Contravention Order re: Sagicor Life Incorporated – $1,000
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 by Sagicor Life Incorporated Contravention Order re Sagicor Life Incorporated – $1,000
Category Archives: Orders (Contraventions)
Contravention Order re: Guardian Group Trust Limited – $15,000.00
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Group Trust Limited Contravention Order re Guardian Group Trust Limited – $15,000.00
Contravention Order re: Guardian Asset Management and Investment Services Limited – $15,000
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Asset Management and Investment Services Limited Contravention Order re Guardian Asset Management and Investment Services Limited – $15,000
Contravention Order re: Sagicor Funds Incorporated – $48,000.00
In the Matter of Contraventions of Section 66(1) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Sagicor Funds Incorporated. Contravention Order re Sagicor Funds Incorporated – $48,000.00
Contravention Order re: Sagicor Financial Corporation – $36,800.00
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 Sagicor Financial Corporation Limited. Contravention Order re Sagicor Financial Corporation – $36,800.00
Contravention Order re: Republic Wealth Management Limited – $1,000.00
In the Matter of the Contravention of By Law 48(1) of the Securities (General) By Laws 2015 by Republic Wealth Management Limited. Contravention Order re Republic Wealth Management Limited – $1,000.00
Contravention Order re: Nigel Edwards – $20,000.00
In the Matter of the Contraventions of Section 136 (2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Nigel Edwards. Contravention Order re Nigel Edwards – $20,000.00
Contravention Order re: Guardian Group Trust Limited – $6,000.00
In the Matter of the Contravention of Section 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 Guardian Group Trust Limited. Contravention Order re Guardian Group Trust Limited – $6,000.00
Contravention Order re: Courtenay Williams – $18,750.00
In the Matter of the Contravention of Section 136(1) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Courtenay Williams. Contravention Order re Courtenay Williams – $18,750.00
Contravention Order re: Charles Pashley – $148,000.00
In the Matter of the Contravention of Section 136(2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Charles Pashley. Contravention Order re Charles Pashley – $148,000.00