Registered Individuals and Companies

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Registrant RegisteredunderSIA1995 RegistrantTypeunderSIA995 RegistrantTypeunderSA2012 AuthorizedActivities Reg. Date Exp. Date
 
 
 
 
 
 
 
Add Venture Capital Fund Limited  Yes  RI  Reporting Issuer    4/16/1998   
Agostini's Limited  Yes  RI  Reporting Issuer    35635   
Agostini, Chantal  No  N/A  Registered Representative  Trading  41438   
AIC Securities Limited  Yes  SC  Broker-Dealer    10/24/1997  10/9/2007 
Airports Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    7/13/2000   
Akan, Myrnelle V.  Yes  BR  Registered Representative  Broking  10/24/1997  12/4/2012 
Alexander, Liesel  Yes  BR  Registered Representative  Broking  41066  41430 
Ali, Salma  Yes  BR  Registered Representative  Broking  11/9/2006  11/8/2007 
Alleyne, Harold  Yes  BR  Registered Representative  Broking  12/14/2006  12/13/2007 
Alpha Savings & Trust Limited  Yes  IA  Investment Adviser    12/22/2008  12/21/2009 
Alstons Limited  Yes  RI  Reporting Issuer    9/25/1997   
Altus Company Limited  Yes  IA  Investment Adviser    6/16/2009  6/15/2011 
Alviar, Oscar   Yes  BR  Broker-Dealer  Broking  12/9/2010   
Angostura (Barbados) Limited  Yes  RI  Reporting Issuer    7/14/2005   
Angostura Holdings Limited  Yes  RI  Reporting Issuer    7/24/1997   
Angostura Limited  Yes  RI  Reporting Issuer    7/20/2000   
ANSA McAL Limited  Yes  RI  Reporting Issuer    6/27/1997   
Ansa Merchant Bank Limited  Yes  RI  Reporting Issuer    12/18/1997   
Ansa Merchant Bank Limited  Yes  SC  Broker-Dealer    5/6/1999  12/4/2007 
Ansa Securities Limited  Yes  SC  Broker-Dealer    9/19/2008  9/18/2009 
Awai, Gary  Yes  BR  Registered Representative  Broking  40856  41219 
Baird, Dwane  No  N/A  Registered Representative  Investment Advising  41792   
Basdeo, Anderson  Yes  TR  Registered Representative  Trading  11/17/2009  11/16/2010 
Basdeo, Roshan  Yes  TR  Registered Representative  Trading  9/28/2004  9/27/2005 
BCB Holdings Limited  Yes  RI  Reporting Issuer    8/3/2009  8/3/2010 
BE TAG Antilles Group (St. Lucia) Limited  Yes  RI  Reporting Issuer    11/22/2007  11/22/2008 
Berger Paints Trinidad Limited  Yes  RI  Reporting Issuer    7/24/1997   
Bharath, Adrian  No  N/A  Investment Adviser    41603   
Bourse Brokers Limited  Yes  SC  Broker-Dealer    3/13/2012  3/12/2013 
Bourse Securities Limited  Yes  SC  Broker-Dealer    10/24/1997  12/4/2005 
Bridgewater, Joanne  Yes  BR  Registered Representative  Broking  11/17/2009  11/16/2010 
Burris, Stephen  Yes  IA  Investment Adviser    3/10/2009  3/9/2011 
BWIA West Indies Airways Limited  Yes  RI  Reporting Issuer    11/27/2000   
Capital & Credit Merchant Bank Limited  Yes  RI  Reporting Issuer    9/15/2003   
Capital and Credit Financial Group Limited  Yes  RI  Reporting Issuer    4/8/2008  4/8/2009 
Caribbean Development Capital Limited  Yes  IA  Investment Adviser    12/8/2008  12/7/2011 
Caribbean Investment Management Company (Trinidad) Limited  Yes  IA  Investment Adviser    11/9/2006  11/8/2007 
Caribbean Stockbrokers Limited  Yes  SC  Broker-Dealer    11/7/1997  6/13/2008 
Caroni (1975) Limited  Yes  RI  Reporting Issuer    7/8/1999   
