SIA Bill 2011
Other 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.

General Forms

The following Forms have general application and may be of interest to all licensees and registrants.

Notification of Lost Certificate DOC PDF

Securities Industry Act, 2011

Firms

Schedule 2 Form 6 Notice of Proposed issue or Transfer of Securities of a Person Registered under Part V of the Act or Registered Firm DOC PDF
Form 2 Notice of Appointment, Termination or Resignation of Auditors DOC PDF
Form 5 Notice of Change of Information DOC PDF
Form 10 Annual Information Update Form DOC PDF
Form 12 Notice of Termination, Resignation or Retirement of Registered Individual 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
Form 16 Notice of Exempt Transaction DOC PDF
Form 19 Material Change Report DOC PDF
       
Declaration for a Securities Investment Advisor Firm DOC PDF
Form 22 Report of Insider of Public Issuer DOC PDF

 

       

Investment Funds Act, 2003

Administrators

Schedule 7 Retirement or Dismissal of an Investment Funds Administrator DOC PDF
Schedule 9 Change in Investment Funds Administrator DOC PDF
Schedule 11 Form B Annual Declaration for an Investment Fund Administrator DOC PDF
Schedule 11 Form B IFA Annual Information Update Form DOC PDF
Schedule 11 Form B IFA Annual Information Update Form (Exempt) DOC PDF
Schedule 11 Form C Annual Declaration for a Non-Bahamas Based Investment Fund Representative DOC PDF

Funds

Schedule 8 Transfer of an Investment Fund from The Bahamas DOC PDF
Schedule 11 Form A Annual Declaration for an Investment Fund DOC PDF

Financial and Corporate Service Providers Act, 2000

Agent Application Form DOC  
FCSP Annual Information Update Form DOC PDF


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