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: 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
Contravention Order re JMMB Group Limited – $2,800
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 JMMB Group Limited Contravention Order re JMMB Group Limited – $2,800
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 TSTT – $24,800
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 Telecommunications Services of Trinidad and Tobago Limited Contravention Order re TSTT – $24,800
Contravention Order re TSTT – $5,100
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 Telecommunications Services of Trinidad and Tobago Limited Contravention Order re TSTT – $5,100
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