Contravention Order re: Sagicor Life Incorporated – $1,000
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 by Sagicor Life Incorporated Contravention Order re Sagicor Life Incorporated – $1,000
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Contravention Order re: Guardian Asset Management and Investment Services Limited – $15,000
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Asset Management and Investment Services Limited Contravention Order re Guardian Asset Management and Investment Services Limited – $15,000
Order Re: Delegation of Powers to the Standing Committee of the Board
In the Matter of Section 8 of the Securities Act, Chapter 83:02 AND In the matter of the delegation of specific responsibilities, powers and functions of the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) to a member of the Board of Commissioners (“the Board”) Order re Delegation …
Exemption Order re: Aspire Fund Management Company Limited – 26th March 2021
In The Matter of Sections 51 (1) (a), 155 (1A) (c) and 159 (10) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago, and in the Matter of an Application by Aspire Fund Management Company Limited, a Registered Investment Adviser, for Exemption from …
Order re: Delisting of Sagicor Financial Corporation Limited – March 2021
In the Matter of Section 45 (1) and 45 (2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago, and In the Matter of an Application by the Trinidad and Tobago Stock Exchange Limited to De-list Sagicor Financial Corporation Limited from its Official …
Order re: Delisting of GORTT $600M 11-year Bond Due June 30, 2020
In the Matter of Section 45 (1) and Section 45 (2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago, and in the Matter of an Application by the Trinidad and Tobago Stock Exchange Limited for the De-Listing of Government of the Republic …
Contravention Order re: Nigel Edwards – $20,000.00
In the Matter of the Contraventions of Section 136 (2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Nigel Edwards. Contravention Order re Nigel Edwards – $20,000.00
Contravention Order re: Guardian Group Trust Limited – $6,000.00
In the Matter of the Contravention 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 of the Securities (General) By-Laws, 2015 by Guardian Group Trust Limited. Contravention Order re Guardian Group Trust Limited – $6,000.00
Contravention Order re: Courtenay Williams – $18,750.00
In the Matter of the Contravention of Section 136(1) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Courtenay Williams. Contravention Order re Courtenay Williams – $18,750.00
Contravention Order re: Airports Authority of Trinidad and Tobago – $1,000
In the Matter of the Contravention of Section 64(1)(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Airports Authority of Trinidad and Tobago. Contravention Order re Airports Authority of Trinidad and Tobago – $1,000.00