The Importance of Ethics in the Securities Industry – The Role of Registrants Pt. 2

In last week’s article, we briefly discussed various types of unethical practices in the financial sector and the advantages businesses gain from not engaging in such activities. This week we continue the discussion by outlining some of the  ways in which Registrants can institute  an ethical culture within their organisations …

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Public Access to Documents

The global financial crisis of 2008 underscored the need for greater emphasis on strengthening investor protection mechanisms by incorporating safety measures into securities regulatory frameworks. The Securities Act 2012 (SA 2012) enables the Trinidad and Tobago Securities and Exchange Commission (TTSEC)) to protect investors through enhanced: (1) Information on disclosure …

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Impact of COVID-19 on T&T’s Equity and Mutual Fund Markets

We have reached the end of a particularly challenging year.  Most countries continue to grapple with the consequences  of COVID-19 which  crippled many industries, particularly in Travel and Tourism.  Since the imposition of public health regulations and restrictions on movement (otherwise referred to as ‘lock down’ measures) to contain the …

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