Settlement Agreement – Hassan Phillip Rahaman

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 …

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Settlement Agreement-TTSEC NCBJGHL-21-09-2018

In the Matter of Rule 61 and Rule 62 of Securities Industry (Hearings and Settlements) Practice Rules, 2008 (“Hearing Rules”) And In the Matter of NCB Global Holdings Limited’s along with the National Commercial Bank Jamaica Limited (“NCBJ”) and NCB Financial Group Limited (collectively referred to as (“Offeror”) Offer and …

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Decision of the Commission from the Hearing of December 4, 2008 on the implementation of the Board Lots

By letter dated October 14, 2008, the Trinidad and Tobago Stock Exchange Limited (“TTSE”) submitted to the Commission, a Statement of Substance and Purpose in accordance with section 40(1) of the Securities Industry Act, 1995 (“SIA”). The TTSE was seeking to amend the TTSE Rule 227 and the Horizon Trading Rule 10.2 with respect to the closing price of a security.

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