In the Matter of the Securities Act Chapter 83:02 of the Laws of Trinidad and Tobago (“Act”) and the Securities Industry (Take-Over) By-Laws, 2005 (“By-Laws”) And In the Matter of Rule 61 and Rule 62 of Securities Industry (Hearings and Settlements) Practice Rules, 2008 (“Hearing Rules”) And In the Matter …
In the Matter of Section 155 (1A)(c) of the Securities Act, Chap. 83:02 and In the Matter of an exemption of Trust-Form Collective Schemes from certain reporting and disclosure requirements under the Act and Guidelines, the delegation of exemptive powers to the Chief Executive Officer and certain matters related thereto. …
In The Matter of the Contravention of Section 64(1)(c) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Scotiabank Trinidad and Tobago Fixed Income Fund Inc. Contravention Order re Scotiabank Trinidad and Tobago Fixed Income Fund Inc – $6,300.00
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 Scotiabank Trinidad and Tobago Fixed Income Fund Inc. Contravention Order re Scotiabank Trinidad and Tobago Fixed Income Fund Inc – $1,000.00
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 Scotiabank Short-Term Income Fund Inc. Contravention Order re Scotiabank Short-Term Income Fund Inc – $1,000.00
In The Matter of the Contravention of Section 64(1)(c) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Scotiabank Trinidad and Tobago Growth Fund Inc. Contravention Order re Scotiabank Trinidad and Tobago Growth Fund Inc – $6,300.00
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 National Insurance Property Development Company Limited Contravention Order re National Insurance Property Development Company Limited – $54,000.00
In The Matter of the Contravention of By-Law 40(1) of the Securities (General) By-Laws, 2015 By Mondial (Trinidad) Limited Contravention Order re Mondial Trinidad Ltd – $1,000.00
In The Matter of the Contravention of Section 64(1)(c) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By NCB Financial Group Limited Contravention Order re NCB Financial Group – $16,000.00
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 Public Transport Service Corporation Contravention Order re Public Transport Services Corporation – $72,800.00
