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Guideline SEC-GA/13

Please find attached Guideline and Post Consultation Paper issued as of March 1, 2013. 

  1.  Market Conduct Guidelines
  2.  Compliance Program Guidelines
  3.  Insider Trading Guidelines
  4.  Corporate Governance Guidelines
  5.  Post Consultation Paper - Guidelines and Paper on the Regulation of Repuchase Agreements 

Questions related to the Guidelines should be addressed to the following: 

Chief Executive Officer
Financial Services Commission
#34 Warrens Industrial Park
St. Michael
Email: This email address is being protected from spambots. You need JavaScript enabled to view it.
Attention: Securities Division

 

Attachments:
Download this file (POST CONSULTATION PAPER - AMENDED GUIDELINES - Securities.pdf)5. Post Consultation Paper – Guidelines and Paper on the Regulation of Repurc349 kB
Download this file (4. Corporate Governance Guideline.pdf)4. Corporate Governance Guideline.pdf273 kB
Download this file (3. Insider Trading Guideline.pdf)3. Insider Trading Guideline.pdf242 kB
Download this file (2. Compliance Program Guideline.pdf)2. Compliance Program Guideline.pdf215 kB
Download this file (1. Market Conduct Guideline.pdf)1. Market Conduct Guideline.pdf276 kB