SIA Bill 2011

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's regulatory and supervisory authority is derived from legislation comprising various Acts and subsidiary legislation made thereunder consisting of Regulations, Rules and Guidelines.

The relevant Acts and subsidiary legislation, duly passed and enacted by the Parliament of the Bahamas, are all listed on this website and their texts are provided for reference purposes only. The official law is in the 2000 Revised Edition of the Statute Law and Subsidiary Legislation of The Bahamas and in Official Gazettes printed by the Government Printing Department.

Policy On The Assessment of Administrative Penalties For Anti-Money Laundering And Terrorists Financing Infractions By Registrants And Licensees Of The Securities Commission Of The Bahamas Under The Financial Transaction Reporting Act, 2018 DOCX
Due Diligence Refresher Policy - Ref: PSr.3/Fs.4(3)(a)-180309 DOCX
Reclassification and Downgrade of an Unrestricted Investment Fund Administrator Licence Policy - Ref: PIs55(1)(g)-180309 DOCX
Regulatory Capital Calculation for Firms Managing Securities and Advising on Securities Policy - Ref: PSr42-180309 DOCX
Filing of Audited Financial Statements Policy- Ref: PSs135.2-170217(2) DOCX
Assessment of Automatic Administrative Penalties Policy Ref: PSs135.2-170217 DOCX
Interim Treatment of Master/Feeder Fund Structures PDF

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