Mark Twain once exhorted, “You’re never wrong to do the right thing”. This remains sound guidance and very much applicable when participating in the capital markets. Market actors are fully cognisant of the types of conduct and behaviours, which while falling short of the ambit of the law, are outright …
JOINT REGULATORY GUIDANCE ON COMPLYING WITH AML/CFT VERIFICATION REQUIREMENTS IN LIGHT OF COVID-19 MEASURES Trinidad and Tobago and the world in general, have faced an unprecedented set of circumstances linked to the coronavirus (COVID-19) pandemic, particularly during this period of social distancing, self-isolation and other disruptions to everyday business. …
Further to Public Health [2019 Novel Coronavirus (2019-nCoV)] (No.8) Regulations,2020, otherwise referred to as the ‘Stay at Home Order’, published by the Government of the Republic of Trinidad and Tobago on Monday 6th April, 2020, the temporary closure of the offices of the Trinidad and Tobago Securities and Exchange Commission …
The Trinidad and Tobago Securities and Exchange Commission (“TTSEC”) is mandated to provide protection to investors from unfair, improper or fraudulent practices and foster a fair and efficient securities market. Ensuring confidence in the securities industry is one of the top priorities of securities regulators worldwide. As such, TTSEC works …
In the Matter of Section 155(1A)(e) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago (the “Act”) and In the Matter of the Impact of the Novel Coronavirus Disease 2019 (“COVID-19”) pandemic on the Submission of Continuous Disclosures and Filings by …
Trinidad and Tobago Securities and Exchange Commission (“TTSEC”) is charged with reviewing and investigating all complaints and ‘tips’ received in relation to the securities industry, including, but not limited to, those made against Broker-dealers, Investment Advisers, Underwriters, Reporting Issuers and Self-Regulatory Organisations. Over the period 2018/2019 the TTSEC received 14 …
THE PUBLIC IS HEREBY NOTIFIED that the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) imposes administrative fines pursuant to sections 156 and 156A of the Securities Act Chap 83:02 of the Laws of the Republic of Trinidad and Tobago (“the Securities Act”)for contraventions of the Securities Act and …
NOTICE TO STAKEHOLDERS Effective Tuesday 31st March to Wednesday 15th April, 2020, the offices of the Trinidad and Tobago Securities and Exchange Commission (“the Commission”), located at Levels 22 and 23, Tower D, International Waterfront Centre, will be temporarily closed to the public in accordance with the guidelines for non-essential …
• Pursuant to provisions of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago (the “Act”) and the Securities (General) By-Laws 2015 (the “By-Laws”), Registrants of the Trinidad and Tobago Securities and Exchange Commission (the “Commission”) and some non-Registrants are required to make various …
The advent and adverse effects of the Coronavirus disease (COVID-19), cements the importance of organisations implementing appropriate risk mitigation strategies within the securities market of Trinidad and Tobago. Trinidad and Tobago Securities and Exchange Commission (TTSEC) is mandated under Section 6(l) of the Securities Act, 2012 (SA 2012) to assess, …
