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 Guardian Asset Management and Investment Services Limited Contravention Order re GAMISL – $2,000.00
The conduct of compliance reviews (also known as inspections) is one of the mechanisms used by the Trinidad and Tobago Securities and Exchange Commission (TTSEC) for investors to maintain confidence in the local securities market. The Compliance and Inspections Division, of the TTSEC, is responsible for conducting compliance reviews to …
TAKE NOTICE that on the 18th day of October 2019, the Trinidad and Tobago Stock Exchange Limited (“the TTSE”), a duly registered Self-Regulatory Organisation under section 36 of the Securities Act, 2012 (“the Act”), filed with the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) a concise Statement of …
‘Disclosure’ and ‘Registration’ are two of the ways in which the Commission strives to nurture a fair, efficient and transparent securities market. Transparency is vital for an active and successful securities market. Read more here—>Importance of Disclosure
RFHL – Change to Senior Officer – S. Mohammed and M. Andrews
Financial fraud can take many forms including Boiler Room scams, Pump and Dump Schemes, Ponzi and Pyramid schemes. Affinity Fraud ranks among the most predominant in operation globally. U.S. Securities and Exchange Commission defines Affinity Fraud as ‘investment scams that prey upon members of identifiable groups, such as religious or …
NOTICE OF DIRECTIONS HEARING In the Matter of Sections 71(1) and 159(1) of the Securities Act, Chap. 83:02 of the Laws of the Republic of Trinidad and Tobago (“the Act”) and in the Matter of the Securities Industry (Hearings and Settlements) Practice Rules, 2008 And In the Matter of an …
With the Christmas season upon us and the anticipated increases in the levels of consumer spending, persons are at this time weighing options for financing new purchases whether it be a car, travel or renovations to their home. An assessment of investors’ withdrawals from the Collective Investment Schemes/Mutual Funds from …
The pervasive nature of Fintech and other digital innovations in the financial sector have the potential to transform the securities industry in Trinidad and Tobago, and enhance our global attractiveness for investment potential. This transformation may improve the efficiency of the market whilst reducing transaction costs and encouraging growth in …
Trinidad and Tobago Securities and Exchange Commission (TTSEC) over the period November 25th –December 20th, 2019, will conduct a survey online to determine the financial literacy levels of respondents. This survey, which will be limited to online responses, aims to measure participants’ knowledge on four basic financial concepts: risk diversification, …
