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    16/04/1998   
Add Venture Capital Fund Limited  Yes  RI  Reporting Issuer    16/04/1998   
Add Venture Capital Fund Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Add Venture Capital Fund Limited  Yes  RI  Reporting Issuer    16/04/1998   
Add Venture Capital Fund Limited  Yes  RI  Reporting Issuer    16/04/1998   
Agostini's Limited  Yes  RI  Reporting Issuer    24-Jul-97   
Agostini's Limited  Yes  RI  Reporting Issuer    24-Jul-97   
Agostini's Limited  Yes  RI  Reporting Issuer    24-Jul-97   
Agostini's Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Agostini's Limited  Yes  RI  Reporting Issuer    24-Jul-97   
Agostini, Chantal  No  N/A  Registered Representative  Trading  0000-00-00  0000-00-00 
Agostini, Chantal  No  N/A  Registered Representative  Trading  13-Jun-13   
Agostini, Chantal  No  N/A  Registered Representative  Trading  13-Jun-13   
Agostini, Chantal  No  N/A  Registered Representative  Trading  13-Jun-13   
Agostini, Chantal  No  N/A  Registered Representative  Trading  0000-00-00  0000-00-00 
Agostini, Chantal  No  N/A  Registered Representative  Trading  13-Jun-13   
Agostini, Chantal  No  N/A  Registered Representative  Trading  13-Jun-13   
Agostini, Chantal  No  N/A  Registered Representative  Trading  13-Jun-13   
Agostini, Chantal  No  N/A  Registered Representative  Trading  13-Jun-13   
Agostini, Chantal  No  N/A  Registered Representative  Trading  13-Jun-13   
AIC Securities Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
AIC Securities Limited  Yes  SC  Broker-Dealer    24/10/1997  09/10/2007 
AIC Securities Limited  Yes  SC  Broker-Dealer    24/10/1997  09/10/2007 
AIC Securities Limited  Yes  SC  Broker-Dealer    24/10/1997  09/10/2007 
AIC Securities Limited  Yes  SC  Broker-Dealer    24/10/1997  09/10/2007 
Airports Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    13/07/2000   
Airports Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    13/07/2000   
Airports Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Airports Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    13/07/2000   
Airports Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    13/07/2000   
Akan, Myrnelle V.  Yes  BR  Registered Representative  Broking  24/10/1997  04/12/2012 
Akan, Myrnelle V.  Yes  BR  Registered Representative  Broking  24/10/1997  04/12/2012 
Akan, Myrnelle V.  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Akan, Myrnelle V.  Yes  BR  Registered Representative  Broking  24/10/1997  04/12/2012 
Akan, Myrnelle V.  Yes  BR  Registered Representative  Broking  24/10/1997  04/12/2012 
Alexander, Liesel  Yes  BR  Registered Representative  Broking  06-Jun-12  05-Jun-13 
Alexander, Liesel  Yes  BR  Registered Representative  Broking  06-Jun-12  05-Jun-13 
Alexander, Liesel  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Alexander, Liesel  Yes  BR  Registered Representative  Broking  06-Jun-12  05-Jun-13 
Alexander, Liesel  Yes  BR  Registered Representative  Broking  06-Jun-12  05-Jun-13 
Ali, Salma  Yes  BR  Registered Representative  Broking  09/11/2006  08/11/2007 
Ali, Salma  Yes  BR  Registered Representative  Broking  09/11/2006  08/11/2007 
Ali, Salma  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Ali, Salma  Yes  BR  Registered Representative  Broking  09/11/2006  08/11/2007 
Ali, Salma  Yes  BR  Registered Representative  Broking  09/11/2006  08/11/2007 
Alleyne, Harold  Yes  BR  Registered Representative  Broking  14/12/2006  13/12/2007 
Alleyne, Harold  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Alleyne, Harold  Yes  BR  Registered Representative  Broking  14/12/2006  13/12/2007 
Alleyne, Harold  Yes  BR  Registered Representative  Broking  14/12/2006  13/12/2007 
Alleyne, Harold  Yes  BR  Registered Representative  Broking  14/12/2006  13/12/2007 
Alpha Savings & Trust Limited  Yes  IA  Investment Adviser    22/12/2008  21/12/2009 
Alpha Savings & Trust Limited  Yes  IA  Investment Adviser    22/12/2008  21/12/2009 
Alpha Savings & Trust Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Alpha Savings & Trust Limited  Yes  IA  Investment Adviser    22/12/2008  21/12/2009 
Alpha Savings & Trust Limited  Yes  IA  Investment Adviser    22/12/2008  21/12/2009 
Alstons Limited  Yes  RI  Reporting Issuer    25/09/1997   
Alstons Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Alstons Limited  Yes  RI  Reporting Issuer    25/09/1997   
Alstons Limited  Yes  RI  Reporting Issuer    25/09/1997   
Alstons Limited  Yes  RI  Reporting Issuer    25/09/1997   
Altus Company Limited  Yes  IA  Investment Adviser    16/06/2009  15/06/2011 
Altus Company Limited  Yes  IA  Investment Adviser    16/06/2009  15/06/2011 
Altus Company Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Altus Company Limited  Yes  IA  Investment Adviser    16/06/2009  15/06/2011 
Altus Company Limited  Yes  IA  Investment Adviser    16/06/2009  15/06/2011 
Alviar, Oscar   Yes  BR  Broker-Dealer  Broking  09/12/2010   
Alviar, Oscar   Yes  BR  Broker-Dealer  Broking  09/12/2010   
Alviar, Oscar  Yes  BR  Broker-Dealer  Broking  0000-00-00  0000-00-00 
Alviar, Oscar  Yes  BR  Broker-Dealer  Broking  09/12/2010   
Alviar, Oscar  Yes  BR  Broker-Dealer  Broking  09/12/2010   
Amanah Securities Limited  No  N/A  Broker-Dealer  Broking  0000-00-00  0000-00-00 
Amanah Securities Limited  No  N/A  Broker-Dealer  Broking  01-Oct-14   
Amanah Securities Limited  No  N/A  Broker-Dealer  Broking  01-Oct-14   
Amanah Securities Limited  No  N/A  Broker-Dealer  Broking  01-Oct-14   
Amanah Securities Limited  No  N/A  Broker-Dealer  Broking  01-Oct-14   
Angostura (Barbados) Limited  Yes  RI  Reporting Issuer    14/07/2005   
Angostura (Barbados) Limited  Yes  RI  Reporting Issuer    14/07/2005   
Angostura (Barbados) Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Angostura (Barbados) Limited  Yes  RI  Reporting Issuer    14/07/2005   
Angostura (Barbados) Limited  Yes  RI  Reporting Issuer    14/07/2005   
Angostura Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Angostura Holdings Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Angostura Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Angostura Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Angostura Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Angostura Limited  Yes  RI  Reporting Issuer    20/07/2000   
Angostura Limited  Yes  RI  Reporting Issuer    20/07/2000   
Angostura Limited  Yes  RI  Reporting Issuer    20/07/2000   
Angostura Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Angostura Limited  Yes  RI  Reporting Issuer    20/07/2000   
ANSA McAL Limited  Yes  RI  Reporting Issuer    27/06/1997   
ANSA McAL Limited  Yes  RI  Reporting Issuer    27/06/1997   
ANSA McAL Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
ANSA McAL Limited  Yes  RI  Reporting Issuer    27/06/1997   
ANSA McAL Limited  Yes  RI  Reporting Issuer    27/06/1997   
Ansa Merchant Bank Limited  Yes  RI  Reporting Issuer    18/12/1997   
Ansa Merchant Bank Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Ansa Merchant Bank Limited  Yes  RI  Reporting Issuer    18/12/1997   
Ansa Merchant Bank Limited  Yes  RI  Reporting Issuer    18/12/1997   
Ansa Merchant Bank Limited  Yes  SC  Broker-Dealer    06/05/1999  04/12/2007 
Ansa Merchant Bank Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Ansa Merchant Bank Limited  Yes  SC  Broker-Dealer    06/05/1999  04/12/2007 
Ansa Merchant Bank Limited  Yes  RI  Reporting Issuer    18/12/1997   
Ansa Merchant Bank Limited  Yes  SC  Broker-Dealer    06/05/1999  04/12/2007 
Ansa Merchant Bank Limited  Yes  SC  Broker-Dealer    06/05/1999  04/12/2007 
Ansa Securities Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Ansa Securities Limited  Yes  SC  Broker-Dealer    19/09/2008  18/09/2009 
Ansa Securities Limited  Yes  SC  Broker-Dealer    19/09/2008  18/09/2009 
Ansa Securities Limited  Yes  SC  Broker-Dealer    19/09/2008  18/09/2009 
Ansa Securities Limited  Yes  SC  Broker-Dealer    19/09/2008  18/09/2009 
Awai, Gary  Yes  BR  Registered Representative  Broking  09-Nov-11  06-Nov-12 
Awai, Gary  Yes  BR  Registered Representative  Broking  09-Nov-11  06-Nov-12 
Awai, Gary  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Awai, Gary  Yes  BR  Registered Representative  Broking  09-Nov-11  06-Nov-12 
Awai, Gary  Yes  BR  Registered Representative  Broking  09-Nov-11  06-Nov-12 
Baird, Dwane  No  N/A  Registered Representative  Investment Advising  02-Jun-14   
Baird, Dwane  No  N/A  Registered Representative  Investment Advising  02-Jun-14   
Baird, Dwane  No  N/A  Registered Representative  Investment Advising  02-Jun-14   
