2023 Laws not yet authenticated through a Commencement Order

Revised Laws of Saint Lucia (2023)

Securities (Conduct of Business) Regulations (Statutory Instrument 104/2001)

Statutory Instrument 104/2001 .. in force 20 October 2001

ARRANGEMENT OF REGULATIONS

PART 1
PRELIMINARY

1.Citation and application
2.Interpretation
3.Contravention

PART 2
CONDUCT OF BUSINESS

4.Independence
5.Material interest
6.Inducement
7.Fair and clear communication
8.Customer understanding of risk
9.Information about the licensee
10.Representatives of licensee
11.Where customer agreement required
12.Customer rights
13.Suitability
14.Charges
15.Confirmation and periodic information
16.Customer order priority
17.Timely execution
18.Best execution
19.Timely allocation
20.Fair allocation
21.Front running
22.Excessive transactions
23.Insider dealing
24.Safeguarding of customer investments
25.Complaints
26.Compliance
27.Supervision
28.Customer confidentiality
29.Cold calling
30.Cessation of business

PART 3
CUSTOMER MONEY

31.Application
32.Customer money
33.Customer bank accounts
34.Accounting for and use of customer money
35.Payment out of a customer bank account

PART 4
AUDITORS

36.Engagement letters
37.Powers and duties of auditors
38.Notification to Commission
39.Resignation or removal of auditors

Commencement [20 October 2001]