Financial Services Unit
Government of the Commonwealth of Dominica

Services

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Compliance Officer Registration Form

Compliance Officer Registration Form

FSU Customer Complaint Form

FSU Customer Complaint Form

Intermediaries Retention of License Checklist

Intermediaries Retention of License Checklist

Pension Fund Registration Application

Pension Fund Registration Application

Personal Questionnaire Form

Personal Questionnaire Form

Pledging Form for Securities not Traded on an Exchange

Pledging Form for Securities not Traded on an Exchange

Standard TPR Form

Standard TPR Form

Registered Entities

The Financial Services Unit is responsible for the registration and regulation of the following entities:

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The entities not listed on the website are not authorised to do business in the Commonwealth of Dominica