REMINDER OF IMPORTANT OBLIGATIONS TO ENGAGE EXTERNAL AUDITORS

AND TO SUBMIT EXTERNAL AUDIT REPORTS

The Trinidad and Tobago Securities and Exchange Commission (“the Commission”) issues this reminder to all persons registered under section 51(1) of the Securities Act, Chapter 83:02 (“the Act”). In accordance with its functions under section 6(i) of the Act, the Commission is required to:

..ensure compliance with the Proceeds of Crime Act, the Anti-Terrorism Act and the Economic Sanctions Act or Orders made thereunder as they relate to proliferation financing, any other written law in relation to the prevention of money laundering, combating the financing of terrorism, proliferation financing or any other written law that is administered or supervised by the Commission…

 

2024January17Circular Letter to Registrants – AML External Audit Reports