Building a Culture of Regulatory Compliance (Part 2)

As the regulator for the securities industry, establishing regulatory compliance requires continuous vigilance and resources. Simultaneously, as our regulatory demands grow, companies need to have the resources in place to build compliance practices into their everyday frameworks and workflows. Our article last week focused on incorporating compliance measures into an …

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Building a Culture of Regulatory Compliance (Part 1)

Regulatory compliance is essential to the orderly functioning of the securities market. Registrants registered with the Commission should establish effective policies, operational procedures and controls in relation to their day-to-day business activities in order to ensure compliance with all relevant regulatory and legal requirements. The Commission is of the view …

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Who’s Who in the Securities Market

Entities that  engage in activities specified within the respective legislation that govern the TTSEC and the CBTT are required to be duly registered with the relevant  regulator/s. Investment activities that fall under the remit of the TTSEC may be undertaken by: Self-Regulatory Organisations, Broker-Dealers, Investment Advisers, Underwriters, Sponsored Broker-Dealers, Sponsored …

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Settlement Agreement – Hassan Phillip Rahaman

In the matter of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago (“the act”) and Part VIII of the Securities Industry (Hearings and Settlements) Practice Rules 2008 (“the Rules”) And In the Matter of the application for, and purchase of, 659,588 First Citizens …

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