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

Guidance Notes and Statements of Practice

Our Vision

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

Guidance Notes

Guidance Notes for E-Filing
Guidance Notes for IPO Approvals
Guidance Notes for Assessing The Fitness and Propriety of MLROs
Guidance Notes for On-Site Examination Process
Guidance Notes for Material Change Information
Guidance Notes for Fast Track Application Process for Licensing under the IFA, 2003

Statements of Practices

Statements of Practice for Physical Presence Requirements for Registrants
Statement of Practice for Blank Licences