The Trinidad and Tobago Securities and Exchange Commission (“the Commission”) remains committed to protecting the health and safety of Staff, Registrants and the wider national community in light of the impact of the Coronavirus (COVID-19) Pandemic. In this regard, effective today – Monday 23rd March, 2020; and until further notice, …
The public is advised that the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) is seeking to ensure a safe work environment and has implemented procedures which are consistent with the actions taken by Government in the wake of the Coronavirus Pandemic. The Commission has therefore taken a decision …
Effective March 23, 2020 Customer Service Protocol Registrants and Visitors to the Commission will be now be required to complete a questionnaire before visiting the premises of the Trinidad and Tobago Securities and Exchange Commission. This questionnaire is accessible via the following link–> https://www.surveymonkey.com/r/LCJ5NM8 Hadyn Gittens Chief Executive Officer …
On March 16, 2020, the Government of the Republic of Trinidad and Tobago announced that a number of measures will be taken in an attempt to contain the spread of the coronavirus (“COVID-19”) within Trinidad and Tobago. Similarly, the Commission is continuing to ramp up its response to COVID-19, as …
On February 3, 2020, China’s financial sector recorded one of its worst days, with equities decreasing as much as 9.1 percent. This came one day after China’s central bank injected US$173 billion (1.2 trillion yuan) into its economy to prevent an economic crash in response to the impact of COVID-19… …
Financial regulators globally previously utilised traditional supervisory approaches to market regulation which focused on a Rules-Based System of control. This approach also known as Principles or Compliance-Based Supervision, is “a method of regulation which involves checking for and enforcing compliance with rules – legislation, regulations or policies – that apply …
Registrants of the Trinidad and Tobago Securities and Exchange Commission (TTSEC) play an important role in the development and stability of the securities market of Trinidad and Tobago. Registrants refer to all issuers of securities, as well as market intermediaries such as: Broker-Dealers, Investment Advisers, and Underwriters. These registrants are …
PUBLIC STATEMENT OF THE TRINIDAD AND TOBAGO SECURITIES AND EXCHANGE COMMISSION FREEDOM OF INFORMATION ACT 1999 CHAPTER 22:02 (FOIA) In compliance with Sections 7, 8 and 9 of the Freedom of Information Act, 1999 (FOIA). In accordance with Sections 7, 8 and 9 of the Freedom of Information Act, 1999 …
As the regulator for the securities industry, establishing regulatory compliance requires continuous vigilance and resources. Simultaneously, as our regulatory demands grow, companies need to have the resources in place to build compliance practices into their everyday frameworks and workflows. Our article last week focused on incorporating compliance measures into an …
In the Matter of the Securities Act, Chap. 83:02 of the Laws of the Republic of Trinidad and Tobago (“the Securities Act”) and the Securities Industry (Hearings and Settlements) Practice Rules 2008 (“the Hearings Rules”) And In the Matter of an Investigation pursuant to section 150 of the Securities Act …
