SIA Bill 2011
Investor Alerts and Public Notices
 

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 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.

Special Notices

Public Notice – Office Closure Thursday 7th September, 2017 PDF
RE: New Application Process - Series 7 and Series 6 Examinations PDF
RE: Guidance on Hurricane Related Disruptions PDF
RE: Extension of Time Periods specified in Sections 66(1), 66(2) & 67(1) of the IFA, 2003 PDF
RE: Exchange Control Regulations (Iraq) Directions 1990 PDF
RE: Banks and Trust Companies Licensed under the Banks & Trust Companies Regulation Act, 1965. PDF


2017

Re: Pineapple Express Asue Holders PDF
RE: IMARKETS LIVE – FOREX TRADING PDF
RE: Issuance of Guideline on the Management of Accounting Records PDF
RE: Tillerman Securities Limited (Liquidation under Supervision of Court PDF
RE: Prime Bank & Trust Ltd. PDF
RE: Tillerman Securities Limited Voluntary Liquidation PDF
RE: Joint Authorised Agent Training PDF
RE: Jaguar International Investments / International Investments Clearing S.A PDF
RE: Cornerstone Private Capital Group Ltd. PDF
RE: Doctors/Doctors Of Wisdom Limited PDF


2016

Office Closure December 23 2016 PDF
Re: Tillerman Securities Ltd. (Application for Winding Up/Appointment of Provisional Liquidator) PDF
Re: Financial and Corporate Service Providers (Amendment) Bill PDF
Re: Public Consultation on the Draft Financial and Corporate Service Providers (Money Lenders) Rules, 2016 PDF
RE: Draft Financial and Corporate Service Providers (Money Lenders) Rules 2016 PDF
RE: Promulgation of the Securities Industry (Anti Money Laundering And Countering the Financing of Terrorism) Rules, 2015 PDF
RE: Penalty Assessments PDF
RE: Suitability Guidelines and Penalty Assessments PDF
RE: FCSP Agent Training PDF

2015

RE: Office Closure DECEMBER 31, 2015 (New Year’s Eve) PDF
RE: Office Closure DECEMBER 24, 2015 PDF
RE: Proposed Securities Industry (Registration of Registrar and Transfer Agents) Rules, 2015 PDF
RE: Reminder for Submission to the 2014 On-Site Examination Financial & Corporate Service Providers PDF
RE: 2015 Authorised Agent Listing PDF
RE: Money Finders PDF
RE: Global Proprietary Traders PDF
RE: GreenKey Securities PDF
RE: BFD Financial Services PDF
RE: Joint Authorised Agent Training PDF


2014

RE: Financial Transaction Reporting (Amendment) Act, 2014 PDF
RE: Proposed Securities Industry (Anti Money Laundering and Countering the Financing of Terrorism) Rules, 2014 PDF
RE: Draft Securities Industry Disciplinary Proceedings (Hearings and Settlements) Rules Issued for Consultation PDF
RE: FCSP Authorised Agent Special Training PDF
RE: The Investment Funds (Amendments) Regulations, 2013 PDF
RE: Bahamas Union of Teachers Holding Company Limited Proposed Initial Public Offering PDF
RE: Authorised Agents Training PDF
RE: Annual Routine On-Site Examination of FCSPs PDF


2013

RE: Securities Industry (Investment Funds Fees) Rule, 2014 PDF
RE: Unlicensed FCSP Operators PDF
RE: Extension of Inspector’s Agent Application Deadline to 31 January 2013 PDF

2012

RE: Revocation of Licenses PDF
RE: Definition of Financial Services under the FCSPA, 2000 PDF
RE: Equitable Settlement AG, Intrum SA, and Equity Swiss Refinance AG PDF
RE: Super Value Food Stores Limited PDF
RE: Regulatory Status of Bahamas Supermarkets Limited PDF
RE: Protocol for On-Site Examinations for Jointly Regulated Entities PDF

2011

RE: Re-Categorization of Firms and Individuals under the SIA 2011 PDF
RE: Regulatory Status of BSL PDF
RE: Requirements for Financial Filings (SIA, 1999) PDF
RE: Regulatory Authority on Information Sharing PDF
RE: Consultation White Paper on Physical Presence PDF
RE: Regulatory Status of Bahamas Supermarkets Limited PDF
RE: Tortola Capital PDF
RE: Release of Updated SCB AML-CFT Guidelines PDF
RE: Policy for Licensing SIAs PDF
RE: Registration of Registrar and Transfer Agents PDF
RE: Transfer of the Examination for FCSP to the Commission under the FCSPA 2000 PDF
RE: Cornish Willoughby Associates PDF
RE: Life Group International PDF
RE: Progressive Management PDF
RE: Water Investment PDF
RE: Suspension Lifted on Trading of AML Shares PDF
RE: Suspension of Trading in Shares of AML Foods Limited PDF
RE: International Best Practices for Takeovers PDF
RE: Energy Group International PDF
RE: Crosslands CGMA Brokers PDF

2010

RE: Calculation of the Rate of Interest PDF
RE: SCB-Guidance Notes: Fitness and Propriety of MLROs PDF
RE: Unlicensed FCSP Operators (Extension of Time Limit) PDF
RE: Unlicensed FCSP Operators PDF
RE: Amendments to IFA 2003 and IFR 2003 PDF
RE: Taurus Global Markets PDF
RE: The Hastings Capital Group PDF
RE: Hi-Tech America Development Company PDF
RE: Stock Exchange of the Caribbean & Solaris Holding International Inc. PDF

2009

RE: Liberia Order 08 PDF
RE: Mellor Holdings PDF
RE: Revised Guidelines on Anti-Money Laundering and the Countering Financing of Terrorism PDF
RE: Gulf International Investment PDF
RE: Imperia Invest IBC PDF
Re: World Distribution Network PDF

2006

RE: Williams Matthey Ltd. PDF
Re: Dominion Investments (Nassau) Ltd. PDF

2005

RE: Argus Global Equities Ltd. PDF

2004

RE: Mario Jaeger & JR CTS Trend Ltd. PDF
RE: Meridian Capital Investments INC. PDF
RE: Summit Capital Corp. INC. PDF
RE: Atlantis Capital Fund Limited PDF

2003

RE: Lampley, Lampley & Jones PDF
RE: Laverty Assets Ltd. - Graves Stanley & Peabody Limited (aka GSP Limited) PDF

2001

RE: The Oracle Fund Ltd. and Fortis Fund Services (Bahamas) PDF
RE: The Commission Lifts Conditions - Fortis Funds Services (Bahamas) Ltd. PDF

2000

RE: Securities Commission - Sole Securities Regulatory Authority PDF
RE: Requirement to Apply for Registration Under the SIA, 1999 and the SIR, 2000 PDF




 
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