Bahamas SCB: securities-firm records, permissions and complaints

The Securities Commission of The Bahamas regulates securities business within its statutory remit. A broker’s incorporation is separate from its securities registration, and CFD activity has a specific registration framework. The register should therefore be read by legal company, permitted business and document date.[6][4]

Authority

Securities Commission of The Bahamas

Jurisdiction

Bahamas

Remit

Oversight of securities, investment funds and other businesses under the legislation listed in its public register.

The SCB search page organises registrations by legislation. Its September 2026 securities-firm list distinguishes dealing, arranging, managing and advising activities and identifies firms with CFD business. The date and activity scope should accompany any claim that a broker is regulated.[1][2]

Open the official register ↗

Check the exact legal entity, permissions, current status and scope in the official record. A brand connection in our coverage does not establish authorisation.

The CFD rules require a designated supervisory officer and address pricing, contract notes, warnings and retail treatment. Keep retail and professional classifications separate when describing protections.[4]

The complaint guidance asks for specific events, documents, agreements and communication records. It explains that regulatory investigations are confidential and that staff cannot provide legal advice or routine investigation-status disclosure.[3]

The September 2026 service standards give a two-business-day acknowledgement standard for complaints submitted to [email protected]. This is an acknowledgement target, not a deadline promising settlement or payment. General supervision queries use [email protected]; the standards give different handling targets for enquiries and complaints.[5]

The reviewed SCB sources do not establish general investor-compensation cover for a retail CFD account. Negative-balance protection limits trading liability; it does not replace assets missing after firm failure. Separate insurance claims need their policy evidence.[4][3]

Resource availability describes the documented route. It does not establish eligibility, authorisation or compensation coverage.

This profile has not yet established the applicable procedure, receiving body and eligibility for this task. Consult the authority’s official resources and check your firm, product and circumstances before acting.