Documents to be submitted for renewal of registration:

• Renewal fee of TT$10,000;
• Form No. 2 for the company, stating the classes of business to be undertaken. (to be signed and dated 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 securities company;
• 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 signed by the CEO and two (2) directors;
• Evidence of meeting the capital requirements where the company’s business is:
  • broking only TT$400,000
  • extends to equities and other securities TT$1,000,000
  • in other activities, in addition to broking
    for which registration under the SIA is  required TT$5,000,000
• A statement identifying the individual(s) responsible for the discharge of the company’s obligations as a Securities Company to carry on business under the classes of Broker, Dealer, Investment Adviser and Underwriter, and for each person so identified, the following documents are to be submitted:
  • Form No. 2 for each person who will be responsible for each class of business signed by the individual. This individual should be either a director or full time employee;
  • Documentary evidence that this person(s) is registered as a broker or 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 person(s) 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/her business as a Broker and/or Dealer and/or, Investment Adviser and/or Underwriter;
  • A statement signed by the person(s) indicating that there is no bankruptcy order made against him/her that remains undischarged; and
  • Two passport size photos.