Investor Alerts and Notices - Securities Commission of The Bahamas
The Commission strongly believes in accountability to the Bahamian public. In so doing, the institution releases public notices to inform the general public of its decisions in an effort to promote a transparent regulatory process.
Please note that all public notices are archived by year.
2024
- Re: RIA Company Ltd.
- Re: JTS INVESTMENT SECURITIES LTD dba LOANS BY PHONE
- Re: GBS Gold Standard Bank Ltd d/b/a: GS Partners, Swiss Valorem Bank Ltd. et al
- Re: Infinity Kairos International Ltd.
- Re: Fake SCB website
- Re: Entities Not Regulated by the Securities Commission of The Bahamas (July)
- Re: My Investment Market
- Re: Auto H and L Ltd. - Current and Past Clients to contact AHL concerning Interest Repayment
- Re: Entities Not Regulated by the Securities Commission of The Bahamas (May)
- Re: WINDING UP PETITION FOR MDOLLAZ LTD. dba ARAWAKX, AND RELATED MATTERS.
- Re: Joint Authorised Agent Training
- Re: Beyond Trading, Billionaire Traders & Ben Mel Trading
2023
- Re: Blackwell Global Investments Limited (Counterfeit websites of SCB regulated person)
- Re: Revocation of licences under the Financial and Corporate Service Providers Act, 2020
- Re: FMFW Ltd
- Re: Entities Not Regulated by the Securities Commission of The Bahamas (August)
- Re: Entities Not Regulated by the Securities Commission of The Bahamas (May)
- Re: Joint Authorised Agent Training
2022
- Re: Twitter Account Impersonation
- Re: Office Closure - Tropical Storm Nicole
- Re: MMG Fund Services Bank
- Re: Cash Forex Group
- Re: Entities Not Regulated by the Securities Commission of The Bahamas
- Re: Evolve Invest Limited Not Regulated By The Securities Commission
- Re: Financial Schemes Are Unlawful
- Re: GFSR's Directive on Russian Business Activities
- Re: Provision of Entity Data for Substantial Activities Requirements Pursuant to CESRA, 2018
- Re: Guidance Regarding the Ministry of Finance's Notice Re: Outstanding Real Property Tax
- Re: Joint Authorised Agent Training 2022
2021
- Re: SCB Operational Changes
- Re: FX PRIMARY LTD, FXPRIMARY LLC
- Re: Asue Maxxed (ASM), Asue Maxx, Amaxx, Amaxx Financials, Amaxx Investments, Amaxx Cash Management, Amaxxed Financial Inc.
- Re: Ray-E Securities Investment Company
- Re: Ruimei Global
- Re: ANS-AK.com
- Re: Tradevolt
- Re: Entities Not Regulated by the Securities Commission of The Bahamas
- Re: Karatbars International
- Re: Wiseling
- Re: Qubittech
- Re: Joint Authorised Agent Training 2021
- Re: Registered Agent Onboarding to the Secure Search System in Compliance with the Register of Beneficial Ownership Act, 2018
2020
- Re: “No Action” Extension Of Statutory Deadline For IFA, 2019
- Re: Blacc Legacy Investment Fund
- Re: Cash Forex Group
- Re: SCB CFD Reduced Quarterly Activity Fee Policy
- RE: “No Action” On Specific Registration Requirement and Extension Of Statutory Transition Period For Securities Industry (Contracts For Differences) Rules, 2020
- RE: Foundation Family Sou Sou or African Sou Sou
- RE: Office Closure (Tropical Storm Laura)
- Re: No Action Extensions of Statutory Deadline for IFA 2019
- Guidance to Registrants and Licensees With Respect To Emergency Powers (COVID 19) Regulations, 2020 (Chapter 34), Emergency Power (COVID 19 Pandemic) (Lockdown) Order 2020
- RE: Office Closure (Hurricane Isaias)
- Re: MLM-FOREX Scams In The Bahamas
- Re: SCB Operational Changes Regarding Delivery Of Packages
- Re: Extension of Statutory Filing Deadlines
- Re: Guidance to Registrants and Licensees with Respect to Exemptions To Order 3(1) of the Emergency Powers (COVID 19) (No. 2) Order, 2020
- Re: Guidance on Emergency Powers (COVID 19)(No.2) Order, 2020
- Re: SCB Operational Changes as a Result of Emergency Powers (COVID 19)(NO. 1) Order, 2020
- Re: Guidance on Emergency Powers (COVID 19)(No. 1) Order, 2020
- Re: SCB Operational Changes in Response to COVID-19
- Re: Securities Commission of The Bahamas - Fraud Matter.
