Policies

TITLE FILE
Due Diligence Refresher Policy
List of Recognised and Qualifying Examinations for Individuals
SCB CFD Reduced Quarterly Activity Fee Policy
Policy On The Assessment of Administrative Penalties For Anti-Money Laundering And Terrorists Financing Infractions By Registrants And Licensees Of The Securities Commission Of The Bahamas Under The Financial Transaction Reporting Act, 2018
Reclassification and Downgrade of an Unrestricted Investment Fund Administrator Licence Policy – Ref: PIs55(1)(g)-180309
Regulatory Capital Calculation for Firms Managing Securities and Advising on Securities Policy – Ref: PSr42-180309
Filing of Audited Financial Statements Policy- Ref: PSs135.2-170217(2)
Assessment of Automatic Administrative Penalties Policy Ref: PSs135.2-170217
Interim Treatment of Master/Feeder Fund Structures