Baird, Dwane  No  N/A  Registered Representative  Investment Advising  0000-00-00  0000-00-00 
Baird, Dwane  No  N/A  Registered Representative  Investment Advising  02-Jun-14   
Basdeo, Anderson  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Basdeo, Anderson  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Basdeo, Anderson  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Basdeo, Anderson  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Basdeo, Anderson  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Basdeo, Roshan  Yes  TR  Registered Representative  Trading  28/09/2004  27/09/2005 
Basdeo, Roshan  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Basdeo, Roshan  Yes  TR  Registered Representative  Trading  28/09/2004  27/09/2005 
Basdeo, Roshan  Yes  TR  Registered Representative  Trading  28/09/2004  27/09/2005 
Basdeo, Roshan  Yes  TR  Registered Representative  Trading  28/09/2004  27/09/2005 
BCB Holdings Limited  Yes  RI  Reporting Issuer    03/08/2009  03/08/2010 
BCB Holdings Limited  Yes  RI  Reporting Issuer    03/08/2009  03/08/2010 
BCB Holdings Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
BCB Holdings Limited  Yes  RI  Reporting Issuer    03/08/2009  03/08/2010 
BCB Holdings Limited  Yes  RI  Reporting Issuer    03/08/2009  03/08/2010 
BE TAG Antilles Group (St. Lucia) Limited  Yes  RI  Reporting Issuer    22/11/2007  22/11/2008 
BE TAG Antilles Group (St. Lucia) Limited  Yes  RI  Reporting Issuer    22/11/2007  22/11/2008 
BE TAG Antilles Group (St. Lucia) Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
BE TAG Antilles Group (St. Lucia) Limited  Yes  RI  Reporting Issuer    22/11/2007  22/11/2008 
BE TAG Antilles Group (St. Lucia) Limited  Yes  RI  Reporting Issuer    22/11/2007  22/11/2008 
Berger Paints Trinidad Limited  Yes  RI  Reporting Issuer    24/07/1997   
Berger Paints Trinidad Limited  Yes  RI  Reporting Issuer    24/07/1997   
Berger Paints Trinidad Limited  Yes  RI  Reporting Issuer    24/07/1997   
Berger Paints Trinidad Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Berger Paints Trinidad Limited  Yes  RI  Reporting Issuer    24/07/1997   
Bharath, Adrian  No  N/A  Investment Adviser    25-Nov-13   
Bharath, Adrian  No  N/A  Investment Adviser    25-Nov-13   
Bharath, Adrian  No  N/A  Investment Adviser    0000-00-00  0000-00-00 
Bharath, Adrian  No  N/A  Investment Adviser    25-Nov-13   
Bharath, Adrian  No  N/A  Investment Adviser    25-Nov-13   
Bourse Brokers Limited  Yes  SC  Broker-Dealer    13/03/2012  12/03/2013 
Bourse Brokers Limited  Yes  SC  Broker-Dealer    13/03/2012  12/03/2013 
Bourse Brokers Limited  Yes  SC  Broker-Dealer    13/03/2012  12/03/2013 
Bourse Brokers Limited  Yes  SC  Broker-Dealer    13/03/2012  12/03/2013 
Bourse Brokers Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Bourse Securities Limited  Yes  SC  Broker-Dealer    24/10/1997  04/12/2005 
Bourse Securities Limited  Yes  SC  Broker-Dealer    24/10/1997  04/12/2005 
Bourse Securities Limited  Yes  SC  Broker-Dealer    24/10/1997  04/12/2005 
Bourse Securities Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Bourse Securities Limited  Yes  SC  Broker-Dealer    24/10/1997  04/12/2005 
Bridgewater, Joanne  Yes  BR  Registered Representative  Broking  17/11/2009  16/11/2010 
Bridgewater, Joanne  Yes  BR  Registered Representative  Broking  17/11/2009  16/11/2010 
Bridgewater, Joanne  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Bridgewater, Joanne  Yes  BR  Registered Representative  Broking  17/11/2009  16/11/2010 
Bridgewater, Joanne  Yes  BR  Registered Representative  Broking  17/11/2009  16/11/2010 
Burris, Stephen  Yes  IA  Investment Adviser    10/03/2009  09/03/2011 
Burris, Stephen  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Burris, Stephen  Yes  IA  Investment Adviser    10/03/2009  09/03/2011 
Burris, Stephen  Yes  IA  Investment Adviser    10/03/2009  09/03/2011 
Burris, Stephen  Yes  IA  Investment Adviser    10/03/2009  09/03/2011 
BWIA West Indies Airways Limited  Yes  RI  Reporting Issuer    27/11/2000   
BWIA West Indies Airways Limited  Yes  RI  Reporting Issuer    27/11/2000   
BWIA West Indies Airways Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
BWIA West Indies Airways Limited  Yes  RI  Reporting Issuer    27/11/2000   
BWIA West Indies Airways Limited  Yes  RI  Reporting Issuer    27/11/2000   
Capital & Credit Merchant Bank Limited  Yes  RI  Reporting Issuer    15/09/2003   
Capital & Credit Merchant Bank Limited  Yes  RI  Reporting Issuer    15/09/2003   
Capital & Credit Merchant Bank Limited  Yes  RI  Reporting Issuer    15/09/2003   
Capital & Credit Merchant Bank Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Capital & Credit Merchant Bank Limited  Yes  RI  Reporting Issuer    15/09/2003   
Capital and Credit Financial Group Limited  Yes  RI  Reporting Issuer    08/04/2008  08/04/2009 
Capital and Credit Financial Group Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Capital and Credit Financial Group Limited  Yes  RI  Reporting Issuer    08/04/2008  08/04/2009 
Capital and Credit Financial Group Limited  Yes  RI  Reporting Issuer    08/04/2008  08/04/2009 
Capital and Credit Financial Group Limited  Yes  RI  Reporting Issuer    08/04/2008  08/04/2009 
Caribbean Development Capital Limited  Yes  IA  Investment Adviser    08/12/2008  07/12/2011 
Caribbean Development Capital Limited  Yes  IA  Investment Adviser    08/12/2008  07/12/2011 
Caribbean Development Capital Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Caribbean Development Capital Limited  Yes  IA  Investment Adviser    08/12/2008  07/12/2011 
Caribbean Development Capital Limited  Yes  IA  Investment Adviser    08/12/2008  07/12/2011 
Caribbean Investment Management Company (Trinidad) Limited  Yes  IA  Investment Adviser    09/11/2006  08/11/2007 
Caribbean Investment Management Company (Trinidad) Limited  Yes  IA  Investment Adviser    09/11/2006  08/11/2007 
Caribbean Investment Management Company (Trinidad) Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Caribbean Investment Management Company (Trinidad) Limited  Yes  IA  Investment Adviser    09/11/2006  08/11/2007 
Caribbean Investment Management Company (Trinidad) Limited  Yes  IA  Investment Adviser    09/11/2006  08/11/2007 
Caribbean Stockbrokers Limited  Yes  SC  Broker-Dealer    07/11/1997  13/06/2008 
Caribbean Stockbrokers Limited  Yes  SC  Broker-Dealer    07/11/1997  13/06/2008 
Caribbean Stockbrokers Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Caribbean Stockbrokers Limited  Yes  SC  Broker-Dealer    07/11/1997  13/06/2008 
Caribbean Stockbrokers Limited  Yes  SC  Broker-Dealer    07/11/1997  13/06/2008 
Caroni (1975) Limited  Yes  RI  Reporting Issuer    08/07/1999   
Caroni (1975) Limited  Yes  RI  Reporting Issuer    08/07/1999   
Caroni (1975) Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Caroni (1975) Limited  Yes  RI  Reporting Issuer    08/07/1999   
Caroni (1975) Limited  Yes  RI  Reporting Issuer    08/07/1999   
Carrera-Justiz, Francisco  Yes  BR  Broker-Dealer  Broking  16/08/2007  15/08/2008 
Carrera-Justiz, Francisco  Yes  BR  Broker-Dealer  Broking  0000-00-00  0000-00-00 
Carrera-Justiz, Francisco  Yes  BR  Broker-Dealer  Broking  16/08/2007  15/08/2008 
Carrera-Justiz, Francisco  Yes  BR  Broker-Dealer  Broking  16/08/2007  15/08/2008 
Carrera-Justiz, Francisco  Yes  BR  Broker-Dealer  Broking  16/08/2007  15/08/2008 
Chen, Nancy  Yes  TR  Registered Representative  Trading  28/01/2009  27/01/2010 
Chen, Nancy  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Chen, Nancy  Yes  TR  Registered Representative  Trading  28/01/2009  27/01/2010 
Chen, Nancy  Yes  TR  Registered Representative  Trading  28/01/2009  27/01/2010 
Chen, Nancy  Yes  TR  Registered Representative  Trading  28/01/2009  27/01/2010 
Chin, Ian  No  N/A  Registered Representative  Broking  31/07/2013   
Chin, Ian  No  N/A  Registered Representative  Broking  31/07/2013   
Chin, Ian  No  N/A  Registered Representative  Broking  0000-00-00  0000-00-00 
Chin, Ian  No  N/A  Registered Representative  Broking  31/07/2013   
Chin, Ian  No  N/A  Registered Representative  Broking  31/07/2013   
Citibank (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Citibank (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    11/07/1997   
Citibank (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    11/07/1997   
Citibank (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    11/07/1997   
Citibank (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    11/07/1997   
