anti Money Laundering and Countering the Financing of Terrorism) Rules, 2015 PDF
Securities Industry (Fee) Rules, 2012 PDF
Securities Industry (Physical Presence) Rules, 2012 PDF
Investment Funds (SMART Fund) Rules, 2003 [SFMs 001, 002, 003, 004] PDF
Investment Funds (Financial Statements Extension of Time) Rules, 2004 PDF
Investment Funds (SMART Fund) Rules, 2005 [SFM 005] PDF
Investment Funds (SMART Fund) Rules, 2009 [SFM 006] PDF
Investment Funds (SMART Fund) Rules, 2012 [SFM 007] PDF

Guidelines

Financial and Corporate Service Providers Guidelines PDF
Anti-Money Laundering Guidelines PDF
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