Carrera-Justiz, Francisco  Yes  BR  Broker-Dealer  Broking  8/16/2007  8/15/2008 
Chen, Nancy  Yes  TR  Registered Representative  Trading  1/28/2009  1/27/2010 
Chin, Ian  No  N/A  Registered Representative  Broking  7/31/2013   
Citibank (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    7/11/1997   
Citicorp Merchant Bank Limited  Yes  SC  Broker-Dealer    11/7/2012  11/6/2013 
Citicorp Merchant Bank Limited  Yes  RI  Reporting Issuer    7/29/1999   
Clarke, Jason  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  41564   
Clarke, Peter  Yes  BR  Registered Representative  Broking  10/24/1997  12/4/2006 
Clarke, Terrence  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  41403   
Clewett, Nigel  Yes  IA  Investment Adviser    8/11/2008  8/10/2011 
CLICO Investment Bank Limited  Yes  RI  Reporting Issuer    4/6/2000   
Clouden, Randolph  Yes  BR  Registered Representative  Broking  41066  41430 
Colonial Life Insurance Company (Trinidad) Limited  Yes  IA  Investment Adviser    6/8/2000   
Coonai, Ryan  Yes  TR  Registered Representative  Trading  40856  41219 
Crooks, Victoria   Yes  TR  Registered Representative  Trading  41116  41480 
Cugliari, Fernando   Yes  BR  Broker-Dealer  Broking  12/9/2010   
Darbasie, Karen  Yes  BR  Registered Representative  Broking  10/11/2007  10/10/2008 
Development Finance Limited  Yes  RI  Reporting Issuer    7/11/1997   
Development Finance Limited  Yes  SC  Broker-Dealer    8/6/1998  12/4/2007 
Douglas, George Robert  Yes  IA  Investment Adviser    1/13/2005  1/12/2006 
Dulal, Carla  Yes  TR  Registered Representative  Trading  11/17/2009  11/16/2010 
Dynamic Equity Fund II Limited  Yes  RI  Reporting Issuer    11/9/2006  11/8/2007 
Dynamic Equity Limited  Yes  IA  Investment Adviser    8/17/2000  8/16/2005 
Dynamic Equity Venture Fund Limited  Yes  RI  Reporting Issuer    10/19/2000   
Education Facilities Company Limited  Yes  RI  Reporting Issuer    10/16/2009  10/16/2010 
Edwards, Donald  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  41801   
Empresa Generadora de Electricidad Haina, S.A. (EGE Haina)  Yes  RI  Reporting Issuer    6/5/2003   
Eve, Patricia  Yes  TR  Registered Representative  Trading  6/24/2005  6/23/2005 
Fadahunsi, Osu Olayiwola  Yes  BR  Registered Representative  Broking  10/11/2007  10/10/2008 
FCL Financial Limited  Yes  IA  Investment Adviser    1/16/2007  1/15/2008 
First Capital Union Financial Brokers Limited  Yes  SC  Broker-Dealer    40582  40946 
First Citizens Asset Management Limited  Yes  RI  Reporting Issuer    12/18/1997   
First Citizens Asset Management Limited  Yes  SC  Broker-Dealer    4/10/2000  4/10/2006 
First Citizens Bank Limited  Yes  RI  Reporting Issuer    1/14/1999   
First Citizens Bank Limited  Yes  SC  Broker-Dealer    1/11/2008  1/10/2009 
First Citizens Brokerage and Advisory Services Limited  Yes  SC  Broker-Dealer    3/7/2002  3/7/2006 
First Citizens Investment Services Limited  Yes  SC  Broker-Dealer    4/27/2000  4/26/2006 
First Citizens Investment Services Limited  Yes  RI  Reporting Issuer    41193   
First Citizens Securities Trading Limited  Yes  SC  Broker-Dealer    1/14/1999  12/4/2007 
First Global (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    7/14/2005  7/13/2006 
