2023 Laws not yet authenticated through a Commencement Order

Revised Laws of Saint Lucia (2023)

Securities (Licences and Fees) Regulations (Statutory Instrument 101/2001)

Statutory Instrument 101/2001 .. in force 20 October 2001

ARRANGEMENT OF REGULATIONS

PART 1
PRELIMINARY

1.Citation
2.Interpretation

PART 2
LICENCES

3.Applications and notices
4.Directions in forms
5.Manner of application for licence
6.Alteration of facts disclosed in applications
7.Grant of licence
8.General conditions
9.Renewal of licence
10.Replacement of licence
11.Display of licence
12.Change of employer by representative

PART 3
OTHERS FEES

13.Securities exchange licence fee
14.Proposed rule change fee
15.Examination fee
16.Clearing agency licence fee
17.Advertisement filing fee
18.Self regulatory organisation fee
19.Registration of corporate issuers fee
20.Authorisation of collective investment scheme fee
21.Waiver of fees
Schedule 1
Schedule 2
Schedule 3

Commencement [20 October 2001]