Registry – ECSE

Payment Option Maintenance Form for Individuals

Trellon Charles — Sun, 05 Feb 2023 01:41:47 +0000

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 dealer and duly signed and stamped by the Principal before submitting to the ECCSD. In the case of a change of name the relevant supporting documentation, such as a deed poll, marriage certificate, divorce decree, etc, must also be submitted with the form. When completed, the form and supporting documents can be emailed to the ECCSD at info@ecseonline.com.

Payment Option Maintenance Form for Institutions

Trellon Charles — Sun, 05 Feb 2023 01:41:50 +0000

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 a licensed broker dealer and duly signed and stamped by the Principal before submitting to the ECCSD. In the case of a change of name the relevant supporting documentation, such as a deed poll, marriage certificate, divorce decree, etc, must also be submitted with the form. When completed, the form and supporting documents can be emailed to the ECCSD at info@ecseonline.com.

Registry Account Maintenance for Individuals

admin — Sun, 05 Feb 2023 04:03:58 +0000

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 the presence of a Principal of a licensed broker dealer and duly signed and stamped by the Principal before submitting to the ECCSD. In the case of a change of name the relevant supporting documentation, such as a deed poll, marriage certificate, divorce decree, etc, must also be submitted with the form. When completed, the form and supporting documents can be emailed to the ECCSD at info@ecseonline.com.

Registry Account Maintenance Form for Institutions

admin — Sun, 05 Feb 2023 04:04:15 +0000

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 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. When completed, the form and supporting documents can be emailed to the ECCSD at info@ecseonline.com.

Application For Addition/Removal of Shareholder(s)

admin — Tue, 01 Oct 2019 14:47:49 +0000

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.

Consolidation of Registry Account Numbers

admin — Mon, 16 Dec 2019 15:00:47 +0000

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).

Donation Transfer Form

admin — Mon, 16 Dec 2019 15:04:46 +0000

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.

Private Transfer Form (Individuals/Corporations)

admin — Mon, 16 Dec 2019 15:20:17 +0000

Individuals
Shareholders wishing to transfer all or a portion of their holdings of securities that are not listed on the ECSE can do so via a Private Transfer. The completed form should be notarized or signed by a licensed Principal and stamped by the (Inland Revenue Department). A certified copy of the individual(s) photo ID (e.g. drivers license, social security card or passport) should be attached to the completed form.

Corporations

Along with the completed notarized form additional documents are required as follows:

Selling Institution

Requires the name(s) and signature(s) of the authorised officer or officers of the corporation
Copy of the Company’s By-Laws or resolution of the Board of Directors authorising the transfer and naming the persons and their official positions authorised to make the transfer on behalf of the corporation
The registry transfer must have the corporation’s seal or if no seal a letter on the corporation’s letterhead stating that no seal exists

Buying Institution

Certificate of Incumbency
Articles of Incorporation and or certificate of continuity
The company’s authorised officer(s) name and signature(s) on the company’s letterhead

The fees payable for a Private Transfer are listed below:

# of Shares Transferred	Fee Payable
0 – 10,000 Units	$30.00 per party
10,000 – 100,000 Units	$60.00 per party
Above 100,000 Units	$150.00 per party

Charging Form

admin — Mon, 16 Dec 2019 15:32:42 +0000

Securities held in any ECSE listed or maintained by the ECCSR can be used as collateral. The lending institution or licensed broker if instructed to do so is required to complete this form for submission to the ECCSR.

The fees payable for Charges:
0.05% based on the value of securities charged, subject to a minimum of $100.00

NOTE: (Securities charged before the company contracted the services of the ECCSR and/or listed on the ECSE will be charged at the ECCSR without cost).

Transfer on Death Registration Request Form

admin — Mon, 16 Dec 2019 15:33:56 +0000

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.