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  1. Registry Form

    An investor who wishes to change his/her name, address and/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 the presence of a Principal of a licensed broker dealer and duly signed and stamped by the broker dealer before submitting to the ECCSD. In the case of a change of name the relevant supporting documentation, such as a deed pole, marriage certificate, divorce decree, etc, must also be submitted with the form.

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  2. Registry Account Maintenance Form for Institutions

    To change the name, address and/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 lieu of notarization, the form may be completed in the presence of a Principal of a licensed broker dealer and duly signed and stamped by the broker dealer before submitting to the ECCSD. In the case of a change of name the relevant supporting documentation evidencing the alteration of the entity’s name must also be submitted with the form.

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  3. 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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  4. 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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  5. 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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  6. 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.

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  7. 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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  8. 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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  9. 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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  10. Confirmation of Balances Form

    Request confirmation of your holdings of securities held at the ECCSD

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  11. 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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  12. 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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  13. 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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