Securities Industry Regulations
Registration Of Broker-Dealers And Investment Advisors
The Securities Industry Regulations, 2000 have been signed into law by the Minister of Finance, gazetted, and are now in effect.
Companies and persons engaged in certain aspects of the securities business, either in or from The Bahamas, are required to apply for registration with the Securities Commission of The Bahamas.
The categories of registration include (a) securities investment advisors and (b) broker-dealers. Broker-dealers and securities investment advisors must also apply to the Commission for registration of key personnel as "stockbrokers, dealers, traders, principals or associated persons."
