You Invest. We protect. Everyone Benefits!

About EASi FINTECH

Home
About Us
Registration
Filings
MMRF Forms
- CBTT
- SRO
- Close
Legal Framework
AML-CFT
Investor Protection
Publications and Research
Media Room
- Media Releases
- Events
- Speeches/Presentations
- Audio
- Photos
- Videos
- Close

Contraventions

Category Archives: Contraventions

Contravention Order re National Flour Mills

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. TTSEC Order re National Flour Mills

Rachael Rampersad •2 Aug 2017Contraventions, Orders, Orders (Contraventions) contravention, National Flour Mills, order, TTSEC

Contravention Order re Mr. Wayne Yip Choy

In The Matter of Section 21(e) of the Securities Act 2012 and Part III of the Securities Industry (Hearings and Settlements) Practice Rules 2008 and in The Matter of the Contravention of Section 136(2) of the Securities Act 2012 by Mr. Wayne Yip Choy. Wayne Yip Choy

Rachael Rampersad •29 Jun 2017Contraventions, Orders, Orders (Contraventions) contravention, order, TTSEC, Wayne Yip Choy

Contravention Order re SHBL Investments Limited

In The Matter of Section 21(e) of the Securities Act 2012 and Part III of the Securities Industry (Hearings and Settlements) Practice Rules 2008 and in The Matter of the Contravention of By-Law 39 (1) of the Securities (General) By-Laws 2015 by SHBL Investments Limited. SHBL Investments Limited

Rachael Rampersad •29 Jun 2017Contraventions, Orders, Orders (Contraventions) contravention, order, SHBL Investments Ltd, TTSEC

Contravention Order re One Caribbean Media Limited

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 One Caribbean Media Limited. One Caribbean Media

Rachael Rampersad •29 Jun 2017Contraventions, Orders, Orders (Contraventions) contravention, OCM, One Caribbean Media, order, TTSEC

Contravention Order re Mora Ven Holdings Limited

In The Matter of Section 21(e) of the Securities Act 2012 and Part III of the Securities Industry (Hearings and Settlements) Practice Rules 2008 and in The Matter of the Contravention of Section 61(2) of the Securities Act 2012 by Mora Ven Holdings Limited. Mora Ven Holdings Ltd.

Rachael Rampersad •29 Jun 2017Contraventions, Orders, Orders (Contraventions) contravention, Mora Ven Holdings Limited, order, TTSEC

Contravention Order re Education Facilities Company Limited (2)

In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Education Facilities Company Limited Education Facilities Company Ltd. – 2

Rachael Rampersad •29 Jun 2017Contraventions, Orders, Orders (Contraventions) contravention, Contravention Order, Education Facilities Company Limited, EFCL, order

Contravention Order re Education Facilities Company Limited

In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Education Facilities Company Limited Education Facilities Company Ltd. – 1

Rachael Rampersad •29 Jun 2017Contraventions, Orders, Orders (Contraventions) contravention, Contravention Order, Education Facilities Company Limited, EFCL, order, TTSEC

Contravention Order re Fortress OAM Overseas Fund Limited

In The Matter of the Contravention of Section 63(a) of the Securities Act Chapter 83:02 and By-Law 47(c) of the Securities (General) By-laws 2015 by Fortress OAM Overseas Fund Limited Fortress OAM Overseas Fund Ltd.

Nicole Bachan •13 Jun 2017Contraventions, Orders, Orders (Contraventions) Contravention Order, Fortress OAM Overseas Fund Limited, order, TTSEC

Contravention Order re CIBC Private Client Fund 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 and In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by CIBC Private Client Fund Limited CIBC Private Client Fund Ltd.