In The Matter of the Contravention of By-law 67(1) of the Securities (General) By-Laws, 2015 by Guardian Asset Management and Investment Services Limited WHEREAS Guardian Asset Management and Investment Services Limited (“the Respondent”) failed to file its Conflict Of Interest Rules Statement with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) …
In The Matter of the Contravention of By-law 67(1) of the Securities (General) By-Laws, 2015 by Guardian Group Trust Limited WHEREAS Guardian Group Trust Limited (“the Respondent”) failed to file its Conflict Of Interest Rules Statement with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) on or before March 31, 2016, …
In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Trinidad and Tobago Mortgage Finance Company Limited Order – TTMF – $2,000
In The Matter of the Contravention of Section 63 (a) of the Securities Act, 2012 and By-Law 47(c) of the Securities (General) By-Laws, 2015 By Sagicor Funds Incorporated Order – Sagicor Funds Inc – $1,000
In The Matter of the Contravention of Section 64(1)(b) of the Securities Act, 2012 and By JMMB GROUP LIMITED JMMB Group Order – Material Change Notice Breach – $1,000
In The Matter of the Contravention of Section 63(a) of the Securities Act, 2012 and By-Law 47 (c) of the Securities (General) By-Laws 2015 By NESTLÉ TRINIDAD AND TOBAGO LIMITED Nestle Order – Annual Report Breach – $6,0000
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 National Enterprises Limited Order – NEL – $1,000 (LB)
In The Matter of the Contravention of Section 64(1)(c) of the Securities Act, 2012 and By TRINIDAD AND TOBAGO HOUSING DEVELOPMENT CORPORATION HDC Order – Material Change contravention $6,000
In The Matter of the Contravention of section 63 (a) of the Securities Act, 2015 and By-Law 47 (c) of the Securities (General) By-laws, 2015 by One Caribbean Media Limited. Contravention Order re One Caribbean Media Limited
In The Matter of the Contravention of section 63 (a) of the Securities Act 2012 and By-Law 47 (c) of the Securities (General) By-laws, 2015 by Readymix (West Indies) Limited. TTSEC Order re Readymix
