Contravention Order FCL Financial Limited – $1,000.00
In The Matter of the Contravention of By-Law 39(1) of the Securities (General) By-Laws, 2015 By FCL Financial Limited. Order – FCL Financial $1000.00
Author Archives: Rachael Rampersad
Contravention Order JMMBGL – $11,000.00
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 JMMB Group Limited. Order – JMMB Group Limited – $11,000.00
TTPS Joins Inquiry into GetGXL
Trinidad and Tobago Police Service (TTPS) joins the Trinidad and Tobago Securities and Exchange Commission (TTSEC) in its inquiry into the operations of GetGXL in Trinidad and Tobago. This follows growing allegations of persons being defrauded of large sums of money by the operators of a suspected prohibited scheme. TTSEC …
TTSEC Bi-Annual Market Newsletter Issue #32
TTSEC Market Newsletter – News and Updates from the Commission – Issue #32. This publication features articles on Mutual Funds and the Christmas Season, Cyber Security and the Securities Market, Building a Culture of Compliance, Fraud Awareness Campaign, Appointment of new CEO and much more. TTSEC Market Newsletter Issue32 …
Market Guidance – CIS Bye-Laws
Attached are Guidance Documents to complement the Securities (Collective Investment Schemes) Bye-Laws, 2023 (the “Bye-laws”). These market guidance documents covers: The content of the constituent documents for collective investment schemes; Promotion Presentation Standards for collective investment schemes; The content of Key Facts Statements for collective investment schemes; and The content …
TTSEC Welcomes New CEO
TTSEC- Trinidad and Tobago Securities and Exchange Commission is pleased to announce the appointment of Mr. Kester Guy as Chief Executive Officer (CEO), effective December 1st, 2023. Mr. Guy, an economist, brings a wealth of experience in the regulatory landscape of the financial sector, having more recently served as …
Notice of Hearing re: Readymix (West Indies) Limited – Cancelled
Further to the Notice of Hearing dated June 29, 2023. TAKE NOTICE that the scheduled Hearing in this matter set for Thursday 24th August 2023 has been CANCELLED. The Hearing will be rescheduled for a date to be determined. An updated and revised Notice of Hearing will be published, upon …
Circular Letter- Amendments to the MMRF Forms
The TTSEC has amended the Clients Assets Managed fields of the Micro and Macro-Prudential Reporting Framework (MMRF) forms. These changes were necessary to provide a clear distinction between Clients Assets managed on behalf of Collective Investment Schemes, Private Wealth Clients and Other Clients in the securities market. See Circular …
Notice of Hearing re: Readymix (West Indies) Limited
In the Matter of Section 159(1) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago AND In the Matter of Section 6 of the Companies Act, Chapter 81:01 of the Laws of the Republic of Trinidad and Tobago AND In the Matter of …
TTSEC – Notice of Closure
Members of the public are advised that the Trinidad and Tobago Securities and Exchange Commission, located at Levels 22-23, International Waterfront Centre, 1 Wrightson Road, Port of Spain, will be closed on Friday 23rd December 2022. Registrants are advised that notwithstanding this general closure to the public, physical submissions will …