Revised Laws of Saint Lucia (2021)

68.   Register of licensees

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    (1)   The Commission shall maintain a register of persons holding licences granted under this Part in the form it considers most appropriate.

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    (2)   For each licensee other than a licensed principal or representative, the register shall record—

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      (a)     the name and address of the licensee;

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      (b)     the date on which the licence was granted;

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      (c)     the type of securities business permitted by the licence;

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      (d)     any conditions attached to the licence;

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      (e)     the name and address of every accredited representative;

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      (f)     the name and address of every manager and officer;

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      (g)     the location of the premises at which the records or other documents of the licensed business are kept;

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      (h)     in the case of a company licensee, the name of the principal, the name of each director and of the secretary of the company, and the names and respective shareholdings of each shareholder;

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      (i)     any disciplinary action against the licensee;

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      (j)     any order of suspension or revocation; and

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      (k)     such other particulars as the Commission considers necessary in the interest of the investing or general public.

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    (3)   For each licensed principal or representative, the register shall record—

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      (a)     his or her name and address;

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      (b)     the date on which the licence was granted;

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      (c)     the name and address of the principal to whom he is accredited;

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      (d)     any order of revocation or suspension; and

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      (e)     such other particulars as the Commission considers desirable in the interest of the investing or general public.

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    (4)   The register shall, during usual office hours, be open to inspection free of charge by members of the public.