• • Home
  • About Us
    • Vision and Mission
    • Powers and Functions
    • Board of Commissioners
    • Past Board Members
    • Divisional Profiles
    • Investor Complaints
    • Career Opportunities
    • Current Vacancies
    • Factsheets
    • Contact Us
    • Cooperation
      • International
      • Domestic
  • Registration
    • Registered Companies, Individuals
    • Manual Registration and Renewal
    • Checklists for Registration and Renewal of Registration
  • Filings
    • Material Change
    • Documents Filed-Securities Registrations
    • Registrants’ Financial Statements
  • MMRF Forms
    • CBTT
    • SRO
  • Legal Framework
    • By-Laws
    • Contraventions
    • Decisions / Settlements
    • Guidelines
    • Legislation
    • Notices
    • Notices of Hearing
    • Orders
    • Proposed By-Laws
    • Proposed Guidelines
    • Proposed Legislation
    • Rules
    • Draft Policies
    • CIS Bye-Laws
    • Procurement
  • AML-CFT
    • Beneficial Ownership
    • Checklist for the approval of Compliance Officers
    • Fit & Proper Criteria for Approval of Compliance Officers
    • AML-CFT FAQs
    • Compliance Officer Application Form
    • Public Statements
    • AML-CFT Updates
    • Draft Policies
  • Investor Protection
    • Complaints Procedure
    • Complaints Online Form
    • Brochure – How to Complain
    • Fraud Awareness
    • Glossary of Terms
    • Investor Alerts
  • Publications and Research
    • Annual Reports
    • Published Articles
    • Circular Letters
    • COVID-19
    • Market Newsletter
    • Securities Market Bulletin
    • Weekly Bulletin
    • CIS Data and Statistics
    • Reports
    • Guidance
    • List of Registrants
    • Brochures/Calendar
    • Approved Designated Foreign Jurisdictions
    • FOIA Statement
    • Research
  • Media Room
    • Media Releases
    • Events
    • Speeches/Presentations
    • Audio
    • Photos
    • Videos

Tag Archives: Filings

TTUTC – Change to Senior Officer – Jo-Anne Julien

TTUTC – Change to Senior Officer – Jo-Anne Julien

AHL – Change to Senior Officer – M. Richards and F. Costelloe

AHL – Change to Senior Officer – M. Richards and F. Costelloe

TCL – Change to Senior Officer – Rafael Orlando Martinez Vela & Juan Mendoza

TCL – Change to Senior Officer – Rafael Orlando Martinez Vela & Juan Mendoza

SFCL – Change to Board of Directors – Timothy Hodgson & Mahmood Khimji

SFCL – Change to Board of Directors – Timothy Hodgson & Mahmood Khimji

PHL – Change to Senior Officer – Johann Mendoza

PHL – Change to Senior Officer – Johann Mendoza

PHL – Change to Senior Officer – Devon Oudit

PHL – Change to Senior Officer – Devon Oudit

AHL – Change to Senior Officer – Renee Johncilla

AHL – Change to Senior Officer – Renee Johncilla

HMB- Change to Senior Officer- S. Bassant

HMB- Change to Senior Officer- S. Bassant

RBCTTL – Change to Senior Officers – M. Jardine, R. Johnston

RBCTTL – Change to Senior Officers – M. Jardine, R. Johnston

RBCTTL – Change to Senior Officers – Roxann Granger

RBCTTL – Change to Senior Officers – Roxann Granger