FirstCaribbean International Bank (Bahamas) Limited  Yes  UND  Underwriter    6/14/2006  6/13/2007 
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  IA  Investment Adviser    6/1/2000  5/31/2006 
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    3/19/2010  3/18/2011 
FirstCaribbean International Bank Limited  Yes  RI  Reporting Issuer    7/24/1997   
Firstline Securities Limited  Yes  SC  Broker-Dealer    3/3/2008  3/2/2009 
Flavorite Foods Limited  Yes  RI  Reporting Issuer    7/24/1997   
Fletcher, Claire Rose  Yes  BR  Registered Representative  Broking  12/31/2010   
FNCU Venture Capital Company Limited  Yes  RI  Reporting Issuer    2/22/2001   
Fortress Caribbean High Interest Fund Limited  Yes  RI  Reporting Issuer    5/13/2010   
Fortress Caribbean Property Fund  Yes  RI  Reporting Issuer    9/8/2005   
Fortress Global Value Fund Limited  Yes  RI  Reporting Issuer    5/13/2010   
Fortress Mutual Fund Limited  Yes  RI  Reporting Issuer    5/13/2010   
Funds International Limited  Yes  IA  Investment Adviser    2/3/2009  2/2/2010 
Furness Trinidad Limited  Yes  RI  Reporting Issuer    7/24/1997   
Gajadhar, Kerry  Yes  TR  Registered Representative  Trading  9/8/2005  9/8/2006 
Gatt, Gordon  No  N/A  Registered Representative  Trading  41654   
General Finance Corporation Limited  Yes  SC  Broker-Dealer    2/22/2001  2/21/2008 
Ghanny, Rianna Sarah  Yes  TR  Registered Representative  Trading  2/1/2008  1/31/2009 
Global Financial Brokers Limited  Yes  IA  Investment Adviser    3/19/1998  12/4/2007 
Goolcharan, Vishal  Yes  IA  Investment Adviser    1/12/2010  1/11/2011 
Gosein, Godfrey  Yes  BR  Registered Representative  Broking  5/10/2007  5/9/2008 
GraceKennedy (Trinidad and Tobago) Limited  No  N/A  Broker-Dealer    41564   
GraceKennedy Limited  Yes  RI  Reporting Issuer    11/26/1998   
Gransaull, Michael  Yes  TR  Registered Representative  Trading  41116  41480 
Guardian Asset Management and Investment Services Limited  Yes  SC  Broker-Dealer    40816  41181 
Guardian Asset Management and Investment Services Limited  Yes  RI  Reporting Issuer    41229   
Guardian Asset Management Limited  Yes  SC  Broker-Dealer    7/20/2006  7/19/2007 
Guardian Holdings Limited  Yes  RI  Reporting Issuer    7/24/1997   
Guardian Life of the Caribbean Limited  Yes  IA  Investment Adviser    10/13/2005  10/12/2006 
Guardian Media Limited (formerly Trinidad Publishing Company Limited)  Yes  RI  Reporting Issuer    8/11/1997   
Hepburn, Karrian  Yes  BR  Registered Representative  Broking  40750  41115 
Hoy Sing Loy, Ameen  Yes  BR  Registered Representative  Broking  8/14/2009  8/13/2010 
Husain, Haroon  Yes  IA  Investment Adviser    40722  40721 
Husain, Syed Samie  Yes  BR  Broker-Dealer  Broking  7/14/2008  7/13/2009 
Infinity Financial Engineering Limited  Yes  IA  Investment Adviser    40981  41345 
Inniss-Bernard, Judy  Yes  TR  Registered Representative  Trading  1/18/2013  1/17/2014 
Intercommercial Bank Limited  Yes  SC  Broker-Dealer    7/1/2010   
Intercommercial Bank Limited  Yes  RI  Reporting Issuer    10/28/1999   
Intercommercial Trust & Merchant Bank Limited  Yes  SC  Broker-Dealer    3/23/2009  3/22/2010 
International Wealth and Investment Network Limited  Yes  IA  Investment Adviser    6/14/2006  6/14/2012 
