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Revised Laws of Saint Lucia
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FINANCIAL SERVICES REGULATORY AUTHORITY ACT
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PART 3 REPORTING REQUIREMENTS, RESTRICTIONS, EXAMINATIONS AND ENFORCEMENT
2023 Laws not yet authenticated through a Commencement Order
Revised Laws of Saint Lucia (2023)
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PART 3
REPORTING REQUIREMENTS, RESTRICTIONS, EXAMINATIONS AND ENFORCEMENT
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PART 3 REPORTING REQUIREMENTS, RESTRICTIONS, EXAMINATIONS AND ENFORCEMENT
1. Short title and commencement
2. Interpretation
3. Establishment of the Authority
4. Head office
5. Board of the Authority
6. Chairperson and Deputy Chairperson
7. Executive Director
8. Staff
9. Advisory committees
10. Responsibilities of the Authority
11. Objects of the Authority
12. Regulation of own procedures and other powers of the Authority
13. Powers, duties and functions of the Authority
14. Core guiding principles
15. Power to issue guidelines
16. Meetings of the Board
17. Oath of secrecy and confidentiality
18. Protection from liability
19. Declaration of interest and abstention from voting
20. Duration of appointment
21. Resignation
22. Revocation
23. Vacancy
24. Remuneration
25. Expenses of the Authority
26. Financial year, budget and plan of action
27. Accounts
28. Audit
29. Annual report
30. Power to delegate functions or powers
31. Publication by the Authority
32. Exemption from taxes etc.
33. Reporting by regulated entities
34. Auditing requirements
35. Prohibition on advertising likely to mislead
36. Disclosure and access to books and records and examination by Authority
37. Authority's powers and measures for preventing adverse consequences
38. Exchange of information
39. Fees
40. Fee for late filing
41. Debt due to the Authority
42. General penalty
43. Amendment of enactments
44. Additional powers of the Authority
45. Appeals
46. Amendment of Schedules
47. Regulations
48. Transitional
Schedule 1
Schedule 2
Schedule 3
ACT
PART 1 PRELIMINARY
1. Short title and commencement
2. Interpretation
PART 2 AUTHORITY
3. Establishment of the Authority
4. Head office
5. Board of the Authority
6. Chairperson and Deputy Chairperson
7. Executive Director
8. Staff
9. Advisory committees
10. Responsibilities of the Authority
11. Objects of the Authority
12. Regulation of own procedures and other powers of the Authority
13. Powers, duties and functions of the Authority
14. Core guiding principles
15. Power to issue guidelines
16. Meetings of the Board
17. Oath of secrecy and confidentiality
18. Protection from liability
19. Declaration of interest and abstention from voting
20. Duration of appointment
21. Resignation
22. Revocation
23. Vacancy
24. Remuneration
25. Expenses of the Authority
26. Financial year, budget and plan of action
27. Accounts
28. Audit
29. Annual report
30. Power to delegate functions or powers
31. Publication by the Authority
32. Exemption from taxes etc.
33. Reporting by regulated entities
34. Auditing requirements
35. Prohibition on advertising likely to mislead
36. Disclosure and access to books and records and examination by Authority
38. Exchange of information
PART 4 MISCELLANEOUS
39. Fees
40. Fee for late filing
41. Debt due to the Authority
42. General penalty
43. Amendment of enactments
44. Additional powers of the Authority
45. Appeals
46. Amendment of Schedules
47. Regulations
48. Transitional
Schedule 1
Schedule 2
Schedule 3
SUBSIDIARY LEGISLATION