NOTICE from the Eastern Caribbean Securities Regulatory Commission

Contact: Sharon Welcome, Secretary

Tel: (869) 465-2537

Fax: (869 465-7512

E-mail: This email address is being protected from spambots. You need JavaScript enabled to view it.

Basseterre, 28 November 2012

NOTICE

The Eastern Caribbean Securities Regulatory Commission (ECSRC) wishes to advise the public of the following licence revocations:

Effective 26 October 2012:

The Principal license, number SL-PL-0008-11, of Mr Joel Allen who was accredited to ECFH Global Investment Solutions Ltd was revoked.  This revocation is pursuant to Section 66(1) (f) of the Securities Act No. 21 of 2001 of the Laws of Saint Lucia.  Mr Allen has ceased to carry on the business of a Principal in the Eastern Caribbean Securities Market.

The Principal licence, number KN-PL-0009-07, of Mr Kevin Huggins who was accredited to Bank of Nevis Ltd was revoked.  This revocation is pursuant to Section 66(1) (f) of the Securities Act No. 12 of 2001 of the Laws of St Kitts and Nevis.  Mr Huggins has ceased to carry on the business of a Principal in the Eastern Caribbean Securities Market.

Effective 27 November 2012:

The Principal license, number DM-PL-0003-01, of Ms Caryl Phillip Williams who was accredited to National Mortgage Finance Corporation of Dominica Ltd was revoked.  This revocation is pursuant to Section 66(1) (f) of the Securities Act No. 21 of 2001 of the Laws of the Commonwealth of Dominica.  Ms Phillip Williams has ceased to carry on the business of a Principal in the Eastern Caribbean Securities Market.

28 November 2012

NOTICE

Effective 27 November 2012:

The Principal licence, number DM-PL-0005-06, of Ms Linda Toussaint Peters who was accredited to National Mortgage Finance Corporation of Dominica Ltd was revoked.  This revocation is pursuant to Section 66(1) (f) of the Securities Act No. 21 of 2001 of the Laws of the Commonwealth of Dominica.  Ms Toussaint Peters has ceased to carry on the business of a Principal in the Eastern Caribbean Securities Market.

The Representative licence, number DM-RR-007-06, of Mr Curtis Clarendon who was accredited to National Mortgage Finance Corporation of Dominica Ltd was revoked.  This revocation is pursuant to Section 66(1) (f) and 66 (1) (g) of the Securities Act No. 21 of 2001 of the Laws of the Commonwealth of Dominica.  Mr Clarendon has ceased to carry on the business of a Representative in the Eastern Caribbean Securities Market.

The Representative licence, number DM-RR-087-08, of Mr Joel Denis who was accredited to National Mortgage Finance Corporation of Dominica Ltd was revoked.  This revocation is pursuant to Section 66(1) (f) and 66 (1) (g) of the Securities Act No. 21 of 2001 of the Laws of the Commonwealth of Dominica.  Mr Denis has ceased to carry on the business of a Representative in the Eastern Caribbean Securities Market.

Please note that these licences were cancelled and thus cannot be used to transact securities business within the Eastern Caribbean Securities Market.