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 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 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: 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
Contravention Order re: NIPDEC – $25,000
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 and Tobago By National Insurance Property Development Company Limited Contravention Order re NIPDEC – $25,000
Contravention Order re: Waterloo Capital Advisors Ltd. – $1,000
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
Contravention Order re: Trinidad and Tobago NGL Limited – $5,000
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 – $5,000 …
Contravention Order re: Trinidad Cement Limited – $2,000
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