Securities

  • What kinds of activities are regulated under the Securities Division?
  • How do I find out whether an individual or company is registered or licensed to conduct securities related or mutual fund or mutual fund administration business?
  • Where do I find information about the registration and licensing process and requirements?
  • Can an International Business Company be registered or licensed to conduct business as a securities company, dealer, investment adviser, underwriter, mutual fund or mutual fund administrator?
  • Does a regulated entity require approval from the Commission in order to appoint certain persons for e.g. auditors, directors?
  • Can the Commission conduct examinations of registrants or licencees under the Securities Division?
  • Is a prospectus required to be filed with the Financial Services Commission for a distribution or offer of securities?
  • What should I do if I require an extension to the deadline for filing financial statements or returns?