Securities

The Role of the FSC and the Securities Industry

The Securities Act (2001) provides for the licensing, operation and supervision of entities dealing in securities as well as the regulation of the capital markets. Securities regulation has continued to focus on monitoring the solvency and market conduct of licensed entities through a programme of routine and special examinations and stock market surveillance. Findings from these examinations sometimes identify areas of potential risk exposure and when these deficiencies are identified the licensee is required to put in place effective corrective measures. 

General Information

Under the Securities Act and Unit Trust Act, the Financial Services Commission is responsible for the supervision of all securities

 

Registered Entities / Individuals

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