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)