Pagelist - Securities Commission of The Bahamas

About Us

Who we are The Securities Commission of The Bahamas (the Commission), established in 1995, is committed to the growth and development of a vibrant, competitive financial services sector renowned for regulatory excellence. The Commission is responsible...

Application Forms

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Bills

  BILL DATE TABLED Securities Industry Bill, 2024 15 May 2024 Digital Assets and Registered Exchanges Bill, 2024 15 May 2024

Budget Calculator

For further information see the webpage Setting up a Budget .

Complaints

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...

Contact Us

Address: Poinciana House-North Building 2nd Floor 31A East Bay Street P.O. Box N- 8347 Nassau, The Bahamas Phone: 1 (242) 397-4100 (Nassau) Email: info@scb.gov.bs

CoRI

  What is the enhanced Compliance and Regulatory Interface or CoRI CoRI is an online portal developed to facilitate the electronic submission of application forms, regulatory filings and supporting documents to the Commission. The upgraded...

DARE Consultation

  Welcome to the Digital Assets and Registered Exchanges Bill, 2023 information page.   Review Period: Now Closed (25 April 2023 - 31 May 2023) Press Release DARE, 2023 Consultation Document  

E-Filing - 2015

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Enforcement

The Commission, via the Enforcement Department, is responsible for investigating allegations of misconduct and initiating appropriate proceedings, criminal or administrative, against persons who contravene the various laws the Commission is responsible...

Event Page

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Events

CONTENTS

Categories

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Locations

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My Bookings

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Tags

CONTENTS

Fees

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World Investor Week 2020

World Investor Week 2020

The Securities Commission of The Bahamas joins IOSCO and securities regulators around the world in celebrating World Investor Week 2020. This fourth edition of the global celebration comes at an unprecedented time for most of us – amidst a global p...

Investor Centre

Welcome to the Investor Centre the one-stop shop for investors in the capital markets. Investor Alerts and Notices Stay well-informed on important information from the Commission including warnings about unlicensed capital markets operators. ...

Life Stages & You

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Retirement

The prospect of retirement introduces all manner of emotions such as delight in having more free time and excitement about the opportunities and possibilities which potentially come from a new stage of life. There are other emotions such as apprehension...

Media

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Videos

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Preparing Yourself

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Investing

You invest every day. Every time you pick up a newspaper, you invest in staying informed. When it comes to financial investing, you may feel like it’s a wise course to take, but you may be worried that you don’t know enough to start investing. You...

Getting Help With Investing

All securities carry some amount of risk. Staying on top of your investments by yourself will require a strong desire to research and select investments, and to keep up with the markets, industries and businesses you are invested in. This usually involves...

Understanding Risk And Reward

When you commit money to something with the expectation of receiving income, profit or some other gain, you are investing. Many Bahamians are familiar with investing in real estate, but there are many Bahamians who invest in securities like shares and...

Setting Financial Goals

The first step in your investing journey is to set clear goals for your future. Do you want to save for a child’s college education? To buy a home? Or are you looking long-term for a comfortable and secure retirement? Regardless of how ambitious t...

Set Up A Budget

Most people have responsibilities like bills that they have to pay, but nobody has an unlimited source of income. A budget is a powerful tool that can help you manage your money so that your needs are taken care of, you can live a comfortable lifestyle,...

Start Saving

Saving is an essential step to achieving your financial goals. Saving is not spending all your money now, but instead, setting some of it aside for a future point in your life.Saving is all about having something for later, when you may really need it. Why...

Protecting Yourself

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Monitor Your Investments

How frequently you decide to monitor your investments should be based on your goals and investments. Remember, expect trading prices to go up and down, and investing is not a ‘get-rich-quick’ scheme –the true rewards usually come over time. It’s not eno...

Tools and Calculators

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Investor Alerts and Notices

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...
How does inflation impact my saving

How does inflation impact my saving

In your lifetime you may have noticed an increase in the cost of everyday expenses, like bus fare for example. Typically, money loses value over time because the price of goods and services generally increases over time. This rise in price is known...
Red Flags

Red Flags

Be aware of these red flags and tips when making investments: IF IT SOUNDS TOO GOOD TO BE TRUE, IT PROBABLY IS – When an offer sounds too good to be true, there is usually a reason and most often, your instinct will tell you so. To overcome the i...
Saving

