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”) on or before March 31, 2016, for its financial year ending December 31, 2015;

Contravention Order – (GAMISL)