Registry Forms
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Registry Account Maintenance for Individuals
An investor who wishes to change their name or address or add/change their email address or payment option details should complete this form. The completed form should be notarized and submitted with a notarized copy of a valid Government-issued photo ID to the ECCSD. However, in lieu of notarization, the form may be completed in […]
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Registry Account Maintenance Form for Institutions
To change the name or address or add/change the email address or payment option details of an institutional investor, the authorised personnel should complete this form. The completed form should be notarized upon completion and accompanied by notarized Government-issued photo IDs of the authorised persons completing the form on behalf of the entity. However, in […]
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Payment Option Maintenance Form for Individuals
An investor who wishes to change their payment option details should complete this form. The completed form should be notarized and submitted with a notarized copy of a valid Government-issued photo ID to the ECCSD. However, in lieu of notarization, the form may be completed in the presence of a Principal of a licensed broker […]
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Payment Option Maintenance Form for Institutions
To change the payment option details of an institutional investor, the authorised personnel should complete this form. The completed form should be notarized and submitted with a notarized copy of a valid Government-issued photo ID to the ECCSD. However, in lieu of notarization, the form may be completed in the presence of a Principal of […]
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Transfer on Death Registration Request Form
This form is required to transfer the securities to the beneficiary(ries) of a deceased security holder. This form is also applicable where the securities are held in joint names and one of the holders is deceased. The completed form should be notarized or signed and stamped by the licensed broker dealer. A copy of the beneficiary Id should also be submitted to the ECCSD. Also, certified copies of the deceased will, letters of Administration or death certificate should be attached. A fee of EC$20.00 is applicable for this request.
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Charging Form
Securities held in any ECSE listed or maintained by the ECCSD can be used as collateral. The lending institution or licensed broker dealer, if instructed to do so, is required to complete this form for submission to the ECCSD.
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Application For Addition/Removal of Shareholder(s)
To add one or more holder(s) to an account, the existing holder(s) to the account should complete this form. This form should also be completed to remove one or more holder(s) from a joint account. Please note that for joint accounts, the form must be signed by all holders, notarised and submitted with a notarised copy of a Government-issued photo ID for each holder, for the request to add or remove any holder(s) to be processed.
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Consolidation of Registry Account Numbers
A single registry account can hold multiple securities, and this is the preferred over multiple accounts in the same name, for greater efficiency in terms of cost, ease of reference, and management, Investors holding securities in multiple accounts, therefore, should to consolidate these accounts so that all of their securities are maintained in one account. To consolidate their holdings into one account, securities holders should complete this form. The form should be notarised and submitted with a notarised copy of the securities holder(s) Government-issued photo ID(s).
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Donation Transfer Form
A shareholder or joint shareholders can donate all or a portion of their holding to a family member or to a registered charity, or in the case of an institutional holder, to an associated company. To donate securities, this form should be completed, notarized or signed and stamped by a licensed broker dealer and submitted to the ECCSD together with evidence of the familial relationship between the donor(s) and donee(s) or the registered charity status of the donee(s), or of the relationship between associated companies, as the case may be A fee of EC$20.00 is applicable for this request.
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Notice of Death of Joint Holder of Securities
This form is required to transfer the securities to the joint survivors of a deceased joint security holder.
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Confirmation of Balances Form
Request confirmation of your holdings of securities held at the ECCSD
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Release of Charge
To release securities that have been charged to a lending institution, the Charge Release Form must be completed by the chargee and chargor and submitted to the ECCSD. A fee of EC$20.00 is applicable for this request.
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Statutory Declaration of Chargee on Right to Enforce Charge
Under the Securities (Uncertificated Securities) Regulations, a Chargee who wishes to enforce his/her charge over securities must complete and submit the declaration on this form to the ECCSD.
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Request to Inspect and or Obtain Copies of a Register
A person who wishes to inspect or be provided with copies of companies’ registers must complete and submit this report form to the ECCSD.
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Private Transfer Form (Individuals/Corporations)
Shareholders wishing to transfer all or a portion of their holdings of securities that are not listed on the ECSE can do so by way of a Private Transfer. To transfer such securities, this form should be duly completed and notarized or signed by a licensed Principal and stamped by the Inland Revenue Department, or other National tax authority. A certified copy of the individual(s) photo ID (e.g. driver’s license, social security card or passport) should be attached to the completed form. NOTE: This form is only for Non-Listed securities.