Citicorp Merchant Bank Limited  Yes  SC  Broker-Dealer    07/11/2012  06/11/2013 
Citicorp Merchant Bank Limited  Yes  RI  Reporting Issuer    29/07/1999   
Citicorp Merchant Bank Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Citicorp Merchant Bank Limited  Yes  RI  Reporting Issuer    29/07/1999   
Citicorp Merchant Bank Limited  Yes  RI  Reporting Issuer    29/07/1999   
Citicorp Merchant Bank Limited  Yes  SC  Broker-Dealer    07/11/2012  06/11/2013 
Citicorp Merchant Bank Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Citicorp Merchant Bank Limited  Yes  SC  Broker-Dealer    07/11/2012  06/11/2013 
Citicorp Merchant Bank Limited  Yes  SC  Broker-Dealer    07/11/2012  06/11/2013 
Citicorp Merchant Bank Limited  Yes  RI  Reporting Issuer    29/07/1999   
Clarke, Jason  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  17-Oct-13   
Clarke, Jason  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  0000-00-00  0000-00-00 
Clarke, Jason  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  17-Oct-13   
Clarke, Jason  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  17-Oct-13   
Clarke, Jason  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  17-Oct-13   
Clarke, Peter  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Clarke, Peter  Yes  BR  Registered Representative  Broking  24/10/1997  04/12/2006 
Clarke, Peter  Yes  BR  Registered Representative  Broking  24/10/1997  04/12/2006 
Clarke, Peter  Yes  BR  Registered Representative  Broking  24/10/1997  04/12/2006 
Clarke, Peter  Yes  BR  Registered Representative  Broking  24/10/1997  04/12/2006 
Clarke, Terrence  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  09-May-13   
Clarke, Terrence  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  09-May-13   
Clarke, Terrence  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  0000-00-00  0000-00-00 
Clarke, Terrence  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  09-May-13   
Clarke, Terrence  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  09-May-13   
Clewett, Nigel  Yes  IA  Investment Adviser    11/08/2008  10/08/2011 
Clewett, Nigel  Yes  IA  Investment Adviser    11/08/2008  10/08/2011 
Clewett, Nigel  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Clewett, Nigel  Yes  IA  Investment Adviser    11/08/2008  10/08/2011 
Clewett, Nigel  Yes  IA  Investment Adviser    11/08/2008  10/08/2011 
CLICO Investment Bank Limited  Yes  RI  Reporting Issuer    06/04/2000   
CLICO Investment Bank Limited  Yes  RI  Reporting Issuer    06/04/2000   
CLICO Investment Bank Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
CLICO Investment Bank Limited  Yes  RI  Reporting Issuer    06/04/2000   
CLICO Investment Bank Limited  Yes  RI  Reporting Issuer    06/04/2000   
Clouden, Randolph  Yes  BR  Registered Representative  Broking  06-Jun-12  05-Jun-13 
Clouden, Randolph  Yes  BR  Registered Representative  Broking  06-Jun-12  05-Jun-13 
Clouden, Randolph  Yes  BR  Registered Representative  Broking  06-Jun-12  05-Jun-13 
Clouden, Randolph  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Clouden, Randolph  Yes  BR  Registered Representative  Broking  06-Jun-12  05-Jun-13 
Colonial Life Insurance Company (Trinidad) Limited  Yes  IA  Investment Adviser    08/06/2000   
Colonial Life Insurance Company (Trinidad) Limited  Yes  IA  Investment Adviser    08/06/2000   
Colonial Life Insurance Company (Trinidad) Limited  Yes  IA  Investment Adviser    08/06/2000   
Colonial Life Insurance Company (Trinidad) Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Colonial Life Insurance Company (Trinidad) Limited  Yes  IA  Investment Adviser    08/06/2000   
Coonai, Ryan  Yes  TR  Registered Representative  Trading  09-Nov-11  06-Nov-12 
Coonai, Ryan  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Coonai, Ryan  Yes  TR  Registered Representative  Trading  09-Nov-11  06-Nov-12 
Coonai, Ryan  Yes  TR  Registered Representative  Trading  09-Nov-11  06-Nov-12 
Coonai, Ryan  Yes  TR  Registered Representative  Trading  09-Nov-11  06-Nov-12 
Crooks, Victoria   Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Crooks, Victoria   Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Crooks, Victoria  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Crooks, Victoria  Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Crooks, Victoria  Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Cugliari, Fernando  Yes  BR  Broker-Dealer  Broking  0000-00-00  0000-00-00 
Cugliari, Fernando  Yes  BR  Broker-Dealer  Broking  09/12/2010   
Cugliari, Fernando  Yes  BR  Broker-Dealer  Broking  09/12/2010   
Cugliari, Fernando   Yes  BR  Broker-Dealer  Broking  09/12/2010   
Cugliari, Fernando   Yes  BR  Broker-Dealer  Broking  09/12/2010   
Darbasie, Karen  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Darbasie, Karen  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Darbasie, Karen  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Darbasie, Karen  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Darbasie, Karen  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Development Finance Limited  Yes  SC  Broker-Dealer    06/08/1998  04/12/2007 
Development Finance Limited  Yes  RI  Reporting Issuer    11/07/1997   
Development Finance Limited  Yes  RI  Reporting Issuer    11/07/1997   
Development Finance Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Development Finance Limited  Yes  RI  Reporting Issuer    11/07/1997   
Development Finance Limited  Yes  SC  Broker-Dealer    06/08/1998  04/12/2007 
Development Finance Limited  Yes  SC  Broker-Dealer    06/08/1998  04/12/2007 
Development Finance Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Development Finance Limited  Yes  SC  Broker-Dealer    06/08/1998  04/12/2007 
Development Finance Limited  Yes  RI  Reporting Issuer    11/07/1997   
Douglas, George Robert  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Douglas, George Robert  Yes  IA  Investment Adviser    13/01/2005  12/01/2006 
Douglas, George Robert  Yes  IA  Investment Adviser    13/01/2005  12/01/2006 
Douglas, George Robert  Yes  IA  Investment Adviser    13/01/2005  12/01/2006 
Douglas, George Robert  Yes  IA  Investment Adviser    13/01/2005  12/01/2006 
Dulal, Carla  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Dulal, Carla  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Dulal, Carla  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Dulal, Carla  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Dulal, Carla  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Dynamic Equity Fund II Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Dynamic Equity Fund II Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Dynamic Equity Fund II Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Dynamic Equity Fund II Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Dynamic Equity Fund II Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Dynamic Equity Limited  Yes  IA  Investment Adviser    17/08/2000  16/08/2005 
Dynamic Equity Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Dynamic Equity Limited  Yes  IA  Investment Adviser    17/08/2000  16/08/2005 
Dynamic Equity Limited  Yes  IA  Investment Adviser    17/08/2000  16/08/2005 
Dynamic Equity Limited  Yes  IA  Investment Adviser    17/08/2000  16/08/2005 
Dynamic Equity Venture Fund Limited  Yes  RI  Reporting Issuer    19/10/2000   
Dynamic Equity Venture Fund Limited  Yes  RI  Reporting Issuer    19/10/2000   
Dynamic Equity Venture Fund Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Dynamic Equity Venture Fund Limited  Yes  RI  Reporting Issuer    19/10/2000   
Dynamic Equity Venture Fund Limited  Yes  RI  Reporting Issuer    19/10/2000   
Education Facilities Company Limited  Yes  RI  Reporting Issuer    16/10/2009  16/10/2010 
Education Facilities Company Limited  Yes  RI  Reporting Issuer    16/10/2009  16/10/2010 
Education Facilities Company Limited  Yes  RI  Reporting Issuer    16/10/2009  16/10/2010 
Education Facilities Company Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Education Facilities Company Limited  Yes  RI  Reporting Issuer    16/10/2009  16/10/2010 
Edwards, Donald  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  11-Jun-14   
Edwards, Donald  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  0000-00-00  0000-00-00 
Edwards, Donald  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  11-Jun-14   
Edwards, Donald  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  11-Jun-14   
Edwards, Donald  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  11-Jun-14   
Empresa Generadora de Electricidad Haina, S.A. (EGE Haina)  Yes  RI  Reporting Issuer    05/06/2003   
