Securities Commission of the Bahamas


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

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

Securities Industry Act, 2011

Form 8

Application for Registration as a Registered Firm

Form 4	Personal Questionnaire for Directors, Officers and Securities Holders of Persons Registered under Part V of the Act and Registered Firms
Form 9	Application for Registration as CEO, Compliance Officer or Registered Representative of Registered Firm
Form 11	Notice of Employment of Personnel to Carry on Securities Business on Behalf of a Registered Firm

IFA Fund Application Licence - Form A
IFA Fund Manager Registration - IFR Form B
IFA Admin Application - IFR Form D
Application Form - Chief Executive Officer and Compliance Officer and MLRO

Schedule

Financial and Corporate Service Licence