Contravention Order – GGTL – $2000.00
In The Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Group Trust Limited Contravention Order -GGTL – $2000.00
Author Archives: Nicole Bachan
Contravention Order -GAMISL – $2000.00
In The Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Asset Management and Investment Services Limited Contravention Order -GAMISL – $2000.00
Contravention Order – WISE – $3,000.00
In the Matter of the Contravention of Section 56(4) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago, and By-Law 53(2) of the Securities (General) By-Laws 2015 By West Indies Stockbrokers Limited Contravention Order – WISE – $3,000.00
Contravention Order – PHL- $1,000.00
In The Matter of a Contravention of Section 61(2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Prestige Holdings Limited Contravention Order – PHL- $1,000.00
Registrants’ Risk Assessments 2023 Report
The TTSEC is mandated under Section 6(l) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago (the “Act”) to “assess, measure and evaluate risk exposure in the securities industry”. It is empowered under Section 7(1)(l) of the Act to “monitor the risk exposure …
Circular Letter – Implementation of the TTSEC Enhanced RBS Framework
In June 2023, the Trinidad and Tobago Securities and Exchange Commission (the “TTSEC”) implemented its enhanced Risk-Based Supervision Framework. By way of Circular Letter dated July 4, 2023, the TTSEC requested registered entities under Section 51(1) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad …
Draft Risk Based Capital and Liquidity Requirements Bye-Laws 2023 – Second Round
Please see attached documents for the second round consultation: Draft RBCAL Bye-laws 2023 (May 2024) Feedback Template Notice- RBCAL Bye-laws Second round of Public Consultation May 2024 Public Comments and Responses (1st Round Consultations) RBCAL Consolidated Instructions for Forms RBCAL Forms Workbook- May 2024
Volume Report Submissions – 30.04.2024
Revised Volume Reports A Presentation By The Policy, Research & Planning Department Date: April 30th, 2024 Volume Report Submissions – Presentation 30.04.24
Securities Market Bulletin- #11
An overview of the securities market for the first half of the year 2023. Securities Market Bulletin- Issue 11
Contravention Order- TTHDC- $17000.00
In The Matter of the Contravention of Section 66(1) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Trinidad and Tobago Housing Development Corporation Contravention Order- TTHDC- $17000.00