In our previous article, we discussed the regulatory frameworks that are available to the TTSEC in regulating the local securities market.  The Securities Act, 2012 as amended (“SA 2012”) and its Securities General By-Laws, 2015 are two (2) major lynchpins through which the securities market and its market actors are effectively regulated.  This week, we focus on the major components of the TTSEC’s regulatory toolkit and the expected outcomes.

How is the securities industry regulated (Part 2)