Empresa Generadora de Electricidad Haina, S.A. (EGE Haina)  Yes  RI  Reporting Issuer    05/06/2003   
Empresa Generadora de Electricidad Haina, S.A. (EGE Haina)  Yes  RI  Reporting Issuer    05/06/2003   
Empresa Generadora de Electricidad Haina, S.A. (EGE Haina)  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Empresa Generadora de Electricidad Haina, S.A. (EGE Haina)  Yes  RI  Reporting Issuer    05/06/2003   
Eve, Patricia  Yes  TR  Registered Representative  Trading  24/06/2005  23/06/2005 
Eve, Patricia  Yes  TR  Registered Representative  Trading  24/06/2005  23/06/2005 
Eve, Patricia  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Eve, Patricia  Yes  TR  Registered Representative  Trading  24/06/2005  23/06/2005 
Eve, Patricia  Yes  TR  Registered Representative  Trading  24/06/2005  23/06/2005 
Fadahunsi, Osu Olayiwola  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Fadahunsi, Osu Olayiwola  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Fadahunsi, Osu Olayiwola  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Fadahunsi, Osu Olayiwola  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Fadahunsi, Osu Olayiwola  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
FCL Financial Limited  Yes  IA  Investment Adviser    16/01/2007  15/01/2008 
FCL Financial Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
FCL Financial Limited  Yes  IA  Investment Adviser    16/01/2007  15/01/2008 
FCL Financial Limited  Yes  IA  Investment Adviser    16/01/2007  15/01/2008 
FCL Financial Limited  Yes  IA  Investment Adviser    16/01/2007  15/01/2008 
Ferguson, Andrew  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  11-Dec-14   
Ferguson, Andrew  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  0000-00-00  0000-00-00 
Ferguson, Andrew  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  11-Dec-14   
Ferguson, Andrew  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  11-Dec-14   
Ferguson, Andrew  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  11-Dec-14   
First Capital Union Financial Brokers Limited  Yes  SC  Broker-Dealer    08-Feb-11  07-Feb-12 
First Capital Union Financial Brokers Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
First Capital Union Financial Brokers Limited  Yes  SC  Broker-Dealer    08-Feb-11  07-Feb-12 
First Capital Union Financial Brokers Limited  Yes  SC  Broker-Dealer    08-Feb-11  07-Feb-12 
First Capital Union Financial Brokers Limited  Yes  SC  Broker-Dealer    08-Feb-11  07-Feb-12 
First Citizens Asset Management Limited  Yes  RI  Reporting Issuer    18/12/1997   
First Citizens Asset Management Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
First Citizens Asset Management Limited  Yes  RI  Reporting Issuer    18/12/1997   
First Citizens Asset Management Limited  Yes  RI  Reporting Issuer    18/12/1997   
First Citizens Asset Management Limited  Yes  SC  Broker-Dealer    10/04/2000  10/04/2006 
First Citizens Asset Management Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
First Citizens Asset Management Limited  Yes  SC  Broker-Dealer    10/04/2000  10/04/2006 
First Citizens Asset Management Limited  Yes  SC  Broker-Dealer    10/04/2000  10/04/2006 
First Citizens Asset Management Limited  Yes  RI  Reporting Issuer    18/12/1997   
First Citizens Asset Management Limited  Yes  SC  Broker-Dealer    10/04/2000  10/04/2006 
First Citizens Bank Limited  Yes  SC  Broker-Dealer    11/01/2008  10/01/2009 
First Citizens Bank Limited  Yes  RI  Reporting Issuer    14/01/1999   
First Citizens Bank Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
First Citizens Bank Limited  Yes  RI  Reporting Issuer    14/01/1999   
First Citizens Bank Limited  Yes  RI  Reporting Issuer    14/01/1999   
First Citizens Bank Limited  Yes  SC  Broker-Dealer    11/01/2008  10/01/2009 
First Citizens Bank Limited  Yes  SC  Broker-Dealer    11/01/2008  10/01/2009 
First Citizens Bank Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
First Citizens Bank Limited  Yes  SC  Broker-Dealer    11/01/2008  10/01/2009 
First Citizens Bank Limited  Yes  RI  Reporting Issuer    14/01/1999   
First Citizens Brokerage and Advisory Services Limited  Yes  SC  Broker-Dealer    07/03/2002  07/03/2006 
First Citizens Brokerage and Advisory Services Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
First Citizens Brokerage and Advisory Services Limited  Yes  SC  Broker-Dealer    07/03/2002  07/03/2006 
First Citizens Brokerage and Advisory Services Limited  Yes  SC  Broker-Dealer    07/03/2002  07/03/2006 
First Citizens Brokerage and Advisory Services Limited  Yes  SC  Broker-Dealer    07/03/2002  07/03/2006 
First Citizens Investment Services Limited  Yes  RI  Reporting Issuer    11-Oct-12   
First Citizens Investment Services Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
First Citizens Investment Services Limited  Yes  RI  Reporting Issuer    11-Oct-12   
First Citizens Investment Services Limited  Yes  SC  Broker-Dealer    27/04/2000  26/04/2006 
First Citizens Investment Services Limited  Yes  RI  Reporting Issuer    11-Oct-12   
First Citizens Investment Services Limited  Yes  SC  Broker-Dealer    27/04/2000  26/04/2006 
First Citizens Investment Services Limited  Yes  SC  Broker-Dealer    27/04/2000  26/04/2006 
First Citizens Investment Services Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
First Citizens Investment Services Limited  Yes  SC  Broker-Dealer    27/04/2000  26/04/2006 
First Citizens Investment Services Limited  Yes  RI  Reporting Issuer    11-Oct-12   
First Citizens Securities Trading Limited  Yes  SC  Broker-Dealer    14/01/1999  04/12/2007 
First Citizens Securities Trading Limited  Yes  SC  Broker-Dealer    14/01/1999  04/12/2007 
First Citizens Securities Trading Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
First Citizens Securities Trading Limited  Yes  SC  Broker-Dealer    14/01/1999  04/12/2007 
First Citizens Securities Trading Limited  Yes  SC  Broker-Dealer    14/01/1999  04/12/2007 
First Global (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    14/07/2005  13/07/2006 
First Global (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    14/07/2005  13/07/2006 
First Global (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
First Global (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    14/07/2005  13/07/2006 
First Global (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    14/07/2005  13/07/2006 
FirstCaribbean International Bank (Bahamas) Limited  Yes  UND  Underwriter    14/06/2006  13/06/2007 
FirstCaribbean International Bank (Bahamas) Limited  Yes  UND  Underwriter    0000-00-00  0000-00-00 
FirstCaribbean International Bank (Bahamas) Limited  Yes  UND  Underwriter    14/06/2006  13/06/2007 
FirstCaribbean International Bank (Bahamas) Limited  Yes  UND  Underwriter    14/06/2006  13/06/2007 
FirstCaribbean International Bank (Bahamas) Limited  Yes  UND  Underwriter    14/06/2006  13/06/2007 
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    07-Jul-14   
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    07-Jul-14   
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    07-Jul-14   
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  IA  Investment Adviser    01/06/2000  31/05/2006 
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    07-Jul-14   
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  IA  Investment Adviser    01/06/2000  31/05/2006 
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  IA  Investment Adviser    01/06/2000  31/05/2006 
FirstCaribbean International Bank (Trinidad & Tobago) Limited  Yes  IA  Investment Adviser    01/06/2000  31/05/2006 
FirstCaribbean International Bank Limited  Yes  RI  Reporting Issuer    24/07/1997   
FirstCaribbean International Bank Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
FirstCaribbean International Bank Limited  Yes  RI  Reporting Issuer    24/07/1997   
FirstCaribbean International Bank Limited  Yes  RI  Reporting Issuer    24/07/1997   
FirstCaribbean International Bank Limited  Yes  RI  Reporting Issuer    24/07/1997   
Firstline Securities Limited  Yes  SC  Broker-Dealer    03/03/2008  02/03/2009 
Firstline Securities Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Firstline Securities Limited  Yes  SC  Broker-Dealer    03/03/2008  02/03/2009 
Firstline Securities Limited  Yes  SC  Broker-Dealer    03/03/2008  02/03/2009 
Firstline Securities Limited  Yes  SC  Broker-Dealer    03/03/2008  02/03/2009 
Flavorite Foods Limited  Yes  RI  Reporting Issuer    24/07/1997   
Flavorite Foods Limited  Yes  RI  Reporting Issuer    24/07/1997   
