Contravention Order re FCL Financial Limited – $1,000.00
In the Matter of the Contravention of By-Law 40(1) of the Securities (General) By-Laws, 2015 By FCL Financial Limited. Contravention Order re FCL Financial Limited – $1,000.00
Category Archives: Orders (Contraventions)
Contravention Order re Scotia Canadian Equity Fund – $145,000
In the Matter of the Contravention of Section 63(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47(c) of the Securities (General) By-Laws 2015 By Scotia Global Equity Fund Contravention Order re Scotia Canadian Equity Fund – $145,000
Exemption Order re T&T Insurance Limited – June 2022
In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Mondial (Trinidad) Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer Exemption Order …
Exemption Order Mondial (Trinidad) Limited
In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Mondial (Trinidad) Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer Exemption Order …
Exemption Order – Aspire Fund Management Limited
In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Aspire Fund Management Company Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer …
Contravention Order re Scotia US Equity Fund – $145,000
In the Matter of the Contravention of Section 63(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47(c) of the Securities (General) By-Laws 2015 By Scotia US Equity Fund Contravention Order re Scotia US Equity Fund – $145,000
Contravention Order re Scotia US Dollar Fund – $145,000
In the Matter of the Contravention of Section 63(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47(c) of the Securities (General) By-Laws, 2015 By Scotia US Dollar Fund Contravention Order re Scotia US Dollar Fund – $145,000
Contravention Order re Scotia Money Market Fund- $145,000
In the Matter of the Contravention of Sections 63(a) of Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47(c) of the Securities (General) By-Law 2015 By Scotia Money Market Fund Contravention Order re Scotia Money Market Fund- $145,000
Contravention Order re Scotia Canadian Equity Fund – $145,000
In The Matter of the Contravention of Sections 63 (a) of Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47 (c) of the Securities (General) By-Law 2015 By Scotia Canadian Equity Fund Contravention Order re Scotia Canadian Equity Fund – $145,000
Contravention Order re Port Authority of Trinidad and Tobago – $1,000
In the Matter of the Contravention of Section 64(1)(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Port Authority of Trinidad and Tobago Contravention Order re Port Authority of Trinidad and Tobago – $1,000