Regulatory Alerts2026-09-01
Added · Updated
Guidance Note For The Public On Complaints Against Licensees and Registrants
The Securities Commission of The Bahamas establishes procedures for submitting complaints against licensees and registrants regulated under the Securities Industry Act, 2024, and related statutes. Complainants are generally required to exhaust the entity's internal complaints process first, unless funds are at immediate risk, and must provide specific details including names, conduct descriptions, and supporting documentation. The Commission sets service standards requiring written acknowledgment within five business days, initial assessment outcomes within 10 business days, and substantive updates every 40 business days. Complaints may be submitted via online forms, email, post, hand delivery, or telephone, with anonymous submissions accepted but not eligible for correspondence.
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