Involve Financial Limited  Yes  IA  Investment Adviser    7/14/2009  7/13/2010 
Jamaica Money Market Brokers Limited  Yes  RI  Reporting Issuer    12/19/2002   
Jamaica Public Service Company  Yes  RI  Reporting Issuer    10/2/2003   
Jamaica Select Index Fund Limited  Yes  RI  Reporting Issuer    7/4/2005  7/4/2009 
JMMB Investments (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    41066  41065 
Johnson, Alvin  Yes  BR  Registered Representative  Broking  11/13/1997  12/4/2007 
Julien Jason  Yes  TR  Registered Representative  Trading  7/1/2010   
KCL Capital Market Brokers Limited  Yes  SC  Broker-Dealer    6/6/2012  6/5/2012 
Khan, Dale  Yes  BR  Registered Representative  Broking  12/31/2009  12/30/2010 
Khodai, Keshwar  Yes  BR  Registered Representative  Broking  1/24/2008  1/23/2009 
KSBM Asset Management Limited  Yes  SC  Broker-Dealer    3/19/2010  3/18/2011 
L.J. Williams Limited  Yes  RI  Reporting Issuer    7/24/1997  7/24/2008 
La Brea Industrial Development Company Limited  Yes  RI  Reporting Issuer    12/7/2004   
Lashley, Maria  Yes  BR  Registered Representative  Broking  12/13/2007  12/12/2008 
Leggard, Kaffi  No  N/A  Registered Representative  Trading  41654   
Leons, Keron  Yes  TR  Registered Representative  Trading  11/17/2009  11/16/2010 
Life Settlements Funds Limited  Yes  RI  Reporting Issuer    11/9/2006  11/8/2007 
Mahabirsingh, Sherma  Yes  TR  Registered Representative  Trading  11/14/2008  11/13/2009 
Maharaj, Varun  Yes  BR  Registered Representative  Broking  10/11/2007  10/10/2008 
Manmohan, Adrian  Yes  BR  Registered Representative  Broking  4/11/2006  4/10/2007 
Manulife Investment Exchange Funds Corp  Yes  RI  Reporting Issuer    11/15/2007  11/14/2008 
Maritime Capital Limited  No  N/A  Broker-Dealer  Dealing, Investment Advising, Underwriting  41403   
Marquis Portfolio Managers Limited  Yes  IA  Investment Adviser    6/11/2007  6/10/2008 
Martineau, Dan  No  N/A  Registered Representative  Broking  10/17/2013  1/13/2009 
Mayers, Robert  Yes  BR  Registered Representative  Broking  6/16/2009  6/15/2010 
Mega Insurance Company Limited  Yes  RI  Reporting Issuer    12/17/1998   
Melville, Cecila  Yes  TR  Registered Representative  Trading  10/11/2007  10/10/2008 
Mitchell, Eva  No  N/A  Registered Representative  Trading  41564   
Mohammed, Shaun  Yes  TR  Registered Representative  Trading  5/21/2008  5/20/2009 
Mondial (Trinidad) Limited  Yes  IA  Investment Adviser    12/5/2003  12/4/2004 
Montes, Francisco  Yes  BR  Broker-Dealer  Broking  8/16/2007  8/15/2008 
Mooteram, Charissa  No  N/A  Registered Representative  Trading  11/25/2013  2/8/2011 
Mora Ven Holdings Limited  Yes  RI  Reporting Issuer    10/27/1997   
Mottley, Wendell  Yes  IA  Investment Adviser    5/10/2007  5/9/2008 
Mullings, Donavan  Yes  BR  Registered Representative  Broking  2/10/2000  12/4/2005 
Murphy Clarke Financial Limited  Yes  SC  Broker-Dealer    12/9/2010   
Murray, Scott  No  N/A  Registered Representative  Trading  41438   
Narine, Ian  Yes  BR  Registered Representative  Broking  4/11/2008  4/10/2009 
National Commercial Bank Jamaica Limited  Yes  RI  Reporting Issuer    5/22/2003   
