Order for settlement re CARONI
In the Matter of Contraventions of Sections 64 (3), 66 (1) (a) and 66 (2) of the Securities Industry Act, 1995 and By-Laws 55 (1) and 56 (1)of The Securities Industry By-Laws, 1997 By Caroni (1975) Limited
Category Archives: Orders (Contraventions)
Order for settlement re WASA SI 116 and 117
In the Matter of the Contraventions of Sections 66 (2) and 66 (1) (a) of the Securities Industry Act, 1995
And By-Law 55 (1) of The Securities Industry By-Laws, 1997
By the Water and Sewerage Authority
Order for settlement re WASA SI 47 and 48
In the Matter of the Contraventions of By-Law 56 (1) of The Securities Industry By-Laws, 1997
And Section 64 (3) of the Securities Industry Act, 1995
By the Water and Sewerage Authority
Order for settlement re Trinidad and Tobago Housing Development Corporation
In the Matter of Contraventions of Sections 64 (3), 66 (1) (a) and 66 (2) of the Securities Industry Act, 1995
And By-Laws 55 (1) and 56 (1)
of The Securities Industry By-Laws, 1997
Order for settlement re Cool Petroleum (St. Lucia) Limited
In The Matter of a Contravention of Section 64 (3) of the Securities Industry Act, 1995
By Cool Petroleum (St. Lucia) Limited
Order for settlement re PLIPDECO
In The Matter of a Contravention of Section 66 (3) of the Securities Industry Act, 1995
By Point Lisas Industrial Port Development
Corporation Limited
Order for settlement re UDECOTT
In the Matter of Contraventions of Sections 64 (3), 66 (2) and 66 (1) (a) of the Securities Industry Act, 1995 and By-Laws 55 (1) and 56 (1) of the Securities Industry By-Laws, 1997 By Urban Development Corporation of Trinidad and Tobago
Order for settlement re Dynamic Equity Venture Fund Limited April 2011
In the Matter of Contraventions of Section 66 (3) of the Securities Industry Act, 1995
By Dynamic Equity Venture Fund Limited
Order for settlement re First Citizens Asset Management Limited
In The Matter of a Contravention of Section 66(1) (a) of the Securities Industry Act Chap. 83:02 (“the Act”)By First Citizens Asset Management Limited
Order 2 for settlement re Scotia DBG Investments Limited
In The Matter of a Contravention of
Section 64 (3) of the Securities Industry Act, 1995 By Scotia DBG Investments Limited