- Re: United Nations Security Council Committee Sanctions List Amendment – Seka Bakulu
- Re: Regulatory Capital Calculations
- Re: United Nations Security Council Committee Sanctions List Amendment – Amadou Koufa
- RE: Joint Authorised Agent Training.
- RE: Pacifico Global Advisors Ltd.
2019
- RE: Swiss America Securities Ltd Temporary Suspension
- RE: Office Closure 30 August 2019
- RE: UNSCR Follow Up Notice and Forms
- RE: Office Closure 9 August 2019
- RE: SOVEREIGN FRIENDLY SOCIETY; FUSION FRIENDLY SOCIETY; CANNA FRIENDLY SOCIETY; FUSION BANK; and FUSION FINANCIAL
- RE: CAPITAL TRUST REALTY
- RE: International Obligations (Economic and Ancillary Measures) (Iran) Order, 2019 – (S.I. No. 36 of 2019) (“the Iran Order”) Notice
- RE: International Obligations (Economic and Ancillary Measures) Act, Chapter 16 – Excluded List of Individuals and Entities
- RE: RE: International Obligations (Economic and Ancillary Measures) Act, Chapter 16 (“IOEAMA”) (‘the DPRK Order”)
- RE: FCSP Joint Agent Training
- RE: International Obligations (Economic and Ancillary Measures) Act, Chapter 16 (IOEAMA)
2018
- RE: Securities Commission of The Bahamas Office Relocation (effective 17 December 2018)
- Re: IMARKETS LIVE – FOREX TRADING
- Re: Arrest of Matthias Krull
- Re: National AML CFT Conference September
- Re: Biscayne Capital Ltd. (Winding Up Order)
- Re: Joint Authorised Agent Training
- Re: Promulgation Of The Securities Industry (Fee) (Amendment) Rules_ 2017
2017
- Re: Biscayne Capital Ltd. (Application for Winding Up/Appointment of Provisional Liquidator)
- Re: Pineapple Express Asue Holders
- RE: IMARKETS LIVE – FOREX TRADING
- RE: Issuance of Guideline on the Management of Accounting Records
- RE: Tillerman Securities Limited (Liquidation under Supervision of Court
- RE: Prime Bank & Trust Ltd.
- RE: Tillerman Securities Limited Voluntary Liquidation
- RE: Joint Authorised Agent Training
- RE: Jaguar International Investments / International Investments Clearing S.A
- RE: Cornerstone Private Capital Group Ltd.
