Contravention Order re Ayanna Miguel – $6,500
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 Ayanna Miguel Contravention Order re Ayanna Miguel – $6,500
Category Archives: Contraventions
Exemption Order re Nigel Clewett – 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 Nigel Clewett, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer Exemption Order re …
Contravention Order re: Sheppard Securities Ltd – $175,000
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(2) of the Securities (General), By-Laws 2015 By Sheppard Securities Limited Contravention Order re Sheppard Securities Ltd – $175,000
Contravention Order re: NIPDEC – $25,000
In the Matter of the Contravention of Section 61(2) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By National Insurance Property Development Company Limited Contravention Order re NIPDEC – $25,000
Contravention Order re: Waterloo Capital Advisors Ltd. – $1,000
In the Matter of the Contravention of By-Law 39(1) of the Securities (General) By-Laws, 2015 By Waterloo Capital Advisors Ltd Contravention Order re Waterloo Capital Advisors Ltd. – $1,000
Contravention Order re: Trinidad and Tobago NGL Limited – $5,000
In the Matter of a 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 Trinidad and Tobago NGL Limited Contravention Order re Trinidad and Tobago NGL Limited – $5,000 …
Contravention Order re: Trinidad Cement Limited – $2,000
In the Matter of the Contravention of Section 64(1)(a) and (c) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Trinidad Cement Limited Contravention Order re Trinidad Cement Limited – $2,000
Contravention Order re: Sagicor Go-Mutual Funds – $16,000
In the Matter of the Contravention of Section 61(2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad By The Sagicor Go-Mutual Funds Contravention Order re Sagicor Go-Mutual Funds – $16,000
Contravention Order re: Sagicor Funds Incorporated – $41,000
In the Matter of the Contravention of Section 65(1) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 48(1) of the Securities (General) By-Laws 2015 By Sagicor Funds Incorporated Contravention Order re Sagicor Funds Incorporated – $41,000
Contravention Order re: Quilter International Isle of Man Limited – $6,000
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 Quilter International Isle of Man Limited Contravention Order re Quilter International Isle of Man Limited – $6,000