Documents to be submitted for renewal of registration:

If a Company:

• Renewal fee of TT$5,000;
• Form No. 2  (to be dated and signed by the CEO and two directors of the company);
• A statement signed by the CEO and two (2) directors of the company stating that the company has no interests, direct or indirect, that may conflict with or be likely to affect the conduct and integrity of its business as a Dealer;
• A statement signed by the CEO and two (2) directors of the company stating that the company has no receiver or receiver manager appointed in respect to its undertaking;
• Conflict of Interest Rules Statement (to be dated and signed by the CEO and two (2) directors);
• Evidence of capital requirements where the company’s business is:
  • a dealer in equity securities only  TT$  400,000
  • a dealer in equity and/or other securities  TT$1,000,000
• A statement identifying the individual(s) responsible for the discharge of the company’s business as a Dealer, and for each person so identified, the following documents are to be submitted:
  • Registration Statement Form No. 2 (to be signed and dated by the individual);
  • Documentary evidence that this person holds a degree or professional qualification in economics, banking, law, accountancy, business administration or chartered secretaryship (unless the same has already been lodged with the Commission);
  • A statement signed by the individual stating that he/she has no interests, direct or indirect which may conflict with or be likely to affect the conduct and integrity of his business as an Investment Adviser; and
  • A statement signed by the individual indicating that there is no bankruptcy order made against him/her that remains undischarged; and
  • Two passport size photos