- RE: Doctors/Doctors Of Wisdom Limited
Archive
2016
- Office Closure December 23 2016
- Re: Tillerman Securities Ltd. (Application for Winding Up/Appointment of Provisional Liquidator)
- Re: Financial and Corporate Service Providers (Amendment) Bill
- Re: Public Consultation on the Draft Financial and Corporate Service Providers (Money Lenders) Rules, 2016
- RE: Draft Financial and Corporate Service Providers (Money Lenders) Rules 2016
- RE: Promulgation of the Securities Industry (Anti Money Laundering And Countering the Financing of Terrorism) Rules, 2015
- RE: Penalty Assessments
- RE: Suitability Guidelines and Penalty Assessments
- RE: FCSP Agent Training
2015
- RE: Office Closure DECEMBER 31, 2015 (New Year’s Eve)
- RE: Office Closure DECEMBER 24, 2015
- RE: Proposed Securities Industry (Registration of Registrar and Transfer Agents) Rules, 2015
- RE: Reminder for Submission to the 2014 On-Site Examination Financial & Corporate Service Providers
- RE: 2015 Authorised Agent Listing
- RE: Money Finders
- RE: Global Proprietary Traders
- RE: GreenKey Securities
- RE: BFD Financial Services
- RE: Joint Authorised Agent Training
2014
- RE: Financial Transaction Reporting (Amendment) Act, 2014
- RE: Proposed Securities Industry (Anti Money Laundering and Countering the Financing of Terrorism) Rules, 2014
- RE: Draft Securities Industry Disciplinary Proceedings (Hearings and Settlements) Rules Issued for Consultation
- RE: FCSP Authorised Agent Special Training
- RE: The Investment Funds (Amendments) Regulations, 2013
- RE: Bahamas Union of Teachers Holding Company Limited Proposed Initial Public Offering
- RE: Authorised Agents Training
- RE: Annual Routine On-Site Examination of FCSPs
2013
- RE: Securities Industry (Investment Funds Fees) Rule, 2014
- RE: Unlicensed FCSP Operators
- RE: Extension of Inspector’s Agent Application Deadline to 31 January 2013
2012
- RE: Revocation of Licenses
- RE: Definition of Financial Services under the FCSPA, 2000
- RE: Equitable Settlement AG, Intrum SA, and Equity Swiss Refinance AG
- RE: Super Value Food Stores Limited
- RE: Regulatory Status of Bahamas Supermarkets Limited
- RE: Protocol for On-Site Examinations for Jointly Regulated Entities
2011
- RE: Re-Categorization of Firms and Individuals under the SIA 2011
- RE: Regulatory Status of BSL
- RE: Requirements for Financial Filings (SIA, 1999)
- RE: Regulatory Authority on Information Sharing
- RE: Consultation White Paper on Physical Presence
- RE: Regulatory Status of Bahamas Supermarkets Limited
- RE: Tortola Capital
- RE: Release of Updated SCB AML-CFT Guidelines
- RE: Policy for Licensing SIAs
- RE: Registration of Registrar and Transfer Agents
- RE: Transfer of the Examination for FCSP to the Commission under the FCSPA 2000
- RE: Cornish Willoughby Associates
- RE: Life Group International
- RE: Progressive Management
- RE: Water Investment
- RE: Suspension Lifted on Trading of AML Shares
- RE: Suspension of Trading in Shares of AML Foods Limited
- RE: International Best Practices for Takeovers
- RE: Energy Group International
- RE: Crosslands CGMA Brokers
2010
- RE: Calculation of the Rate of Interest
- RE: SCB-Guidance Notes: Fitness and Propriety of MLROs
- RE: Unlicensed FCSP Operators (Extension of Time Limit)
- RE: Unlicensed FCSP Operators
- RE: Amendments to IFA 2003 and IFR 2003
- RE: Taurus Global Markets
- RE: The Hastings Capital Group
- RE: Hi-Tech America Development Company
- RE: Stock Exchange of the Caribbean & Solaris Holding International Inc.
2009
- RE: Liberia Order 08
- RE: Mellor Holdings
- RE: Revised Guidelines on Anti-Money Laundering and the Countering Financing of Terrorism
- RE: Gulf International Investment
- RE: Imperia Invest IBC
- Re: World Distribution Network
2006
2005
2004
- RE: Extension of Time Periods specified in Sections 66(1), 66(2) & 67(1) of the IFA, 2003
- RE: Mario Jaeger & JR CTS Trend Ltd.
- RE: Meridian Capital Investments INC.
- RE: Summit Capital Corp. INC.
- RE: Atlantis Capital Fund Limited
2003
- RE: Lampley, Lampley & Jones
- RE: Laverty Assets Ltd. - Graves Stanley & Peabody Limited (aka GSP Limited)
2001
- RE: Exchange Control Regulations (Iraq) Directions 1990
- RE: The Oracle Fund Ltd. and Fortis Fund Services (Bahamas)
- RE: The Commission Lifts Conditions - Fortis Funds Services (Bahamas) Ltd.
2000