National Enterprises Limited  Yes  RI  Reporting Issuer    1/18/2001   
National Flour Mills Limited  Yes  RI  Reporting Issuer    6/27/1997   
National Infrastructure Development Company Limited  Yes  RI  Reporting Issuer    8/12/2009  8/12/2010 
National Insurance Property Development Company Limited  Yes  RI  Reporting Issuer    4/15/2004   
National Maintenance Training and Security Company Limited  Yes  RI  Reporting Issuer    4/27/2000   
Neal & Massy Holdings Limited  Yes  RI  Reporting Issuer    7/24/1997   
Nestle Trinidad and Tobago Limited  Yes  RI  Reporting Issuer    9/20/2001   
O' Brien, Anna  Yes  TR  Registered Representative  Trading  41292  41656 
One Caribbean Media Limited  Yes  RI  Reporting Issuer    8/11/1997   
Padmore, Winston  Yes  BR  Broker-Dealer  Broking  10/24/1997  12/4/2007 
Pan Caribbean Asset Management Limited  Yes  RI  Reporting Issuer    11/15/2007  11/14/2008 
Pariagh, Edgar  Yes  BR  Registered Representative  Broking  2/16/2006  2/15/2007 
Perreira, Marc  Yes  TR  Registered Representative  Trading  41116  41480 
Persad, Michelle  Yes  BR  Registered Representative  Broking  40981  41345 
Point Lisas Industrial Port Development Corporation Limited  Yes  RI  Reporting Issuer    7/24/1997   
Port Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    1/25/2001   
Prestige Holdings Limited  Yes  RI  Reporting Issuer    1/28/1999   
Public Transport Service Corporation  Yes  RI  Reporting Issuer    4/29/1999   
Quan Soon, Ian  Yes  IA  Investment Adviser    3/10/2009  3/9/2010 
Rahaman, Hassan Philip  No  N/A  Registered Representative  Broking  5/1/2013   
Ramkhelawan, Sarodh  Yes  BR  Registered Representative  Broking  2/19/2011  2/18/2012 
Ramkhelawan, Subhas  Yes  BR  Registered Representative  Broking  10/24/1997  4/12/2005 
Ramlogan, Rawle  No  N/A  Registered Representative  Dealing, Underwriting  41564   
Ramnath-Singh, Gail  Yes  TR  Registered Representative  Trading  11/7/1997  12/4/2007 
Ramroop, Diana  Yes  TR  Registered Representative  Trading  40626  40991 
Ramsaran, Anrika  No  N/A  Registered Representative  Trading  41603   
RBC Financial (Caribbean) Limited  Yes  RI  Reporting Issuer    7/30/2010   
RBC Holdings (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    3/4/2008  3/3/2009 
RBC Investment Management (Caribbean) Limited  Yes  IA  Investment Adviser    10/2/2003  10/1/2004 
RBC Merchant Bank (Caribbean) Limited  Yes  RI  Reporting Issuer    6/10/1999   
RBC Merchant Bank (Caribbean) Limited  Yes  SC  Broker-Dealer    8/14/2009  8/13/2010 
RBC Royal Bank (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    7/24/1997   
RBTT Bank Barbados Limited  Yes  RI  Reporting Issuer    7/13/2000   
RBTT Finance Limited  Yes  RI  Reporting Issuer    12/5/2005   
RBTT Financial Holdings Limited  Yes  RI  Reporting Issuer    7/30/1998   
Readymix (West Indies) Limited  Yes  RI  Reporting Issuer    7/24/1997   
Republic Bank Limited  Yes  RI  Reporting Issuer    9/18/2000   
Republic Bank Limited  Yes  SC  Broker-Dealer    10/27/1997  12/4/2004 
Republic Finance and Merchant Bank Limited  Yes  RI  Reporting Issuer    38666   
Republic Finance and Merchant Bank Limited  Yes  SC  Broker-Dealer    11/28/1997  12/4/2004 
