Nicole Bachan – TTSEC

Contravention Order re JMMB Securities (T&T) – $3,100

In the Matter of the Contravention of By-Law 39(1) of the Securities (General), By-Laws 2015 By JMMB Securities (T&T) Limited Contravention Order re JMMB Securities (T&T) – $3,100

Contravention Order re JMMB Investments I(Trinidad and Tobago) Limited – $28,500

In the Matter of the Contravention of By-Law 40 of the Securities (General) By-Laws, 2015 By JMMB Investments (Trinidad and Tobago) Limited Contravention Order re JMMB Investments I(Trinidad and Tobago) Limited – $28,500

Contravention Order re JMMB Group Limited – $1,500

In the Matter of the Contravention of Section 65(1) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 48(1) of the Securities (General) By-Laws, 2015 By JMMB Group Limited Contravention Order re JMMB Group Limited – $1,500

Contravention Order re JMMB Bank Trinidad and Tobago Limited – $2,900

In the Matter of the Contravention of Section 65(1) of the Securities Act Chap 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 48(1) of the Securities (General), By-Laws 2015 By JMMB Bank Trinidad and Tobago Limited Contravention Order re JMMB Bank Trinidad and Tobago …

Contravention Order re First Citizens Investment Services Limited – $1,000

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 First Citizens Investment Services Limited Contravention Order re First Citizens Investment Services Limited – $1,000

Contravention Order re Ayanna Miguel – $6,500

In the Matter of the Contravention of Section 136(2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Ayanna Miguel Contravention Order re Ayanna Miguel – $6,500

Exemption Order re Nigel Clewett – June 2022

In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Nigel Clewett, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer Exemption Order re …

Contravention Order re JMMB Investments (Trinidad and Tobago) Limited – $3,100

In the Matter of the Contravention of By-Law 39(1) of the Securities (General) By-Laws, 2015 By JMMB Investments (Trinidad and Tobago) Limited Contravention Order re JMMB Investments (Trinidad and Tobago) Limited – $3,100

Re: Public Notice – Deceptive Email and Misuse of TTSEC’s Name

Trinidad and Tobago Securities and Exchange Commission (“TTSEC”) wishes to bring to the attention of the general public an email currently in circulation purporting to emanate from an official of the TTSEC. Read the full Notice here—-> TTSEC -Public Notice re Deceptive Email and Misuse of TTSEC’s Name