In the Matter of the Contravention of Section 64(1)(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Telecommunications Services of Trinidad and Tobago Contravention Order re TSTT – $1000.00
In the Matter of the Contravention of Section 64(1)(a) and (c) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Telecommunications Services of Trinidad and Tobago Contravention Order re TSTT – $48,000.00
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 by Sagicor Life Incorporated Contravention Order re Sagicor Life Incorporated – $1,000
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Group Trust Limited Contravention Order re Guardian Group Trust Limited – $15,000.00
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 re Guardian Asset Management and Investment Services Limited – $15,000
The ongoing ramifications of the COVID-19 pandemic on financial markets globally further emphasises the importance of organisations implementing appropriate risk mitigation strategies. As mandated under Section 6(l) of the Securities Act, 2012 (SA 2012), it is the duty of the Trinidad and Tobago Securities and Exchange Commission (TTSEC) to assess, …
Notice to Stakeholders Commission’s Temporary Operational Arrangements The Commission has taken note of the provisions of The Public Health [2019 Novel Coronavirus (2019 n-CoV) (No. 12)], Regulations 2021, effective May 4th 2021 and advises registrants in particular, and the public in general of the following, effective May 5th, 2021: The …
This week’s article focuses on the importance of the securities market to investors, businesses and the economy. The securities market is a subset of the financial sector in Trinidad and Tobago, and it is instrumental in channeling funds between “savers” (individuals, companies, and governments) who have money to invest, and …
This week’s article focuses on how you, the investing public, should evaluate a robo-adviser to determine whether it meets your needs. Robo- Advisers are digital platforms that provide automated, algorithm-driven financial planning services with little to no human supervision. Essentially, this involves a computer programmer creating software that provides investment advice to …
As the regulator of the securities industry, the Trinidad and Tobago Securities and Exchange Commission (TTSEC) has the responsibility to monitor the industry, understand its potential for development and encourage innovation to foster that development. This week’s article will highlight some prominent fintech products typically used in the securities market. …
