SIA Bill 2011
Rules and Orders (Other)

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 there under 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.


Rules

Securities Industry (Take-Over) Rules, 2019 PDF
Securities Industry (Corporate Governance) Rules, 2019 PDF
Securities Industry (Anti Money Laundering and Countering the Financing of Terrorism) Rules, 2019 PDF
Securities Industry (Compliance Officer) Rules, 2019 PDF
Securities Industry (Fee) (Amendment) Rules, 2017 PDF
Securities Industry (Disciplinary Proceedings) (Hearings and Settlements) Rules, 2017 PDF
Securities Industry (Registration of Registrar and Transfer Agents) Rules, 2016 PDF
Securities Industry (Anti Money Laundering and Countering the Financing of Terrorism) Rules, 2015 PDF
Securities Industry (Fee) Rules, 2012 PDF
Securities Industry (Physical Presence) Rules, 2012 PDF


Investment Funds (SMART Fund) Rules, 2003 [SFMs 001, 002, 003, 004] PDF
Investment Funds (Financial Statements Extension of Time) Rules, 2004 PDF
Investment Funds (SMART Fund) Rules, 2005 [SFM 005] PDF
Investment Funds (SMART Fund) Rules, 2009 [SFM 006] PDF
Investment Funds (SMART Fund) Rules, 2012 [SFM 007] PDF


Financial and Corporate Service Providers (Anti Money Laundering and Countering the Financing of Terrorism) Rules, 2019 PDF


Orders and Directives

AG's Directive 2019 re National Confiscation Policy PDF
International Obligations (Economic and Ancillary Measures) (Iran) Order, 2019 – (S.I. No. 36 of 2019) (“the Iran Order”) PDF
International Obligations (Economic and Ancillary Measures) (Democratic People's Republic Of Korea) (Order), 2019 PDF
Notice of the listing of Tariq Gidar Group Isil adn Al Qiada to the United Nations Sanctions List PDF
International Obligations (Economic and Ancillary Measures) (Iraq) (Order), 2018 PDF
International Obligations (Economic and Ancillary Measures) (Afghanistan) (Order), 2018 PDF
International Business Companies (Accounting Records Order), 2016 PDF
International Business Companies (Accounting Records Order), 2013 PDF

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