2023 Laws not yet authenticated through a Commencement Order

Revised Laws of Saint Lucia (2023)

Schedule 1

(Regulation 3)

LIST OF FORMS

Description of FormNumber of Form in Schedule 2
Application for broker dealer, limited service broker or custodian licence1
Application by an individual for investment adviser licence2
Application by a company for investment adviser licence3
Application for principal or representative licence4
Register of securities5
Notice of place at which register is to be kept6
Notice of change of place of business and change of place at which register is kept7
Notification of cessation of business8
Notice of change of representatives employer and notice of change of place at which register is kept9