Investment Advisers

Investment Advisers vs. Broker-Dealers (Part 2)

In a previous article, the Trinidad and Tobago Securities and Exchange Commission (TTSEC) explained the distinct role and function of Investment Advisers’ in the securities market of Trinidad and Tobago (In case you missed it click here). In this week’s article, we conclude with Broker-Dealers. Similar to other securities regulators, …

Investment Advisers vs. Broker-Dealers (Part 1)

Over the years market actors have been evolving their products and services to keep abreast of changes in the market, and to meet the increasing demands of investors. While each market actor has a distinct role, the Trinidad and Tobago Securities and Exchange Commission (“TTSEC”) has taken note that the …