Supervision

Securities Industry Act
  • Firms dealing in securities
  • Firms managing securities
  • Firms advising on securities
  • Firms arranging deals in securities
  • Marketplaces
  • Clearing facilities
  • Registrar and transfer agents
  • Chief executive officers of registered firms
  • Compliance officers of registered firms
  • Trading representatives of registered firms
  • Discretionary management representatives of registered firms
  • Advising representatives of registered firms
  • Directors of registered firms
  • Money laundering reporting officers
  • Related parties (inclusive of, but not limited to, security holders, officers, auditors and attorneys)
Investment Funds Act
  • Unrestricted investment fund administrators
  • Restricted investment fund administrators
  • Exempted investment fund administrators
  • Representatives to a non-Bahamas based funds
  • Investment funds (Standard, Professional, SMART, Recognised Foreign)
  • Directors of investment fund administrators or investment funds
  • Money laundering reporting officers
  • Related parties (inclusive of, but not limited to, security holders, officers, auditors and attorneys)
Financial Corporate Service Providers Act
  • Persons providing corporate services for international business companies (IBCs) including:
    • Registration, management or administration
    • Acting as registered agent or registered office
    • Provision of directors, officers or nominee shareholders
  • Persons providing corporate services for exempted limited partnerships (ELPs) including:
    • Acting as registered agent or registered office
    • Provision of partners
  • Persons providing corporate services for private trust companies (PTCs) including:
    • Acting as registered agent or registered office*
    • Registered representatives*
  • Persons providing corporate services for investment condominiums (ICONS):
    • Governor administrator
  • Persons providing corporate services for executive entities:
    • Acting as a registered agent
  • Persons providing corporate services for purpose trusts:
    • Acting as a registered trustee
  • Persons providing corporate services for segregated accounts company:
    • Registered representatives
  • Persons providing corporate services for foundations:
    • Acting as a registered agent
  • Persons providing financial services including:
    • Money lending
    • Financial leasing
    • Money brokering
    • Payday and cash advance
    • Credit extension
    • Mortgage lending
    • Escrow
    • Financial advisory
    • Financial intermediator
    • Bill paying
  • Money laundering reporting officers

Related parties (inclusive of, but not limited to, security holders, officers, auditors and attorneys)