In the Matter of the Securities Act Chapter 83:02 of the laws of the Republic of Trinidad and Tobago (“the Act”) and Part VIII of the Securities Industry (Hearings and Settlements) Practice Rules 2008 (“the Rules”) And In The Matter of the application for, and purchase of, 659,588 First Citizens …
In the Matter of Contravention of Sections 64(1) and 56(4) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 53 of the Securities (General) By-Laws, 2015 by Public Transport Service Corporation Order re PTSC – $103,000
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 JMMB BANK (T&T) Limited JMMBTT – $3000
In the Matter of Contravention of By-Law 28 of the Securities (General) By-Laws 2015 by ANSA Securities Limited Order re Ansa Securities Ltd – $11,900
In the Matter of Contravention of By-Law 28 of the Securities (General) By-Laws 2015 by Ansa Merchant Bank Limited Order re Ansa Merchant Bank – $28,900
Collective Investment Schemes (“CIS”), commonly known as mutual funds are investment vehicles, which allow the pooling of investor resources to create a more diversified portfolio and take advantage of the benefits of large-scale investment opportunities. Investors effectively own portions of the overall pool through units/shares, which are proportional to their …
In the Matter of Contravention of Section 64 (1) (c) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by JMMB Group Limited Order re JMMB Group Limited – $7800_
Every day securities markets globally are evolving and changing to meet the financial and investment needs of a digitized era. Regulators worldwide often seek to improve operational efficiency and effectiveness within this environment and in so doing must consider changing the way they do business and adapt processes that will …
Trinidad and Tobago Securities and Exchange Commission has been faced with certain challenges to the application of the Securities Act, 2012 (the SA 2012) and the Securities (General) By-laws, 2015, as they relate to the registration of Collective Investment Schemes (CISs) constituted via trust. These challenges are based on the …
In The Matter Section 45(1) 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 the Trinidad and Tobago Stock Exchange Limited to De-List the TT$300m Government of the Republic of Trinidad and Tobago (“GORTT”) 15-year …
