Checklist for the approval of Compliance Officers

Section 6 (i) of the SA 2012 lists as one of the Commission’s functions, to ensure compliance with the Proceeds of Crime Act, any other written law in relation to the prevention of money laundering and combating the financing of terrorism or any other written law that is administered or supervised by the Commission.

Pursuant to Regulation 4(2) of the Financial Obligations Regulations, 2010 

Documents to submit:

  • The Trinidad and Tobago Securities and Exchange Commission’s Application Form for the Approval of Compliance Officers,
    • This form MUST be signed and dated by the Applicant, the entity’s Chief Executive Officer and the entity’s Managing Director, where applicable;
  • Certified Copies of all academic certificates (Bachelor’s Degree or higher) of the Applicant;
  • Certified Copies of all professional qualifications or certifications (membership certificates, AML/CFT training Certificates etc.) of the Applicant;
  • A Current Curriculum Vitae detailing the employment history of the Applicant;
  • Certified copies of two valid forms of identification for the Applicant;
  • Two (2) Passport sizes Photos; and
  • A recent Police Certificate of Character for the Applicant.

 

N.B. For the purposes of this application:

  • a recent Police Certificate is considered to be one that is dated not more than three (3) months prior to the date of the application; and
  • a “Certified Copy” is a photocopy of an original document that is signed and attested to as an accurate and a complete reproduction of the original document by a Notary Public or Commissioner of Affidavits.  In the alternative, original documents together with photocopies can be brought to the Commission for certification by the Staff.

Note – The required submissions for the filing of an application for approval of Compliance Officer include but are not limited to the above.
Updated February 3, 2013

Leave a Reply