Saving

Saving is an essential step to achieving your financial goals. Saving is not spending all your money now, but instead, setting some of it aside for a future point in your life. Saving is all about having something for later, when you may really need it. Why...
Tips when creating your budget

Tips when creating your budget

Determine your goals. Be sure to have an ‘emergency fund’ as a part of your goals, if you don’t already have one. Many investment advisors recommend that everyone set aside three to six months of income for an emergency, such as job loss. ...
Types of Investment Scams

Types of Investment Scams

Imagination is all that limits the scams that fraudsters conjure up to tempt the unsuspecting. Fraudsters can be incredibly flexible, turning on a dime when it comes to developing new pitches or come-ons. But while the wrapper or hook might change, the...
Types of Securities

Types of Securities

Common Shares/Stock When you buy common shares or stocks, you purchase partial ownership of a company. As a result, you are entitled to specific rights as a part owner, such as voting rights. Your voting rights are directly linked to the amount of the...
Understanding Risk and Reward

Understanding Risk and Reward

Whenever you invest, there is a chance that your investment will not make money or, worse, will lose value or even become worthless. This potential for your investment to lose value is a concept known as risk, and how much of it you are willing to cope...

Judgments

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Launch an Investment Fund

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Legislative Framework

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Consultation Documents

The Commission's regulatory and supervisory authority is derived from legislation comprising various Acts and subsidiary legislation made thereunder consisting of Regulations, Rules and Guidelines. Draft documents are circulated for industry-wide consultation...

Directives and Instructions

TITLE FILE Directive re: Conduct of Self-Risk Assessment

Policies

TITLE FILE The Bahamas’ Approach to the Regulation of Digital Asset Businesses Due Diligence Refresher Policy List of Recognised and Qualifying Examinations for Individuals SCB CFD Reduced Quarterly A...

Legislative Framework

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Media

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Newsroom

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Publications

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Annual Reports

TITLE FILE Annual Report 2022 Annual Report 2021 Annual Report 2020 Annual Report 2019 Annual Report 2018 Annual Report 2017 Annual Report 2016 Annual Report...

Priorities

Developed in 2009, the Commission's Statement of Priorities identifies the organization's goals and objectives and develops a plan for achieving them during a calendar year. It focuses on improving the business capabilities of the Commission while strengthening...

Investor Education Media

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Other Forms

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Press Releases

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Privacy and Usage Policy

Please read these conditions of use carefully. By accessing this website, you acknowledge and accept these terms and conditions and agree to be bound by them. If you do not agree with these conditions, do not access this website, or any pages thereof. Privacy...

Project Butterfly

The Securities Commission of The Bahamas [the Commission] has set out on a digital transformation initiative dubbed “Project Butterfly”, that will ease business for constituents and improve both our operational efficiency and regulatory effectiveness. The two...

Registrant Licensee Status Search

The Securities and Financial Services laws of The Bahamas, the Securities Industry Act, 2011, the Investment Funds Act, 2019, and the Financial and Corporate Service Providers Act, 2000 require all market participants operating in or from The Bahamas...

Report an Investment Fraud

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Retirement Calculator

Retirement Calculator

SCB FITLink –Fintech Hub

SCB FITLink (Financial Innovation and Technology Link) is the Commission’s FinTech Hub, and was approved for launch in October 2019.  SCB FITLink serves as the central point of contact for the Commission’s engagement with the public on various issues rela...

See a Listing all Securities Laws

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Social Media Disclaimer

Any content provided on the Securities Commission of The Bahamas’ (the Commission) social media profiles are for information purposes only. The Commission does not regularly monitor its social media profiles for comments or ensuing conversations. Unless s...

Supervision

The Securities Commission of The Bahamas (“the Commission”) is responsible for the administration of the Securities Industry Act, 2011 and the Investment Funds Act, 2019, pursuant to which it supervises and regulates the activities of investment funds, sec...

Securities Industry Act

Click any of the icons below for applicable fees, forms and ongoing reporting obligations for licensable or registrable activities under this Act.”   Securities Firms   Public Issuers   Individuals ...

Investment Funds Act

Click any of the icons below for applicable fees, forms and ongoing reporting obligations for licensable or registrable activities under this Act.” Fund Administrators Fund Managers Investment Funds Non-Bahamas b...

Alternative Investment Fund Managers

In compliance with the European Union Alternative Investment Fund Managers (AIFM) Directive, the Investment Funds Act, 2019 provides a legislative and regulatory framework for AIFM that manage or market alternative investment funds in the European Union....

