SIA Bill 2011
Application Forms

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.

Securities Industry Act, 2011

Firms

Form 8 Application for Registration as a Registered Firm DOC PDF

Individuals

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


Investment Funds Act, 2003

Administrators

Schedule 4 Form A Investment Fund Administrators Licence DOC PDF
Schedule 4 Form B Exempted Investment Fund Administrators Licence DOC PDF

Funds

Schedule 3 Form A Investment Fund Licence DOC PDF
Schedule 3 Form B Registration as a Recognised Foreign Fund DOC PDF
Schedule 6 Representative for a Non-Bahamas Based Investment Fund DOC PDF
Schedule 10 Re-Launch of a Dormant Fund DOC PDF


Financial and Corporate Service Providers Act, 2000

Schedule Financial and Corporate Service Licence DOC PDF

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