SIA Bill 2011
SIAs

Our Vision

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

Our Purpose

To contribute to the growth and development of a financial services sector that is vibrant and competitive.

The Commission supervises and regulates the activities of the investment funds, securities and capital markets, and financial and corporate services. It is responsible for administering the following legislation as well as relevant regulations

The Commission has provided links to downloadable complete versions of the following acts and regulations for your convenience. Please note that you will need the latest version of Adobe Acrobat to view the files. To obtain the latest free version simply click the Adobe Acrobat Download link at the left. If you already have the latest version please click on one of the links below.



Securities Industry Act and Regulations

Securities Industry Act, 2011 (Appointed Day Notice) PDF
Securities Industry Act, 2011 PDF
Securities Industry Regulations, 2012 PDF
Securities Industry (Amendment) Regulations, 2012 PDF
Securities Industry Act, 1999 (including amendments up to 2007) PDF
Securities Industry (Amendments) Act, 2008 PDF
Securities Industry Regulations, 2000 (including amendments up to 2008) PDF
Securities Industry (Amendment) Regulations 2009 PDF


Financial Transactions Reporting Act and Regulations

Financial Transactions Reporting Act, 2000 PDF
Financial Transactions Reporting (Amendment) Act, 2003 PDF
Financial Transactions Reporting (Amendment) Act, 2007 PDF
Financial Transactions Reporting (Amendment) Act, 2008 and (Appointed Day) Notice 2009 PDF
Financial Transactions Reporting Regulations, 2000 PDF
Financial Transactions Reporting (Amendment) Regulations, 2003 PDF
Financial Transactions Reporting (Wire Transfers) Regulations, 2009 PDF
Financial Transactions Reporting (Amendment) Regulations, 2009 PDF


Other Forms

Firms

Form 10 Annual Information Update Form DOC PDF
Form 13 (H) – Broker Dealer I Financial and Operational Report DOC PDF
Form 13 (H) – Broker Dealer II Financial and Operational Report DOC PDF
Form 13 (H) - SIA Financial and Operational Report DOC PDF
Declaration for a Securities Investment Advisor Firm DOC PDF

Individuals

Form 12 - Notice of Termination, Resignation or Retirement of Registered Individual DOC PDF


Other

Securities Industry Act, 2011

Ongoing Reporting Obligations for Constituents under the SIA, 2011 PDF

Securities Industry Act, 1999

Registrar and Transfer Agent Registration Process PDF




Legislation contained on this website has been reproduced by and for the Securities Commission of The Bahamas for its use. The Legislation contained on this site is an unofficial reproduction of the laws prepared for personal non-commercial distribution and use only. Official documents containing the enactments can be obtained from Government Publications.

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