Republic Securities Limited (Formerly Reliance Stockbrokers Limited)  Yes  SC  Broker-Dealer    1/9/2013  12/4/2005 
Republic Wealth Management Limited  No  N/A  Investment Adviser    41626   
Roberts, Steve  No  N/A  Registered Representative  Investment Advising  41626   
Royal Bank of Canada  Yes  RI  Reporting Issuer    2/1/2008  1/31/2009 
Royal Skandia Life Assurance Limited  Yes  RI  Reporting Issuer    2/22/2001   
Ruby Wealth Management Limited  Yes  IA  Investment Adviser    40702  41067 
Sabga, Nigel A  No  N/A  Registered Representative  Trading  41564   
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    11/9/2006  11/8/2007 
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    1/13/2010  1/12/2011 
Sagicor Financial Corporation  Yes  RI  Reporting Issuer    12/19/2002   
Sagicor Funds Incorporated  Yes  RI  Reporting Issuer    4/11/2006  4/11/2007 
Sagicor Life Inc.  Yes  SC  Broker-Dealer    1/12/2006  1/11/2007 
Salloum, Christiane  Yes  TR  Registered Representative  Trading  12/11/2012  12/10/2013 
Salvary, Brent  Yes  BR  Registered Representative  Broking  1/19/2011  1/18/2012 
Sammy, Indira  Yes  TR  Registered Representative  Trading  5/6/2009  5/5/2010 
Savary, Hilary  Yes  TR  Registered Representative  Trading  11/18/1999  2/17/2006 
Schroder International Selection Fund  Yes  RI  Reporting Issuer    40640   
Schroder Investment Management (Luxembourg) S.A.  Yes  RI  Reporting Issuer    11/30/2007  11/29/2008 
Scotia DB&G Caribbean Income Fund Inc  Yes  RI  Reporting Issuer    11/15/2007  11/14/2008 
Scotia Investments Jamaica Limited  Yes  RI  Reporting Issuer    9/9/2004   
Scotia Investments Trinidad and Tobago Limited  Yes  SC  Broker-Dealer    5/26/2008  5/25/2009 
Scotiabank Trinidad & Tobago Limited  Yes  SC  Broker-Dealer    6/27/1997  12/4/2003 
Scotiabank Trinidad & Tobago Limited  Yes  RI  Reporting Issuer    6/27/1997  1/3/2006 
Scotiabank Trinidad and Tobago Fixed Income Fund Inc.   No  N/A  Reporting Issuer    41583   
Scotiabank Trinidad and Tobago Growth Fund Inc.  No  N/A  Reporting Issuer    41583   
Scotiatrust and Merchant Bank Trinidad and Tobago Limited  Yes  SC  Broker-Dealer    6/27/1997  12/4/2005 
Seebaran, Madree  Yes  BR  Broker-Dealer  Broking  10/10/2006  10/9/2007 
Shah, Reaaz  Yes  BR  Registered Representative  Broking  3/19/2010  3/18/2011 
Sheppard Securities Limited  Yes  SC  Broker-Dealer    3/23/2009  3/22/2010 
Sheppard, Alan   Yes  TR  Registered Representative  Trading  41254  41618 
Sheppard, George  Yes  BR  Registered Representative  Broking  11/15/2007  11/14/2010 
Singh, Mark  No  N/A  Registered Representative  Trading  41473   
Sookhoo, Anganie  Yes  TR  Registered Representative  Trading  3/19/2010  3/18/2011 
Sooknanan, Rishi  Yes  TR  Registered Representative  Trading  41254  41618 
St Christopher Air and Sea Ports Authority  Yes  RI  Reporting Issuer    6/21/2001   
St. Clair, Tallia  Yes  TR  Registered Representative  Trading  40750   
St. Kitts Urban Development Corporation Ltd  Yes  RI  Reporting Issuer    2/25/1999   
St. Louis, Leslie  Yes  BR  Registered Representative  Broking  3/16/2006  3/15/2010 
Supreme Ventures Limited  Yes  RI  Reporting Issuer    8/28/2008  8/7/2009 
Syne, Sascha  Yes  BR  Registered Representative  Broking  2/9/2010  2/8/2011 
