Revised Laws of Saint Lucia (2023)

13.   Notice of change of a director or senior manager

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    (1)   A supervised entity shall provide the Authority with a written notice of a change of a director or senior manager if —

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      (a)     a director or senior manager ceases to hold office; or

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      (b)     a new director or senior manager is appointed.

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    (2)   A written notice under subsection (1) shall —

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      (a)     specify the date of the change;

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      (b)     include the full name of the director or senior manager who has ceased to hold office or has been appointed as a director or senior manager; and

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      (c)     be provided to the Authority within 14 days —

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        (i)     in the case of the appointment or resignation of a director or senior manager, of the change occurring, or

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        (ii)     in the case of the death of a director or senior manager, of the supervised entity becoming aware of the change.

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    (3)   A supervised entity that fails to provide a written notice of a change in its directors or senior managers under this section commits an offence and is liable on summary conviction to a fine not exceeding $25,000 and an additional fine not exceeding $300 for each day the offence continues.