In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Group Trust Limited Contravention Order re Guardian Group Trust Limited – $15,000.00
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 of Trinidad …
In the Matter of Contraventions of Section 66(1) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Sagicor Funds Incorporated. Contravention Order re Sagicor Funds Incorporated – $48,000.00
In the Matter of the Contravention of Section 64(1)(c) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Sagicor Financial Corporation Limited. Contravention Order re Sagicor Financial Corporation – $36,800.00
In the Matter of the Contravention of By Law 48(1) of the Securities (General) By Laws 2015 by Republic Wealth Management Limited. Contravention Order re Republic Wealth Management Limited – $1,000.00
In the Matter of the Contravention of Section 136(2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Charles Pashley. Contravention Order re Charles Pashley – $148,000.00
In The Matter of the Contravention of Section 63(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago; and By-Law 47(c) of the Securities (General) By-Laws, 2015 By Caroni (1975) Limited Contravention Order re Caroni (1975) Limited – $34,200.00 Contravention Order re Caroni (1975) Limited …
TRINIDAD AND TOBAGO SECURITIES AND EXCHANGE COMMISSION In The Matter of the Contravention of Section 64 (1)(a), (b) and (c) of the Securities Act, 2012 By Telecommunications Services of Trinidad and Tobago Limited Contravention Order re Telecommunications Services of Trinidad and Tobago
TRINIDAD AND TOBAGO SECURITIES AND EXCHANGE COMMISSION In The Matter of the Contravention of By-Law 27(1)(d) of the Securities (General) By-Laws, 2015 by SHBL Investments Company Limited Contravention Order re SHBL Investments Company Limited
In The Matter of the Contravention of By-Law 39(1) of the Securities (General) By-laws 2015 by KCL Capital Market Brokers Limited Contravention Order re KCL Capital Market Brokers Limited