Flavorite Foods Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Flavorite Foods Limited  Yes  RI  Reporting Issuer    24/07/1997   
Flavorite Foods Limited  Yes  RI  Reporting Issuer    24/07/1997   
Fletcher, Claire Rose  Yes  BR  Registered Representative  Broking  31/12/2010   
Fletcher, Claire Rose  Yes  BR  Registered Representative  Broking  31/12/2010   
Fletcher, Claire Rose  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Fletcher, Claire Rose  Yes  BR  Registered Representative  Broking  31/12/2010   
Fletcher, Claire Rose  Yes  BR  Registered Representative  Broking  31/12/2010   
FNCU Venture Capital Company Limited  Yes  RI  Reporting Issuer    22/02/2001   
FNCU Venture Capital Company Limited  Yes  RI  Reporting Issuer    22/02/2001   
FNCU Venture Capital Company Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
FNCU Venture Capital Company Limited  Yes  RI  Reporting Issuer    22/02/2001   
FNCU Venture Capital Company Limited  Yes  RI  Reporting Issuer    22/02/2001   
Fortress Caribbean High Interest Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Caribbean High Interest Fund Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Fortress Caribbean High Interest Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Caribbean High Interest Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Caribbean High Interest Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Caribbean Property Fund Limited SCC  Yes  RI  Reporting Issuer    08/09/2005   
Fortress Caribbean Property Fund Limited SCC  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Fortress Caribbean Property Fund Limited SCC  Yes  RI  Reporting Issuer    08/09/2005   
Fortress Caribbean Property Fund Limited SCC  Yes  RI  Reporting Issuer    08/09/2005   
Fortress Caribbean Property Fund Limited SCC  Yes  RI  Reporting Issuer    08/09/2005   
Fortress Global Value Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Global Value Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Global Value Fund Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Fortress Global Value Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Global Value Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Mutual Fund Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Fortress Mutual Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Mutual Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Mutual Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Fortress Mutual Fund Limited  Yes  RI  Reporting Issuer    13/05/2010   
Funds International Limited  Yes  IA  Investment Adviser    03/02/2009  02/02/2010 
Funds International Limited  Yes  IA  Investment Adviser    03/02/2009  02/02/2010 
Funds International Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Funds International Limited  Yes  IA  Investment Adviser    03/02/2009  02/02/2010 
Funds International Limited  Yes  IA  Investment Adviser    03/02/2009  02/02/2010 
Furness Trinidad Limited  Yes  RI  Reporting Issuer    24/07/1997   
Furness Trinidad Limited  Yes  RI  Reporting Issuer    24/07/1997   
Furness Trinidad Limited  Yes  RI  Reporting Issuer    24/07/1997   
Furness Trinidad Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Furness Trinidad Limited  Yes  RI  Reporting Issuer    24/07/1997   
Gajadhar, Kerry  Yes  TR  Registered Representative  Trading  08/09/2005  08/09/2006 
Gajadhar, Kerry  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Gajadhar, Kerry  Yes  TR  Registered Representative  Trading  08/09/2005  08/09/2006 
Gajadhar, Kerry  Yes  TR  Registered Representative  Trading  08/09/2005  08/09/2006 
Gajadhar, Kerry  Yes  TR  Registered Representative  Trading  08/09/2005  08/09/2006 
Gatt, Gordon  No  N/A  Registered Representative  Trading  15-Jan-14   
Gatt, Gordon  No  N/A  Registered Representative  Trading  15-Jan-14   
Gatt, Gordon  No  N/A  Registered Representative  Trading  0000-00-00  0000-00-00 
Gatt, Gordon  No  N/A  Registered Representative  Trading  15-Jan-14   
Gatt, Gordon  No  N/A  Registered Representative  Trading  15-Jan-14   
General Finance Corporation Limited  Yes  SC  Broker-Dealer    22/02/2001  21/02/2008 
General Finance Corporation Limited  Yes  SC  Broker-Dealer    22/02/2001  21/02/2008 
General Finance Corporation Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
General Finance Corporation Limited  Yes  SC  Broker-Dealer    22/02/2001  21/02/2008 
General Finance Corporation Limited  Yes  SC  Broker-Dealer    22/02/2001  21/02/2008 
Ghanny, Rianna Sarah  Yes  TR  Registered Representative  Trading  01/02/2008  31/01/2009 
Ghanny, Rianna Sarah  Yes  TR  Registered Representative  Trading  01/02/2008  31/01/2009 
Ghanny, Rianna Sarah  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Ghanny, Rianna Sarah  Yes  TR  Registered Representative  Trading  01/02/2008  31/01/2009 
Ghanny, Rianna Sarah  Yes  TR  Registered Representative  Trading  01/02/2008  31/01/2009 
Global Financial Brokers Limited  Yes  IA  Investment Adviser    19/03/1998  04/12/2007 
Global Financial Brokers Limited  Yes  IA  Investment Adviser    19/03/1998  04/12/2007 
Global Financial Brokers Limited  Yes  IA  Investment Adviser    19/03/1998  04/12/2007 
Global Financial Brokers Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Global Financial Brokers Limited  Yes  IA  Investment Adviser    19/03/1998  04/12/2007 
Goolcharan, Vishal  Yes  IA  Investment Adviser    12/01/2010  11/01/2011 
Goolcharan, Vishal  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Goolcharan, Vishal  Yes  IA  Investment Adviser    12/01/2010  11/01/2011 
Goolcharan, Vishal  Yes  IA  Investment Adviser    12/01/2010  11/01/2011 
Goolcharan, Vishal  Yes  IA  Investment Adviser    12/01/2010  11/01/2011 
Gosein, Godfrey  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Gosein, Godfrey  Yes  BR  Registered Representative  Broking  10/05/2007  09/05/2008 
Gosein, Godfrey  Yes  BR  Registered Representative  Broking  10/05/2007  09/05/2008 
Gosein, Godfrey  Yes  BR  Registered Representative  Broking  10/05/2007  09/05/2008 
Gosein, Godfrey  Yes  BR  Registered Representative  Broking  10/05/2007  09/05/2008 
GraceKennedy (Trinidad and Tobago) Limited  No  N/A  Broker-Dealer    17-Oct-13   
GraceKennedy (Trinidad and Tobago) Limited  No  N/A  Broker-Dealer    17-Oct-13   
GraceKennedy (Trinidad and Tobago) Limited  No  N/A  Broker-Dealer    0000-00-00  0000-00-00 
GraceKennedy (Trinidad and Tobago) Limited  No  N/A  Broker-Dealer    17-Oct-13   
GraceKennedy (Trinidad and Tobago) Limited  No  N/A  Broker-Dealer    17-Oct-13   
GraceKennedy Limited  Yes  RI  Reporting Issuer    26/11/1998   
GraceKennedy Limited  Yes  RI  Reporting Issuer    26/11/1998   
GraceKennedy Limited  Yes  RI  Reporting Issuer    26/11/1998   
GraceKennedy Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
GraceKennedy Limited  Yes  RI  Reporting Issuer    26/11/1998   
Gransaull, Michael  Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Gransaull, Michael  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Gransaull, Michael  Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Gransaull, Michael  Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Gransaull, Michael  Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Guardian Asset Management and Investment Services Limited  Yes  RI  Reporting Issuer    16-Nov-12   
Guardian Asset Management and Investment Services Limited  Yes  SC  Broker-Dealer    30-Sep-11  29-Sep-12 
Guardian Asset Management and Investment Services Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Guardian Asset Management and Investment Services Limited  Yes  SC  Broker-Dealer    30-Sep-11  29-Sep-12 
Guardian Asset Management and Investment Services Limited  Yes  SC  Broker-Dealer    30-Sep-11  29-Sep-12 
Guardian Asset Management and Investment Services Limited  Yes  RI  Reporting Issuer    16-Nov-12   
Guardian Asset Management and Investment Services Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Guardian Asset Management and Investment Services Limited  Yes  RI  Reporting Issuer    16-Nov-12   
Guardian Asset Management and Investment Services Limited  Yes  RI  Reporting Issuer    16-Nov-12   
Guardian Asset Management and Investment Services Limited  Yes  SC  Broker-Dealer    30-Sep-11  29-Sep-12 
Guardian Asset Management Limited  Yes  SC  Broker-Dealer    20/07/2006  19/07/2007 
Guardian Asset Management Limited  Yes  SC  Broker-Dealer    20/07/2006  19/07/2007 
Guardian Asset Management Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Guardian Asset Management Limited  Yes  SC  Broker-Dealer    20/07/2006  19/07/2007 
