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, 2019

IFA- Schedule 6 - Form A - Fund Transfer From The Bahamas PDF
IFA- Schedule 6 - Form B - Fund Transfer to The Bahamas PDF
IFAFund - Schedule 9 - Form A - Annual Declaration for Investment Fund PDF
IFA Admin - Schedule 9 Form B - Annual Declaration for Investment Fund Administrator PDF
IFAFund - Schedule 9 - Form C- Annual Declaration for Investment Fund Manager PDF
Personal Questionnaire - Directors and Security Holders PDF


Financial and Corporate Service Providers Act, 2000

2018 FCSP Authorized Agent Application Form PDF
Agent Application Form DOC  
FCSP Annual Information Update Form DOC PDF


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