Stress Testing and the Securities Market
Stress Testing and the Securities Market
Category Archives: Uncategorized
TTSEC Bi-Annual Market Newsletter Issue #33
TTSEC Market Newsletter – News and Updates from the Commission – Issue #33. This publication features articles on TTSEC Strategic Stakeholder Engagement Forum, Securities (Collective Investment Scheme) Bye-Laws, 2023, Risk Based Capital and Liquidity Requirements, Your Financial Shield – Understanding TTSE Contingency Fund & TTCD Settlement Assurance Fund, Beneficial Ownership, …
Circular Letter Re: Enhanced Risk-Based Supervision (RBS) Framework
Circular Re: Implementation of the Trinidad and Tobago Securities and Exchange Commission’s Enhanced Risk-Based Supervision Framework The Trinidad and Tobago Securities and Exchange Commission (“the TTSEC”) has enhanced its framework for the risk-based supervision (“RBS”) of persons registered under Section 51(1) of the Securities Act, Chapter 83:02 of the Laws …
Circular Letter – Notification of Prescribed form for Transmission of Sensitive Personal Info
NOTIFICATION OF PRESCRIBED FORM FOR TRANSMISSION OF SENSITIVE PERSONAL INFORMATION UNDER THE TAX INFORMATION EXCHANGE AGREEMENTS (UNITED STATES OF AMERICA) ACT 2017 (“TIEAA”) Reference is made to section 17(3) of the Tax Information Exchange Agreements (United States of America) Act, 2017 (“TIEAA”) which requires a reporting financial institution to notify …
Contravention Order re: Citibank – $3,400
In The Matter of the Contravention of Section 63(a) of the Securities Act Chap 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 Citibank Trinidad and Tobago Limited Contravention Order re Citibank – $3,400
Significance of Global Money Week
This week we look at Global Money Week (GMW) and its significance as an annual global awareness-raising campaign on the importance of ensuring that young people, from an early age, are financially informed and are acquiring the knowledge, skills, attitudes, and behaviours necessary to make sound financial decisions and achieve …
TCL – Material Litigation
TCL – Material Litigation
Contravention Order re Capital Markets Elite Group (T&T) Limited – $30,100.00 – 31st August 2021
In the Matter of Contraventions 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 Capital Markets Elite Group (Trinidad and Tobago) Limited Read more ->Contravention Order re Capital Markets …
SGEF – Change to Senior Officers-A. Stokes, S. Hobbs, M.Parra, C. Escamilla, O. Bingham, L. Darville
SGEF-Change to Senior Officers-A. Stokes, S. Hobbs, M.Parra, C. Escamilla, O. Bingham, L. Darville
Re: Draft Portfolio Manager By-Laws
THE PORTFOLIO MANAGER BY-LAWS, 2021 PART I PRELIMINARY Draft Portfolio Manager By-laws 2021 – March 22nd 2021 for publication Revised Statement of Substance Purpose re Draft By-Laws for PM By-Laws 2021 – FINAL