Policies

Policy for the Registration of Securitized Instruments

This paper reviews the policy and practice of the Commission with respect to the registration of Securitized Instruments and recommends a new policy framework to treat with these matters.

Policy Framework for Repurchase Agreements

All financial services activities that involve solicitation and receipt of funds from the public should be subject to regulatory oversight to safeguard the interest of those providing funds. Repurchase Agreements fall into this category and it is recommended that Repurchase Agreement activities by Securities Companies be subject to regulatory oversight by the Commission.

Revised Policy Framework for T&T Depositary Receipts

Revised Policy Framework for T&T Depositary Receipts dated April 21, 2008

Draft Policy framework for T&T Depositary Receipts Regime

The introduction of Depositary receipts into the T&T market is designed to encourage greater participation by the general public in the development of the capital market

Presentation

Mr. Terrence Clarke General Manager of the TTSEC made a presentation at the CCMS 11th Annual Senior Level Policy Seminar entitled ” Fund Management in the Caribbean: Rapid Growth and Regulatory Challenges\" at the Trinidad Hilton and Conference Centre on May 25th 2007.

Interpretation of “Stockbroking Activity” In Accordance with Section 54(2)(E) of the Securities Industry Act, 1995

NULL

Statement of Best Disclosure Practices regarding the Dissemination of Price Sensitive Information

Public disclosure may be satisfied by releasing the information through the news media, or by means of some non-exclusionary method of disclosure designed to provide broad public disclosure, such as announcements at a conference of which the public had notice and to which the public was granted access.