Tang Nian, Stephen  Yes  BR  Registered Representative  Broking  12/9/2010  12/8/2011 
TCL Leasing Limited  Yes  RI  Reporting Issuer    7/29/1999   
TCL Service Limited  Yes  RI  Reporting Issuer    8/5/1999   
Telecommunications Services of Trinidad and Tobago Limited  Yes  RI  Reporting Issuer    1/4/2001   
The Barbados Shipping & Trading Company Limited  Yes  RI  Reporting Issuer    3/15/1999   
The Beacon Asset Management Limited  Yes  IA  Investment Adviser    5/8/2006  5/8/2012 
The Home Mortgage Bank  Yes  RI  Reporting Issuer    7/14/1997   
The Home Mortgage Bank  No  N/A  Broker-Dealer    41564   
The National Football Stadium Company Limited  Yes  RI  Reporting Issuer    8/30/2001   
The Sports Company of Trinidad and Tobago Limited  No  N/A  Reporting Issuer    41561   
The Trinidad & Tobago Stock Exchange Limited  Yes  SRO  SRO       
The Trinidad and Tobago Central Depository  Yes  SRO  SRO    36838   
The Vehicle Management Corporation of Trinidad & Tobago Ltd.  Yes  RI  Reporting Issuer    8/30/2001   
The West Indian Tobacco Company Limited  Yes  RI  Reporting Issuer    7/24/1997   
Thomas, Rowland Marc  Yes  BR  Registered Representative  Broking  9/30/2011  9/29/2012 
Thompson, Leah  Yes  TR  Registered Representative  Trading  41116  41480 
Tourism & Industrial Development Company of T&T Limited  Yes  RI  Reporting Issuer    11/23/2000   
Transjamaican Highway Limited  Yes  RI  Reporting Issuer    1/13/2005   
Trinidad & Tobago Unit Trust Corporation Limited  Yes  SC  Broker-Dealer    12/13/2007  12/12/2008 
Trinidad & Tobago Unit Trust Corporation Limited  Yes  RI  Reporting Issuer    12/18/1997   
Trinidad and Tobago Housing Development Corporation  Yes  RI  Reporting Issuer    8/17/2005   
Trinidad and Tobago Mortgage Finance Company Limited  Yes  RI  Reporting Issuer    9/15/2009  9/15/2010 
Trinidad Cement Limited  Yes  RI  Reporting Issuer    7/24/1997   
Trinidad Select Index Fund Limited  Yes  RI  Reporting Issuer    11/9/2006  11/8/2007 
Unilever Caribbean Limited  Yes  RI  Reporting Issuer    6/24/1997   
Urban Development Corporation of Trinidad & Tobago Limited  Yes  RI  Reporting Issuer    6/15/2000   
UTC Trust Corporation (Cayman) SPC Limited  Yes  RI  Reporting Issuer    5/10/2007  5/9/2008 
Valley, Kenneth  Yes  IA  Investment Adviser    8/22/2008  8/21/2009 
Valpark Shopping Plaza Limited  Yes  RI  Reporting Issuer    7/24/1997   
Vega Capital Management Limited  Yes  IA  Investment Adviser    4/15/2004  4/14/2006 
Vieira, Lisa Ann  Yes  TR  Registered Representative  Trading  2/17/2005  2/16/2007 
Viola Asset Management Limited  No  N/A  Investment Adviser    41792   
VT Umbrella Fund PCC Limited  Yes  RI  Reporting Issuer    2/26/2009  2/26/2010 
Wallace, Chivonne  Yes  TR  Registered Representative  Trading  2/1/2008  1/31/2009 
Water & Sewerage Authority  Yes  RI  Reporting Issuer    10/14/1999   
Wells-Fraser, Bernadette  Yes  TR  Registered Representative  Trading  6/13/2008  6/12/2009 
Welthecon Investment Managers Limited  Yes  IA  Investment Adviser    1/15/2004  1/14/2006 
West Indies Stockbrokers Limited  Yes  SC  Broker-Dealer    5/10/2007  5/9/2008 

 

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