Tag Archives: TTSEC
Draft Policy Paper – Introduction of Administrative Fines for AML Breaches

The Supervisory Authorities (Trinidad and Tobago Securities and Exchange Commission, Central Bank of Trinidad and Tobago and Financial Intelligence Unit of Trinidad and Tobago) developed a draft policy paper to introduce an administrative monetary fine (AMF) framework for contraventions of AML statutory requirements. The Trinidad and Tobago Securities and Exchange …
Mutual Funds and the Christmas Season

Christmas time is almost upon us and while we continue to ensure that we are safeguarded from the COVID-19 pandemic, it is also expected that many will continue with their traditional preparations for the season. During this time of year, most persons review their options for financing activities related to …
How to Avoid Becoming a Victim of Affinity Fraud

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, particularly within a close-knit society or community, and can thrive or even go unreported. Read More >>> How to Avoid Becoming …
Impact of Changes in Interest Rates on Investment
Indicators of a Viable Investment Opportunity

In this fourth instalment in our five-part series on competent investment management, members of the investing public are reminded that the Trinidad and Tobago Securities and Exchange Commission (TTSEC) does not provide specific investment advice to the public. This week’s article will look at the indicators of a viable investment …
The Investment Process
As we continue our focus on competent investment management, this week’s article considers the Investment process, that is, the sequence of steps involved in constructing and implementing a portfolio in order to achieve the investor’s goals; whether that be wealth maximisation or income generation. Quite often individual securities are purchased …
Financial Statements

This week’s article focuses on financial statements and how to analyse them. A company’s financial statements provide information on its performance and this information is valuable to different types of stakeholders. Management is interested in assessing the success of its strategies and plans relative to its past, as well as …
Importance of Diversification

Competent investment management is critical to achieving returns and helping investors meet their financial goals. Over the next five weeks, the Trinidad and Tobago Securities and Exchange Commission (TTSEC) will be providing information on the topics of portfolio diversification, financial statements, the investment process, indicators of a viable investment opportunity …
Sustainable Finance and Regulatory Expectations

In the wake of the COVID-19 pandemic, governments are discussing how to rebuild their economies. It should be noted that the pandemic has not stopped the climate emergency and it will not prevent the risks from extreme weather events as well as other climate-related shocks that threaten us now and …