Contravention Order re HDC filing material change
In The Matter of the Contravention of Sections 64(1)(a), (b) and (c) of the Securities Act 2012 by Trinidad and Tobago Housing Development Corporation Contravention Order -HDC-Section 64 Admin Fine
Author Archives: Nicole Bachan
Contravention Order re Guardian Asset Management & Investment Service s Limited – Filing
In The Matter of the Contravention of By-law 67(1) of the Securities (General) By-Laws, 2015 by Guardian Asset Management and Investment Services Limited WHEREAS Guardian Asset Management and Investment Services Limited (“the Respondent”) failed to file its Conflict Of Interest Rules Statement with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) …
Contravention Order re Guardian Group Trust Limited filing – Conflict Of Interest Rules Statement
In The Matter of the Contravention of By-law 67(1) of the Securities (General) By-Laws, 2015 by Guardian Group Trust Limited WHEREAS Guardian Group Trust Limited (“the Respondent”) failed to file its Conflict Of Interest Rules Statement with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) on or before March 31, 2016, …
TTSEC Launches Clash of the Debate Titans 2017
On Wednesday October 4, 2017, the Trinidad and Tobago Securities and Exchange Commission (TTSEC) officially declared the Clash of the Debate Titans, 2017 competition open, at the Cipriani College of Labour and Co-operative Studies. TTSEC Launches Clash of the Debate Titans
TTSEC Joins Securities Regulators Across the Globe to Commemorate World Investor Week 2017
The Trinidad and Tobago Securities and Exchange Commission (TTSEC) joins the International Organization of Securities Commissions (IOSCO) in celebrating World Investor Week, October 2nd – 8th 2017. WIW 2017 Public Report
TTSEC Hosts Tertiary Level Debate Competition
The Trinidad and Tobago Securities and Exchange Commission (TTSEC) is partnering with the Arthur Lok Jack Graduate School of Business (ALJGSB), Cipriani College of Labour & Co-Operative Studies and The University of the West Indies, St. Augustine Association of Postgraduate Students (UWI STAAPS), to execute a tertiary level debate competition, …
New TTSEC CEO Conducts Strategic Stakeholder Meetings
Hadyn Gittens, the newly appointed Chief Executive Officer (CEO) of the Trinidad and Tobago Securities and Exchange Commission (TTSEC), conducted a series of courtesy visits and held strategic meetings with fellow regulators within the financial services industry, as well as with other stakeholders operating within the sector, over the period …
Contravention Order Re Trinidad and Tobago Mortgage Finance Company Limited
In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Trinidad and Tobago Mortgage Finance Company Limited Order – TTMF – $2,000
Contravention Order Re Annual Report Breach Sagicor Funds
In The Matter of the Contravention of Section 63 (a) of the Securities Act, 2012 and By-Law 47(c) of the Securities (General) By-Laws, 2015 By Sagicor Funds Incorporated Order – Sagicor Funds Inc – $1,000
Contravention Order re Notice of Material Change JMMB Group Limited
In The Matter of the Contravention of Section 64(1)(b) of the Securities Act, 2012 and By JMMB GROUP LIMITED JMMB Group Order – Material Change Notice Breach – $1,000