Non-Bahamas based Funds

Pursuant to section 9 of the Investment Funds Act, 2019 where a non-Bahamas based fund is being administered or managed in or from The Bahamas the fund administrator or manager shall notify the Commission in writing of the nature of the fund’s nexus t...

Financial and Corporate Services Providers

Click any of the icons below for applicable fees, forms and ongoing reporting obligations for licensable or registrable activities under this Act. Financial and Corporate Services Inspectors Agents

Partnerships

These pages are in the process of being updated. Licensees and Registrants should refer to the Financial and Corporate Service Providers Act, 2020 and subsidiary legislation for information or contact your Supervision officer.

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.supervision img:hover { mix-blend-mode: exclusion; } Click any of the icons below for applicable fees, forms and ongoing reporting obligations for licensable or registrable activities under this Act.”   Securities Firms ...

The Bahamas’ Digital Asset and Fintech Advantage

  Meet key Bahamas policymakers and regulators to explore digital asset regulation and Fintech policies in The Bahamas and some of the opportunities and safeguards new legislation promises. Date: Tuesday 25 June 2024 Time: 14:00 - 17:00...

The Commission

The Securities Commission of The Bahamas (“the Commission”), established in 1995,is committed to the growth and development of a vibrant, competitive financial services sector renowned for excellence in regulation.The Commission is responsible for reg...

About us

Who we are The Securities Commission of The Bahamas (the Commission), established in 1995, is committed to the growth and development of a vibrant, competitive financial services sector renowned for regulatory excellence. The Commission is responsible...

Functions

Pursuant to the Securities Industry Act, s. 12, the functions of the Commission are to: advise the Minister on all matters relating to the capital markets and its participants. maintain surveillance over the capital markets and ensure orderly,fair...

SIA

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Recategorization to SIA 2011

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IFA

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Mission

To effectively oversee and regulate the activities of the investment funds, securities and capital markets, to protect the investors while strengthening public and institutional confidence in the integrity of those markets.

Vision

A vibrant, competitive financial services sector that has sound regulatory practices and policies that promote confidence.

Powers

Pursuant to the Securities Industry Act, 2011, s. 13, for the purpose of the discharge of its functions the Commission has power, subject to the Act, to: regulate and govern the capital markets and its participants. deal with such matters as may...

Statistics

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SIA

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IFA

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Purpose

The Securities Commission of The Bahamas is responsible for the administration of the Securities Industry Act, 2011, the purpose of which is to: provide protection to investors from unfair, improper or fraudulent practices. foster fair and efficient...

The Board

The Commission’s membership comprises a Chairman, Deputy Chairman, the Executive Director of the Securities Commission of The Bahamas as an ex-officio Member, and up to five other Members appointed by the Minister of Finance. The Minister appoints Members o...

Organisation

Organisation Chart Departments of the Commission

Departments of the Commission

Click on any of the departments or offices below for a description of its functions.

Cooperation

The Securities Commission of The Bahamas (the Commission) is committed to the global effort to combat cross-border securities fraud. The Commission also recognizes that it is uniquely positioned to ensure the circumstances of the markets and industries...

IOSCO MMOU

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AIFMD

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Understand the application process

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Video Competition 2021

Starting Out? Start Right! Video Competition Guidelines and Conditions The Securities Commission of The Bahamas (the Commission) is a statutory and regulatory body with oversight of investment funds, securities and the capital markets, financial and...

Video Competition 2021 Judges

Marion Bethel is an attorney, poet, essayist, filmmaker, human and gender rights activist, and writer. She is best known for her anthologies of poems, Guanahani, My Love and Bougainvillea Ringplay and her documentary on the women’s suffrage movement i...

World Investor Week 2021

The Securities Commission of The Bahamas joins IOSCO and securities regulators around the world in celebrating World Investor Week 2021. The International Organization of Securities Commissions (IOSCO) is celebrating the fifth annual World Investor...

World Investor Week 2022

The Securities Commission of The Bahamas joins IOSCO and securities regulators around the world in celebrating World Investor Week 2022 (WIW 2022). The International Organization of Securities Commissions (IOSCO) is celebrating the sixth annual World...
FinTok Competition

FinTok Competition

World Investor Week 2022 – FinTok Competition Video Competition Guidelines and Conditions Let’s Make Money Moves and win $500.00! Join the Securities Commission of The Bahamas for an exciting “FinTok” competition as we celebrate World Investor Week 20...