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 …
In The Matter of the Contravention of Section 61(2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By PORT AUTHORITY OF TRINIDAD AND TOBAGO Contravention Order re Port Authority of Trinidad and Tobago – $1,000.00
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 National Enterprises Limited Contravention Order re National Enterprises Limited – $14,000.000
In the Matter of the Contravention of Section 64(1)(c) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Guardian Asset Management and Investment Services Limited Contravention Order re GAMISL – $2,000.00
The conduct of compliance reviews (also known as inspections) is one of the mechanisms used by the Trinidad and Tobago Securities and Exchange Commission (TTSEC) for investors to maintain confidence in the local securities market. The Compliance and Inspections Division, of the TTSEC, is responsible for conducting compliance reviews to …
TAKE NOTICE that on the 18th day of October 2019, the Trinidad and Tobago Stock Exchange Limited (“the TTSE”), a duly registered Self-Regulatory Organisation under section 36 of the Securities Act, 2012 (“the Act”), filed with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) a concise Statement of …
‘Disclosure’ and ‘Registration’ are two of the ways in which the Commission strives to nurture a fair, efficient and transparent securities market. Transparency is vital for an active and successful securities market. Read more here—>Importance of Disclosure
TTSEC Market Newsletter – News and Updates from the Commission – Issue #24 TTSEC MARKET Newsletter Issue #24
RFHL – Change to Senior Officer – S. Mohammed and M. Andrews
Financial fraud can take many forms including Boiler Room scams, Pump and Dump Schemes, Ponzi and Pyramid schemes. Affinity Fraud ranks among the most predominant in operation globally. U.S. Securities and Exchange Commission defines Affinity Fraud as ‘investment scams that prey upon members of identifiable groups, such as religious or …
