Securities Commission of The Bahamas

236 documents, newest first — showing 201–236.

Browse with filters on the regulator page.

2020-05-29Securities Industry (Anti Money Laundering and Countering the Financing of Terrorism) (Amendment) Rules, 2020
2020-05-29Financial and Corporate Service Providers (Anti Money Laundering and Countering the Financing of Terrorism) (Amendment) Rules, 2020
2020-05-29Securities Industry (Fees)(Amendment) Rules, 2020
2020-05-29Securities Industry (Contracts for Differences) Rules, 2020
2020-04-30Securities Industry (Corporate Governance) (Amendment) Rules, 2020
2020-04-30Securities Industry (Take-Over) (Amendment) Rules, 2020
2020-04-21Investment Funds (Prescribed Jurisdictions) Rules, 2020
2020-04-21Investment Funds (Fees) Rules, 2020
2019-05-09Securities Industry (Take-Over) Rules, 2019
2019-03-28Financial and Corporate Service Providers (Anti-Money Laundering and Countering the Financing of Terrorism) Rules, 2019
2019-03-27Securities Industry (Anti-Money Laundering and Countering the Financing of Terrorism) (Amendment) Rules, 2019
2019-03-18Securities Industry (Corporate Governance) Rules, 2019
2019-03-14Securities Industry (Compliance Officers) Rules, 2019
2018-08-28Guidance Notes for E-Filing of Statistical Data
2018-08-21Guidance Note on Proliferation and Proliferation Financing
2018-08-21Guidance Note on the Sound Management of Risks Related to Financial Crime in The Bahamas
2018-01-02Securities Industry (Fee) (Amendment) Rules, 2017
2017-07-31Guideline on Suitability of Clients’ Securities Transactions
2017-07-03Guideline on the Management of Accounting Records
2017-03-07Securities Industry (Disciplinary Proceedings) (Hearings and Settlements) Rules, 2017
2016-11-17Securities Industry (Registration of Registrar and Transfer Agents) Rules, 2016
2015-12-18Securities Industry (Anti Money Laundering and Countering the Financing of Terrorism) Rules, 2015
2013-12-02Financial and Corporate Service Providers Guidelines
2013-09-17Guidelines for Fast Track Application Process for Licensing under the Investment Funds Act, 2003
2012-09-17Investment Funds (SMART Funds) Rules, 2012
2012-08-17Statement of Practice for the Issuance of Blank Licenses to Unrestricted Investment Fund Administrators
2012-03-27Securities Industry (Physical Presence) Rules, 2012
2012-03-27Securities Industry (Fee) Rules, 2012
2011-01-26Bahamas Securities Commission Prospectus Filing Procedure
2010-11-01Guidance Notes for Assessing the Fitness and Propriety of Money Laundering Reporting Officers in The Bahamas
2009-02-27Investment Funds (SMART Fund) Rules, 2009
2008-05-16Guidelines for the On-Site Examination Process of the Securities Commission of The Bahamas
2007-10-04Guidance Notes for Material Change Information
2006-01-05Investment Funds (SMART Fund) Rules, 2005
2004-08-25Investment Funds (Financial Statements Extension of Time) Rules, 2004
2004-01-07Investment Funds (SMART Fund) Rules, 2003