Contravention Order re JMMB Securities (T&T) Limited $28,500
In the Matter of the Contravention of By-Law 40 of the Securities (General) By-Laws, 2015 By JMMB Securities T&T Limited Contravention Order re JMMB Securities (T&T) Limited $28,500
Category Archives: Orders
Contravention Order re JMMB Securities (T&T) – $3,100
In the Matter of the Contravention of By-Law 39(1) of the Securities (General), By-Laws 2015 By JMMB Securities (T&T) Limited Contravention Order re JMMB Securities (T&T) – $3,100
Contravention Order re JMMB Investments I(Trinidad and Tobago) Limited – $28,500
In the Matter of the Contravention of By-Law 40 of the Securities (General) By-Laws, 2015 By JMMB Investments (Trinidad and Tobago) Limited Contravention Order re JMMB Investments I(Trinidad and Tobago) Limited – $28,500
Contravention Order re JMMB Group Limited – $1,500
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 JMMB Group Limited Contravention Order re JMMB Group Limited – $1,500
Contravention Order re JMMB Bank Trinidad and Tobago Limited – $2,900
In the Matter of the Contravention of Section 65(1) of the Securities Act Chap 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 JMMB Bank Trinidad and Tobago Limited Contravention Order re JMMB Bank Trinidad and Tobago …
Contravention Order re First Citizens Investment Services Limited – $1,000
In the Matter of the Contravention of Section 66(1) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By First Citizens Investment Services Limited Contravention Order re First Citizens Investment Services Limited – $1,000
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
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 JMMB Investments (Trinidad and Tobago) Limited – $3,100
In the Matter of the Contravention of By-Law 39(1) of the Securities (General) By-Laws, 2015 By JMMB Investments (Trinidad and Tobago) Limited Contravention Order re JMMB Investments (Trinidad and Tobago) Limited – $3,100
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