SIA Bill 2011
Guidance Notes and Statements of Practice

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.


Guideline On Suitability Of Clients’ Securities Transactions PDF
Management of Accounting Records Guidelines PDF
Financial and Corporate Service Providers Guidelines PDF
Anti-Money Laundering Guidelines PDF

Guidance Notes

Guidance Note on Financial Crime Risk Management PDF
Guidance Note on Proliferation Financing PDF
Guidance Notes for E-Filing PDF
Guidance Notes for IPO Approvals PDF
Guidance Notes for Assessing The Fitness and Propriety of MLROs PDF
Guidance Notes for On-Site Examination Process PDF
Guidance Notes for Material Change Information PDF
Guidance Notes for Fast Track Application Process for Licensing under the IFA, 2003 PDF

Statements of Practices

Statement of Practice for the Issuance of Blank Licenses PDF
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