Policies

TITLE FILE
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
Due Diligence Refresher Policy – Ref: PSr.3/Fs.4(3)(a)-180309
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