Contravention Order re: Sagicor Life Incorporated – $72,000.00
In the Matter of the Contravention of By-Law 39(1) of the Securities (General) By-Laws, 2015 By Sagicor Life Incorporated Order re Sagicor Life Incorporated – $72000.00
Category Archives: Orders (Contraventions)
Contravention Order re: RBC Royal Bank (T&T) Limited – $4,000.00
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 RBC Royal Bank (Trinidad and Tobago) Limited Contravention Order re RBC Royal Bank (T&T) …
Contravention Order re: RBC Merchant Bank Caribbean Limited
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 RBC Merchant Bank (Caribbean) Limited Contravention Order re RBC Merchant Bank (Caribbean) Limited – …
Contravention Order re: Proven Investments Limited $21,000.00
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 Proven Investments Limited Contravention Order re Proven Investments Limited – $21,000.00
Contravention Order re: Marc Anatol
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 Marc Anatol Contravention Order re Marc Anatol – $24,000.00
Contravention Order re: KCL Capital Market Broker Limited – $77,000
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By KCL Capital Market Brokers Limited Contravention Order re KCL Capital Market Brokers Limited – $77,000.00
Contravention Order re: KCL Capital Market Brokers Limited – $9,000.00
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By KCL Capital Market Brokers Limited Contravention Order re KCL Capital Market Brokers Limited – $9,000.00
Contravention Order re: Andrew Aleong
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 Andrew Aleong Contravention Order re Andrew Aleong – $4,000.00
Contravention Order re: Aliyah Jaggassar
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 Aliyah Jaggassar Contravention Order re Aliyah Jaggassar – $15,000.00
Contravention Order re: UDeCoTT – $190,400.00
In the Matter of the Contravention of Section 65(1) of the Securities Act 2012 and By-Law 48(1) of the Securities (General) By-Laws 2015 by Urban Development Corporation of Trinidad and Tobago Limited Contravention Order re UDeCoTT – $190,400.00