Investigating complaints made in good faith about breaches of laws administered by the Securities Commission of The Bahamas is an important element of our work to protect investors/consumers of financial and corporate services, and to ensure fair and efficient capital markets.
There are a number of reasons a person may wish to file a complaint with the Commission. A few are listed below:
- He/she is the victim of, or suspects, an investment fraud or scam
- He/she is offered investments/investment advice by a person not licensed to do so
- He/she is denied legal entitlements, such as account statements, confirmations of trades, or appropriate treatment of personal information
- He/she received misleading or false investment information
- He/she is not receiving material information about an investment in a timely manner
- Cash or other assets are missing from an account
The Commission strongly recommends that, if you have a complaint against a registered securities firm, you should first try to resolve the matter with the firm directly.
To submit a complaint to the Commission, download and complete the Complaint Submission Form and send the completed form and attachments to firstname.lastname@example.org. All information you provide will be treated as confidential.
For additional information about the Commission’s disciplinary process, please see the Securities Industry (Disciplinary Proceedings)(Hearings and Settlements) Rules, 2017 .