In the Matter of Section 51(1), 155(A)(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 Mondial (Trinidad) Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer Read More>>> …
In the Matter of Section 51(1), 155(A)(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 Registering as a Broker-Dealer …
A key responsibility of the Trinidad and Tobago Securities and Exchange Commission (TTSEC), under the Securities Act Chapter 83:02 (SA), is to protect the integrity of the securities market against any abuses arising from market manipulating practices, insider trading, conflicts of interest and other unfair and improper practices. This is …
Market participants, in the Trinidad and Tobago securities industry, are expected to conduct their business activities in a manner that contributes to the maintenance of a fair and orderly securities market. These expected behaviours are referred to as “market conduct” and encompass a number of best practice standards aimed at …
In the Matter of a Contravention of Section 56(4) of the Securities Act Chapter 83:02 and By-Law 53(3) of the Securities (General) By-Laws 2015 By Guardian Media Limited Read more -> Contravention Order re Guardian Media Limited – $28,800.00 – 17th August 2021
In the Matter of Contraventions of Section 64(1)(a), (b) and (c) Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Guardian Media Limited Read more-> Contravention Order re Guardian Media Limited – $9,600.00 – 17th August 2021
In the Matter of the Contravention of Section 64(1)(a), (b) and (c) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By GraceKennedy Limited Read more-> Contravention Order re GraceKennedy Limited – $62,600.00 – 17th August 2021
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 Company Limited. Read More >>>Contravention Order re Sagicor Financial Company Limited – $25,200.00 – 17th August 2021
In the Matter of the Contravention of Section 65(1) Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 48(1) of the Securities (General) By-Laws 2015 By The Unit Trust Corporation (Cayman) SPC Limited Read More >>> Contravention Order re UTC (Cayman) SPC …
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 Osmond Prevatt. Read More >>> Contravention Order re Osmond Prevatt – $11,700.00 – 17th August 2021
