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
Order re: TTSE Rules – Rule 400(2) and Rule 700
In the Matter of Section 40 of the Securities Act, 2012 And In the matter of an application by the Trinidad and Tobago Stock Exchange Limited for the addition of Rule 400(2) [Special Market Listing Requirements] and Rule 700s [Small and Medium Enterprises Mentorship Rules] to its Rules Read …
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