In The Matter of the Contravention of section 56(4) of the Securities Act 2012 and By-Law 53 of the Securities (General) By-laws, 2015 by RBC Investment Management (Caribbean) Limited Order – RBC Administrative Fine – $29,000
In the Matter of an Application by National Commercial Bank Jamaica Limited for de-registration as a Reporting Issuer pursuant to S. 71(1)(b) of the Securities Act 2012 Order for the de-listing of NCBJ from the TTSE
In The Matter of the Contravention of Section 66(1) of the Securities Act 2012 by Trinidad and Tobago Housing Development Corporation Contravention Order -HDC- Interim Financial – $1,000
In The Matter of the Contravention of Section 66(1) of the Securities Act 2012 by Trinidad and Tobago Housing Development Corporation Contravention Order -HDC- Section 64 – $99,000
In The Matter of the Contravention of Section 66(1) of the Securities Act 2012 by Trinidad and Tobago Housing Development Corporation Contraventio Order -HDC- Interim Financial – $92,000
In The Matter of the Contravention of Sections 64(1)(a), (b) and (c) of the Securities Act 2012 by Trinidad and Tobago Housing Development Corporation Contravention Order -HDC-Section 64 Admin Fine
In The Matter of the Contravention of By-law 67(1) of the Securities (General) By-Laws, 2015 by Guardian Asset Management and Investment Services Limited WHEREAS Guardian Asset Management and Investment Services Limited (“the Respondent”) failed to file its Conflict Of Interest Rules Statement with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) …
In The Matter of the Contravention of By-law 67(1) of the Securities (General) By-Laws, 2015 by Guardian Group Trust Limited WHEREAS Guardian Group Trust Limited (“the Respondent”) failed to file its Conflict Of Interest Rules Statement with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) on or before March 31, 2016, …
In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Trinidad and Tobago Mortgage Finance Company Limited Order – TTMF – $2,000
In The Matter of the Contravention of Section 63 (a) of the Securities Act, 2012 and By-Law 47(c) of the Securities (General) By-Laws, 2015 By Sagicor Funds Incorporated Order – Sagicor Funds Inc – $1,000
