Compliance Officers

* Indicated required fields

Basic Information

* First Name
 Middle Name
 * Surname
* Country of Birth
* Country of Citizenship
* Identification No.(Please provide at least TWO(2) forms)
Other   NO:
Country of Origin
Type of ID:
* Date of Birth
 * Email
* Residential Address
Mailing Address(If different from above)
 * Contact( Format : 18687863971)
Work     Home 
Mobile   Fax     
* Highest Level Of Education(Eg. Secondary, tertiary, undergraduate etc.)
Professional qualification or membership
Have you ever had a change of name? (If yes, please give details)
* Name of Employer :
* Category of Registration(s) employer holds with TTSEC:

Tick ALL that apply
Broker
Dealer
Trader
Investment Advisor
Underwriter
 * Annual Renewal Date of Employer's Registration with TTSEC:
* Position held with above registered entity:
* 1. Have you ever been convicted of an offence in Trinidad and Tobago or elsewhere? If yes, please give particulars.
 Yes No
* 2. Are there any criminal proceedings pending against you in Trinidad and Tobago or elsewhere? If yes, please give particulars
 Yes No
* 3. Have any civil or administrative fines or sanctions been imposed upon you? If yes, please give particulars.
 Yes No
* 4. Have you at anytime failed to satisfy a judgment debt under a Court Order made in Trinidad and Tobago or anywhere else? If yes, please give particulars.
 Yes No
* 5. Have you at any time, in Trinidad and Tobago or anywhere else been declared bankrupt or are you the subject of any bankruptcy proceedings? If yes, please give particulars.
 Yes No
* 6. Are you currently a Director of any company? If yes, provide the name of the company, date and place of incorporation and the date of your appointment.
 Yes No
* 7. Have you held a senior position in a company that has gone into liquidation/ receivership within the past five (5) years? If yes, please give particulars.
 Yes No
* 8. Have you ever been a senior officer of an entity in Trinidad and Tobago or elsewhere, that was, during your period of association, convicted of an offence? If yes, please give particulars.
Yes No
* 9. Have you ever been disqualified or restricted in Trinidad and Tobago or elsewhere by a court from acting as a director of a company? If yes, please give particulars.
Yes No
* 10. Have you ever been dismissed or compelled to resign from any office or Employment? If yes, please give particulars.
Yes No
* 11. Have you ever been refused entry to any professional membership/institution? If yes, please give particulars.
 Yes No
* 12. Have you ever received or been exposed to any AML/CFT or compliance training? If yes, please give particulars.
Yes No
* 13. Have you ever been registered in any capacity under the securities law of Trinidad and Tobago or another jurisdiction? If yes, please give particulars.
Yes No
* 14. Has any registration identified at item 13 above been suspended, revoked, or allowed to expire? If yes, please give particulars.
Yes No
* 15. Is there any other information that you consider relevant to this application? If yes, please give particular.
Yes No


I hereby certify that the information contained in this application form and all appendices hereto attached are true and accurate to the best of my knowledge and belief.


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(This is to ensure the form is being completed by a human)



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CISMonitor is a web based application that can be run on any modern web browser. The application provides users with access to a rich collection of resources related to the Trinidad and Tobago mutual fund industry including funds under management, number of unit holders, sales and redemptions.