Trinidad and Tobago Securities and Exchange Commission (“TTSEC”) is charged with reviewing and investigating all complaints and ‘tips’ received in relation to the securities industry, including, but not limited to, those made against Broker-dealers, Investment Advisers, Underwriters, Reporting Issuers and Self-Regulatory Organisations. Over the period 2018/2019 the TTSEC received 14 …
THE PUBLIC IS HEREBY NOTIFIED that the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) imposes administrative fines pursuant to sections 156 and 156A of the Securities Act Chap 83:02 of the Laws of the Republic of Trinidad and Tobago (“the Securities Act”)for contraventions of the Securities Act and …
NOTICE TO STAKEHOLDERS Effective Tuesday 31st March to Wednesday 15th April, 2020, the offices of the Trinidad and Tobago Securities and Exchange Commission (“the Commission”), located at Levels 22 and 23, Tower D, International Waterfront Centre, will be temporarily closed to the public in accordance with the guidelines for non-essential …
• Pursuant to provisions of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago (the “Act”) and the Securities (General) By-Laws 2015 (the “By-Laws”), Registrants of the Trinidad and Tobago Securities and Exchange Commission (the “Commission”) and some non-Registrants are required to make various …
The advent and adverse effects of the Coronavirus disease (COVID-19), cements the importance of organisations implementing appropriate risk mitigation strategies within the securities market of Trinidad and Tobago. Trinidad and Tobago Securities and Exchange Commission (TTSEC) is mandated under Section 6(l) of the Securities Act, 2012 (SA 2012) to assess, …
The Trinidad and Tobago Securities and Exchange Commission (“the Commission”) remains committed to protecting the health and safety of Staff, Registrants and the wider national community in light of the impact of the Coronavirus (COVID-19) Pandemic. In this regard, effective today – Monday 23rd March, 2020; and until further notice, …
The public is advised that the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) is seeking to ensure a safe work environment and has implemented procedures which are consistent with the actions taken by Government in the wake of the Coronavirus Pandemic. The Commission has therefore taken a decision …
Effective March 23, 2020 Customer Service Protocol Registrants and Visitors to the Commission will be now be required to complete a questionnaire before visiting the premises of the Trinidad and Tobago Securities and Exchange Commission. This questionnaire is accessible via the following link–> https://www.surveymonkey.com/r/LCJ5NM8 Hadyn Gittens Chief Executive Officer …
On February 3, 2020, China’s financial sector recorded one of its worst days, with equities decreasing as much as 9.1 percent. This came one day after China’s central bank injected US$173 billion (1.2 trillion yuan) into its economy to prevent an economic crash in response to the impact of COVID-19… …
Financial regulators globally previously utilised traditional supervisory approaches to market regulation which focused on a Rules-Based System of control. This approach also known as Principles or Compliance-Based Supervision, is “a method of regulation which involves checking for and enforcing compliance with rules – legislation, regulations or policies – that apply …
