CMAEC Guidelines

In order to facilitate transactions by securities market participants, reduce settlement risks and ensure smooth settlement of transactions, Eastern Caribbean Securities Dealers Association (CMAEC) has formulated various guidelines regarding market practices, etc. that market participants should observe. However, these guidelines do not constitute any restrictions whatsoever on the legal rights of market participants.

Listing Rules Guidance Notes

• Disclosure
• Listing Procedures
• Market Announcements
• Restricted Securities

Business Rules Guidance Notes

• Guidance Note Accuracy of Returns
• Guidance Note Approved Representatives
• Guidance Note Broker Application Procedures
• Guidance Note Broker Records
• Guidance Note Cancellation of Transactions by IR Plus
• Guidance Note Capital Liquidity
• Guidance Note Clearing Settlement
• Guidance Note Complaints
• Guidance Note Dealing Procedures
• Guidance Note Financial Obligations
• Guidance Note Non-Business Days