Guardian Asset Management Limited  Yes  SC  Broker-Dealer    20/07/2006  19/07/2007 
Guardian Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Guardian Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Guardian Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Guardian Holdings Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Guardian Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Guardian Life of the Caribbean Limited  Yes  IA  Investment Adviser    13/10/2005  12/10/2006 
Guardian Life of the Caribbean Limited  Yes  IA  Investment Adviser    13/10/2005  12/10/2006 
Guardian Life of the Caribbean Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Guardian Life of the Caribbean Limited  Yes  IA  Investment Adviser    13/10/2005  12/10/2006 
Guardian Life of the Caribbean Limited  Yes  IA  Investment Adviser    13/10/2005  12/10/2006 
Guardian Media Limited (formerly Trinidad Publishing Company Limited)  Yes  RI  Reporting Issuer    11/08/1997   
Guardian Media Limited (formerly Trinidad Publishing Company Limited)  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Guardian Media Limited (formerly Trinidad Publishing Company Limited)  Yes  RI  Reporting Issuer    11/08/1997   
Guardian Media Limited (formerly Trinidad Publishing Company Limited)  Yes  RI  Reporting Issuer    11/08/1997   
Guardian Media Limited (formerly Trinidad Publishing Company Limited)  Yes  RI  Reporting Issuer    11/08/1997   
Hepburn, Karrian  Yes  BR  Registered Representative  Broking  26-Jul-11  25-Jul-12 
Hepburn, Karrian  Yes  BR  Registered Representative  Broking  26-Jul-11  25-Jul-12 
Hepburn, Karrian  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Hepburn, Karrian  Yes  BR  Registered Representative  Broking  26-Jul-11  25-Jul-12 
Hepburn, Karrian  Yes  BR  Registered Representative  Broking  26-Jul-11  25-Jul-12 
Hinkson, Duane  No  N/A  Registered Representative  Investment Advising, Underwriting  07-Jul-14   
Hinkson, Duane  No  N/A  Registered Representative  Investment Advising, Underwriting  07-Jul-14   
Hinkson, Duane  No  N/A  Registered Representative  Investment Advising, Underwriting  0000-00-00  0000-00-00 
Hinkson, Duane  No  N/A  Registered Representative  Investment Advising, Underwriting  07-Jul-14   
Hinkson, Duane  No  N/A  Registered Representative  Investment Advising, Underwriting  07-Jul-14   
Hoy Sing Loy, Ameen  Yes  BR  Registered Representative  Broking  14/08/2009  13/08/2010 
Hoy Sing Loy, Ameen  Yes  BR  Registered Representative  Broking  14/08/2009  13/08/2010 
Hoy Sing Loy, Ameen  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Hoy Sing Loy, Ameen  Yes  BR  Registered Representative  Broking  14/08/2009  13/08/2010 
Hoy Sing Loy, Ameen  Yes  BR  Registered Representative  Broking  14/08/2009  13/08/2010 
Husain, Haroon  Yes  IA  Investment Adviser    28-Jun-11  27-Jun-11 
Husain, Haroon  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Husain, Haroon  Yes  IA  Investment Adviser    28-Jun-11  27-Jun-11 
Husain, Haroon  Yes  IA  Investment Adviser    28-Jun-11  27-Jun-11 
Husain, Haroon  Yes  IA  Investment Adviser    28-Jun-11  27-Jun-11 
Husain, Syed Samie  Yes  BR  Broker-Dealer  Broking  14/07/2008  13/07/2009 
Husain, Syed Samie  Yes  BR  Broker-Dealer  Broking  0000-00-00  0000-00-00 
Husain, Syed Samie  Yes  BR  Broker-Dealer  Broking  14/07/2008  13/07/2009 
Husain, Syed Samie  Yes  BR  Broker-Dealer  Broking  14/07/2008  13/07/2009 
Husain, Syed Samie  Yes  BR  Broker-Dealer  Broking  14/07/2008  13/07/2009 
Infinity Financial Engineering Limited  Yes  IA  Investment Adviser    13-Mar-12  12-Mar-13 
Infinity Financial Engineering Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Infinity Financial Engineering Limited  Yes  IA  Investment Adviser    13-Mar-12  12-Mar-13 
Infinity Financial Engineering Limited  Yes  IA  Investment Adviser    13-Mar-12  12-Mar-13 
Infinity Financial Engineering Limited  Yes  IA  Investment Adviser    13-Mar-12  12-Mar-13 
Inniss-Bernard, Judy  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Inniss-Bernard, Judy  Yes  TR  Registered Representative  Trading  18/01/2013  17/01/2014 
Inniss-Bernard, Judy  Yes  TR  Registered Representative  Trading  18/01/2013  17/01/2014 
Inniss-Bernard, Judy  Yes  TR  Registered Representative  Trading  18/01/2013  17/01/2014 
Inniss-Bernard, Judy  Yes  TR  Registered Representative  Trading  18/01/2013  17/01/2014 
Intercommercial Bank Limited  Yes  RI  Reporting Issuer    28/10/1999   
Intercommercial Bank Limited  Yes  SC  Broker-Dealer    01/07/2010   
Intercommercial Bank Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Intercommercial Bank Limited  Yes  SC  Broker-Dealer    01/07/2010   
Intercommercial Bank Limited  Yes  SC  Broker-Dealer    01/07/2010   
Intercommercial Bank Limited  Yes  RI  Reporting Issuer    28/10/1999   
Intercommercial Bank Limited  Yes  SC  Broker-Dealer    01/07/2010   
Intercommercial Bank Limited  Yes  RI  Reporting Issuer    28/10/1999   
Intercommercial Bank Limited  Yes  RI  Reporting Issuer    28/10/1999   
Intercommercial Bank Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Intercommercial Trust & Merchant Bank Limited  Yes  SC  Broker-Dealer    23/03/2009  22/03/2010 
Intercommercial Trust & Merchant Bank Limited  Yes  SC  Broker-Dealer    23/03/2009  22/03/2010 
Intercommercial Trust & Merchant Bank Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Intercommercial Trust & Merchant Bank Limited  Yes  SC  Broker-Dealer    23/03/2009  22/03/2010 
Intercommercial Trust & Merchant Bank Limited  Yes  SC  Broker-Dealer    23/03/2009  22/03/2010 
International Wealth and Investment Network Limited  Yes  IA  Investment Adviser    14/06/2006  14/06/2012 
International Wealth and Investment Network Limited  Yes  IA  Investment Adviser    14/06/2006  14/06/2012 
International Wealth and Investment Network Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
International Wealth and Investment Network Limited  Yes  IA  Investment Adviser    14/06/2006  14/06/2012 
International Wealth and Investment Network Limited  Yes  IA  Investment Adviser    14/06/2006  14/06/2012 
Involve Financial Limited  Yes  IA  Investment Adviser    14/07/2009  13/07/2010 
Involve Financial Limited  Yes  IA  Investment Adviser    14/07/2009  13/07/2010 
Involve Financial Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Involve Financial Limited  Yes  IA  Investment Adviser    14/07/2009  13/07/2010 
Involve Financial Limited  Yes  IA  Investment Adviser    14/07/2009  13/07/2010 
Jamaica Money Market Brokers Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Jamaica Money Market Brokers Limited  Yes  RI  Reporting Issuer    19/12/2002   
Jamaica Money Market Brokers Limited  Yes  RI  Reporting Issuer    19/12/2002   
Jamaica Money Market Brokers Limited  Yes  RI  Reporting Issuer    19/12/2002   
Jamaica Money Market Brokers Limited  Yes  RI  Reporting Issuer    19/12/2002   
Jamaica Public Service Company  Yes  RI  Reporting Issuer    02/10/2003   
Jamaica Public Service Company  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Jamaica Public Service Company  Yes  RI  Reporting Issuer    02/10/2003   
Jamaica Public Service Company  Yes  RI  Reporting Issuer    02/10/2003   
Jamaica Public Service Company  Yes  RI  Reporting Issuer    02/10/2003   
Jamaica Select Index Fund Limited  Yes  RI  Reporting Issuer    04/07/2005  04/07/2009 
Jamaica Select Index Fund Limited  Yes  RI  Reporting Issuer    04/07/2005  04/07/2009 
Jamaica Select Index Fund Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Jamaica Select Index Fund Limited  Yes  RI  Reporting Issuer    04/07/2005  04/07/2009 
Jamaica Select Index Fund Limited  Yes  RI  Reporting Issuer    04/07/2005  04/07/2009 
JMMB Group Limited  No  N/A  Reporting Issuer    04-Mar-15   
JMMB Group Limited  No  N/A  Reporting Issuer    04-Mar-15   
JMMB Group Limited  No  N/A  Reporting Issuer    0000-00-00  0000-00-00 
JMMB Group Limited  No  N/A  Reporting Issuer    04-Mar-15   
JMMB Group Limited  No  N/A  Reporting Issuer    04-Mar-15   
JMMB Investments (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    06-Jun-12  05-Jun-12 
JMMB Investments (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
JMMB Investments (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    06-Jun-12  05-Jun-12 
JMMB Investments (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    06-Jun-12  05-Jun-12 
JMMB Investments (Trinidad and Tobago) Limited  Yes  SC  Broker-Dealer    06-Jun-12  05-Jun-12 
Johnson, Alvin  Yes  BR  Registered Representative  Broking  13/11/1997  04/12/2007 
