In The Matter of the Contravention of By-Law 40(1) of the Securities (General) By-Laws, 2015 by FCL Financial Limited WHEREAS FCL Financial Limited (the “Respondent”) filed its mid-year interim financial statements with the Commission for the period ended April 30, 2016 on July 1, 2016, past the due date of June 29, …
In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Citicorp Merchant Bank Limited WHEREAS Citicorp Merchant Bank Limited (“the Respondent”) failed to file its Interim Financial Statements for the period ended June 30, 2017 with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) on or …
In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Citibank Trinidad and Tobago Limited WHEREAS Citibank Trinidad and Tobago Limited (“the Respondent”) failed to file its Interim Financial Statements for the period ended June 30, 2017 with the Trinidad and Tobago Securities and Exchange Commission (“the …
In The Matter of the Contravention of By-Law 40(2) of the Securities (General) By-Laws, 2015 by Bourse Securities Limited WHEREAS Bourse Securities Limited (“the Respondent”) failed to file its Half Yearly Interim Financial Statements for the period ended June 30, 2017 with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) on …
In The Matter of the Contravention of By-Law 40(2) of the Securities (General) By-Laws, 2015 by Bourse Brokers Limited WHEREAS Bourse Brokers Limited (“the Respondent”) failed to file its Half Yearly Interim Financial Statements for the period ended June 30, 2017 with the Trinidad and Tobago Securities and Exchange Commission (“the …
In The Matter of the Contravention of section 56(4) of the Securities Act 2012 and By-Law 53 of the Securities (General) By-laws, 2015 by RBC Investment Management (Caribbean) Limited Order – RBC Administrative Fine – $29,000
In The Matter of the Contravention of Section 66(1) of the Securities Act 2012 by Trinidad and Tobago Housing Development Corporation Contravention Order -HDC- Interim Financial – $1,000
In The Matter of the Contravention of Section 66(1) of the Securities Act 2012 by Trinidad and Tobago Housing Development Corporation Contravention Order -HDC- Section 64 – $99,000
In The Matter of the Contravention of Section 66(1) of the Securities Act 2012 by Trinidad and Tobago Housing Development Corporation Contraventio Order -HDC- Interim Financial – $92,000
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
