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
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 – …
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 …
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
In the Matter of the Contravention of By-Law 39(1) of the Securities (General) By-Laws 2015 By Sagicor Life Incorporated Contravention Order re Sagicor Life Incorporated – $28,800
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
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
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
In the Matter of the Contravention of Sections 64(1)(a), (b) & (c) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Point Lisas Industrial Port Development Corporation Limited Contravention Order re Point Lisas Industrial Port Development Corporation Limited – $21,000
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 National Insurance Property Development Company Limited Contravention Order re NIPDEC – $26,350