Johnson, Alvin  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Johnson, Alvin  Yes  BR  Registered Representative  Broking  13/11/1997  04/12/2007 
Johnson, Alvin  Yes  BR  Registered Representative  Broking  13/11/1997  04/12/2007 
Johnson, Alvin  Yes  BR  Registered Representative  Broking  13/11/1997  04/12/2007 
Julien Jason  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Julien Jason  Yes  TR  Registered Representative  Trading  01/07/2010   
Julien Jason  Yes  TR  Registered Representative  Trading  01/07/2010   
Julien Jason  Yes  TR  Registered Representative  Trading  01/07/2010   
Julien Jason  Yes  TR  Registered Representative  Trading  01/07/2010   
KCL Capital Market Brokers Limited  Yes  SC  Broker-Dealer    06/06/2012  05/06/2012 
KCL Capital Market Brokers Limited  Yes  SC  Broker-Dealer    06/06/2012  05/06/2012 
KCL Capital Market Brokers Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
KCL Capital Market Brokers Limited  Yes  SC  Broker-Dealer    06/06/2012  05/06/2012 
KCL Capital Market Brokers Limited  Yes  SC  Broker-Dealer    06/06/2012  05/06/2012 
Kerr, Janella  No  N/A  Registered Representative  Dealing, Investment Advising  12-Sep-14   
Kerr, Janella  No  N/A  Registered Representative  Dealing, Investment Advising  12-Sep-14   
Kerr, Janella  No  N/A  Registered Representative  Dealing, Investment Advising  0000-00-00  0000-00-00 
Kerr, Janella  No  N/A  Registered Representative  Dealing, Investment Advising  12-Sep-14   
Kerr, Janella  No  N/A  Registered Representative  Dealing, Investment Advising  12-Sep-14   
Khan, Dale  Yes  BR  Registered Representative  Broking  31/12/2009  30/12/2010 
Khan, Dale  Yes  BR  Registered Representative  Broking  31/12/2009  30/12/2010 
Khan, Dale  Yes  BR  Registered Representative  Broking  31/12/2009  30/12/2010 
Khan, Dale  Yes  BR  Registered Representative  Broking  31/12/2009  30/12/2010 
Khan, Dale  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Khodai, Keshwar  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Khodai, Keshwar  Yes  BR  Registered Representative  Broking  24/01/2008  23/01/2009 
Khodai, Keshwar  Yes  BR  Registered Representative  Broking  24/01/2008  23/01/2009 
Khodai, Keshwar  Yes  BR  Registered Representative  Broking  24/01/2008  23/01/2009 
Khodai, Keshwar  Yes  BR  Registered Representative  Broking  24/01/2008  23/01/2009 
KSBM Asset Management Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
KSBM Asset Management Limited  Yes  SC  Broker-Dealer    19/03/2010  18/03/2011 
KSBM Asset Management Limited  Yes  SC  Broker-Dealer    19/03/2010  18/03/2011 
KSBM Asset Management Limited  Yes  SC  Broker-Dealer    19/03/2010  18/03/2011 
KSBM Asset Management Limited  Yes  SC  Broker-Dealer    19/03/2010  18/03/2011 
L.J. Williams Limited  Yes  RI  Reporting Issuer    24/07/1997  24/07/2008 
L.J. Williams Limited  Yes  RI  Reporting Issuer    24/07/1997  24/07/2008 
L.J. Williams Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
L.J. Williams Limited  Yes  RI  Reporting Issuer    24/07/1997  24/07/2008 
L.J. Williams Limited  Yes  RI  Reporting Issuer    24/07/1997  24/07/2008 
La Brea Industrial Development Company Limited  Yes  RI  Reporting Issuer    07/12/2004   
La Brea Industrial Development Company Limited  Yes  RI  Reporting Issuer    07/12/2004   
La Brea Industrial Development Company Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
La Brea Industrial Development Company Limited  Yes  RI  Reporting Issuer    07/12/2004   
La Brea Industrial Development Company Limited  Yes  RI  Reporting Issuer    07/12/2004   
Lashley, Maria  Yes  BR  Registered Representative  Broking  13/12/2007  12/12/2008 
Lashley, Maria  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Lashley, Maria  Yes  BR  Registered Representative  Broking  13/12/2007  12/12/2008 
Lashley, Maria  Yes  BR  Registered Representative  Broking  13/12/2007  12/12/2008 
Lashley, Maria  Yes  BR  Registered Representative  Broking  13/12/2007  12/12/2008 
Leggard, Kaffi  No  N/A  Registered Representative  Trading  15-Jan-14   
Leggard, Kaffi  No  N/A  Registered Representative  Trading  0000-00-00  0000-00-00 
Leggard, Kaffi  No  N/A  Registered Representative  Trading  15-Jan-14   
Leggard, Kaffi  No  N/A  Registered Representative  Trading  15-Jan-14   
Leggard, Kaffi  No  N/A  Registered Representative  Trading  15-Jan-14   
Leons, Keron  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Leons, Keron  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Leons, Keron  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Leons, Keron  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Leons, Keron  Yes  TR  Registered Representative  Trading  17/11/2009  16/11/2010 
Life Settlements Funds Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Life Settlements Funds Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Life Settlements Funds Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Life Settlements Funds Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Life Settlements Funds Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Mahabirsingh, Sherma  Yes  TR  Registered Representative  Trading  14/11/2008  13/11/2009 
Mahabirsingh, Sherma  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Mahabirsingh, Sherma  Yes  TR  Registered Representative  Trading  14/11/2008  13/11/2009 
Mahabirsingh, Sherma  Yes  TR  Registered Representative  Trading  14/11/2008  13/11/2009 
Mahabirsingh, Sherma  Yes  TR  Registered Representative  Trading  14/11/2008  13/11/2009 
Maharaj, Kerri  No  N/A  Investment Adviser  Investment Advsing  03-Feb-15   
Maharaj, Kerri  No  N/A  Investment Adviser  Investment Advsing  0000-00-00  0000-00-00 
Maharaj, Kerri  No  N/A  Investment Adviser  Investment Advsing  03-Feb-15   
Maharaj, Kerri  No  N/A  Investment Adviser  Investment Advsing  03-Feb-15   
Maharaj, Kerri  No  N/A  Investment Adviser  Investment Advsing  03-Feb-15   
Maharaj, Varun  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Maharaj, Varun  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Maharaj, Varun  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Maharaj, Varun  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Maharaj, Varun  Yes  BR  Registered Representative  Broking  11/10/2007  10/10/2008 
Manmohan, Adrian  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Manmohan, Adrian  Yes  BR  Registered Representative  Broking  11/04/2006  10/04/2007 
Manmohan, Adrian  Yes  BR  Registered Representative  Broking  11/04/2006  10/04/2007 
Manmohan, Adrian  Yes  BR  Registered Representative  Broking  11/04/2006  10/04/2007 
Manmohan, Adrian  Yes  BR  Registered Representative  Broking  11/04/2006  10/04/2007 
Manulife Investment Exchange Funds Corp  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Manulife Investment Exchange Funds Corp  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Manulife Investment Exchange Funds Corp  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Manulife Investment Exchange Funds Corp  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Manulife Investment Exchange Funds Corp  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Marcus, Kriss  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  07-Jul-14   
Marcus, Kriss  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  07-Jul-14   
Marcus, Kriss  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  07-Jul-14   
Marcus, Kriss  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  07-Jul-14   
Marcus, Kriss  No  N/A  Registered Representative  Dealing, Investment Advising, Underwriting  0000-00-00  0000-00-00 
Maritime Capital Limited  No  N/A  Broker-Dealer  Dealing, Investment Advising, Underwriting  0000-00-00  0000-00-00 
Maritime Capital Limited  No  N/A  Broker-Dealer  Dealing, Investment Advising, Underwriting  09-May-13   
Maritime Capital Limited  No  N/A  Broker-Dealer  Dealing, Investment Advising, Underwriting  09-May-13   
Maritime Capital Limited  No  N/A  Broker-Dealer  Dealing, Investment Advising, Underwriting  09-May-13   
Maritime Capital Limited  No  N/A  Broker-Dealer  Dealing, Investment Advising, Underwriting  09-May-13   
Marquis Portfolio Managers Limited  Yes  IA  Investment Adviser    11/06/2007  10/06/2008 
Marquis Portfolio Managers Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Marquis Portfolio Managers Limited  Yes  IA  Investment Adviser    11/06/2007  10/06/2008 
Marquis Portfolio Managers Limited  Yes  IA  Investment Adviser    11/06/2007  10/06/2008 
Marquis Portfolio Managers Limited  Yes  IA  Investment Adviser    11/06/2007  10/06/2008 
Martineau, Dan  No  N/A  Registered Representative  Broking  17/10/2013  13/01/2009 
Martineau, Dan  No  N/A  Registered Representative  Broking  0000-00-00  0000-00-00 
Martineau, Dan  No  N/A  Registered Representative  Broking  17/10/2013  13/01/2009 
Martineau, Dan  No  N/A  Registered Representative  Broking  17/10/2013  13/01/2009 
Martineau, Dan  No  N/A  Registered Representative  Broking  17/10/2013  13/01/2009 
Massy Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Massy Holdings Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Massy Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Massy Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Massy Holdings Limited  Yes  RI  Reporting Issuer    24/07/1997   
Mayers, Robert  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Mayers, Robert  Yes  BR  Registered Representative  Broking  16/06/2009  15/06/2010 
Mayers, Robert  Yes  BR  Registered Representative  Broking  16/06/2009  15/06/2010 
Mayers, Robert  Yes  BR  Registered Representative  Broking  16/06/2009  15/06/2010 
Mayers, Robert  Yes  BR  Registered Representative  Broking  16/06/2009  15/06/2010 
Mega Insurance Company Limited  Yes  RI  Reporting Issuer    17/12/1998   
Mega Insurance Company Limited  Yes  RI  Reporting Issuer    17/12/1998   
Mega Insurance Company Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Mega Insurance Company Limited  Yes  RI  Reporting Issuer    17/12/1998   
Mega Insurance Company Limited  Yes  RI  Reporting Issuer    17/12/1998   
Melville, Cecila  Yes  TR  Registered Representative  Trading  11/10/2007  10/10/2008 
Melville, Cecila  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Melville, Cecila  Yes  TR  Registered Representative  Trading  11/10/2007  10/10/2008 
Melville, Cecila  Yes  TR  Registered Representative  Trading  11/10/2007  10/10/2008 
Melville, Cecila  Yes  TR  Registered Representative  Trading  11/10/2007  10/10/2008 
Mitchell, Eva  No  N/A  Registered Representative  Trading  17-Oct-13   
Mitchell, Eva  No  N/A  Registered Representative  Trading  17-Oct-13   
Mitchell, Eva  No  N/A  Registered Representative  Trading  0000-00-00  0000-00-00 
Mitchell, Eva  No  N/A  Registered Representative  Trading  17-Oct-13   
Mitchell, Eva  No  N/A  Registered Representative  Trading  17-Oct-13   
Mohammed, Shaun  Yes  TR  Registered Representative  Trading  08/05/2015   
Mohammed, Shaun  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Mohammed, Shaun  Yes  TR  Registered Representative  Trading  08/05/2015   
Mohammed, Shaun  Yes  TR  Registered Representative  Trading  08/05/2015   
Mohammed, Shaun  Yes  TR  Registered Representative  Trading  08/05/2015   
Mondial (Trinidad) Limited  Yes  IA  Investment Adviser    05/12/2003  04/12/2004 
Mondial (Trinidad) Limited  Yes  IA  Investment Adviser    05/12/2003  04/12/2004 
Mondial (Trinidad) Limited  Yes  IA  Investment Adviser    05/12/2003  04/12/2004 
Mondial (Trinidad) Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Mondial (Trinidad) Limited  Yes  IA  Investment Adviser    05/12/2003  04/12/2004 
Montes, Francisco  Yes  BR  Broker-Dealer  Broking  16/08/2007  15/08/2008 
Montes, Francisco  Yes  BR  Broker-Dealer  Broking  0000-00-00  0000-00-00 
Montes, Francisco  Yes  BR  Broker-Dealer  Broking  16/08/2007  15/08/2008 
Montes, Francisco  Yes  BR  Broker-Dealer  Broking  16/08/2007  15/08/2008 
Montes, Francisco  Yes  BR  Broker-Dealer  Broking  16/08/2007  15/08/2008 
Mooteram, Charissa  No  N/A  Registered Representative  Trading  25/11/2013  08/02/2011 
Mooteram, Charissa  No  N/A  Registered Representative  Trading  25/11/2013  08/02/2011 
Mooteram, Charissa  No  N/A  Registered Representative  Trading  0000-00-00  0000-00-00 
Mooteram, Charissa  No  N/A  Registered Representative  Trading  25/11/2013  08/02/2011 
Mooteram, Charissa  No  N/A  Registered Representative  Trading  25/11/2013  08/02/2011 
Mora Ven Holdings Limited  Yes  RI  Reporting Issuer    27/10/1997   
Mora Ven Holdings Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Mora Ven Holdings Limited  Yes  RI  Reporting Issuer    27/10/1997   
Mora Ven Holdings Limited  Yes  RI  Reporting Issuer    27/10/1997   
Mora Ven Holdings Limited  Yes  RI  Reporting Issuer    27/10/1997   
Mottley, Wendell  Yes  IA  Investment Adviser    10/05/2007  09/05/2008 
Mottley, Wendell  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Mottley, Wendell  Yes  IA  Investment Adviser    10/05/2007  09/05/2008 
Mottley, Wendell  Yes  IA  Investment Adviser    10/05/2007  09/05/2008 
Mottley, Wendell  Yes  IA  Investment Adviser    10/05/2007  09/05/2008 
Mullings, Donavan  Yes  BR  Registered Representative  Broking  10/02/2000  04/12/2005 
Mullings, Donavan  Yes  BR  Registered Representative  Broking  10/02/2000  04/12/2005 
Mullings, Donavan  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Mullings, Donavan  Yes  BR  Registered Representative  Broking  10/02/2000  04/12/2005 
Mullings, Donavan  Yes  BR  Registered Representative  Broking  10/02/2000  04/12/2005 
Murphy Clarke Financial Limited  Yes  SC  Broker-Dealer    09/12/2010   
Murphy Clarke Financial Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Murphy Clarke Financial Limited  Yes  SC  Broker-Dealer    09/12/2010   
Murphy Clarke Financial Limited  Yes  SC  Broker-Dealer    09/12/2010   
Murphy Clarke Financial Limited  Yes  SC  Broker-Dealer    09/12/2010   
Murray, Scott  No  N/A  Registered Representative  Trading  13-Jun-13   
Murray, Scott  No  N/A  Registered Representative  Trading  13-Jun-13   
Murray, Scott  No  N/A  Registered Representative  Trading  0000-00-00  0000-00-00 
Murray, Scott  No  N/A  Registered Representative  Trading  13-Jun-13   
Murray, Scott  No  N/A  Registered Representative  Trading  13-Jun-13   
Murray, Scott  No  N/A  Registered Representative  Trading  13-Jun-13   
Murray, Scott  No  N/A  Registered Representative  Trading  0000-00-00  0000-00-00 
Murray, Scott  No  N/A  Registered Representative  Trading  13-Jun-13   
Murray, Scott  No  N/A  Registered Representative  Trading  13-Jun-13   
Murray, Scott  No  N/A  Registered Representative  Trading  13-Jun-13   
Narine, Ian  No  N/A  Registered Representative  Broking  01/10/2014   
Narine, Ian  No  N/A  Registered Representative  Broking  01/10/2014   
Narine, Ian  No  N/A  Registered Representative  Broking  0000-00-00  0000-00-00 
Narine, Ian  No  N/A  Registered Representative  Broking  01/10/2014   
Narine, Ian  No  N/A  Registered Representative  Broking  01/10/2014   
National Commercial Bank Jamaica Limited  Yes  RI  Reporting Issuer    22/05/2003   
National Commercial Bank Jamaica Limited  Yes  RI  Reporting Issuer    22/05/2003   
National Commercial Bank Jamaica Limited  Yes  RI  Reporting Issuer    22/05/2003   
National Commercial Bank Jamaica Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
National Commercial Bank Jamaica Limited  Yes  RI  Reporting Issuer    22/05/2003   
National Enterprises Limited  Yes  RI  Reporting Issuer    18/01/2001   
National Enterprises Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
National Enterprises Limited  Yes  RI  Reporting Issuer    18/01/2001   
National Enterprises Limited  Yes  RI  Reporting Issuer    18/01/2001   
National Enterprises Limited  Yes  RI  Reporting Issuer    18/01/2001   
National Flour Mills Limited  Yes  RI  Reporting Issuer    27/06/1997   
National Flour Mills Limited  Yes  RI  Reporting Issuer    27/06/1997   
National Flour Mills Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
National Flour Mills Limited  Yes  RI  Reporting Issuer    27/06/1997   
National Flour Mills Limited  Yes  RI  Reporting Issuer    27/06/1997   
National Infrastructure Development Company Limited  Yes  RI  Reporting Issuer    12/08/2009  12/08/2010 
National Infrastructure Development Company Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
National Infrastructure Development Company Limited  Yes  RI  Reporting Issuer    12/08/2009  12/08/2010 
National Infrastructure Development Company Limited  Yes  RI  Reporting Issuer    12/08/2009  12/08/2010 
National Infrastructure Development Company Limited  Yes  RI  Reporting Issuer    12/08/2009  12/08/2010 
National Insurance Property Development Company Limited  Yes  RI  Reporting Issuer    15/04/2004   
National Insurance Property Development Company Limited  Yes  RI  Reporting Issuer    15/04/2004   
National Insurance Property Development Company Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
National Insurance Property Development Company Limited  Yes  RI  Reporting Issuer    15/04/2004   
National Insurance Property Development Company Limited  Yes  RI  Reporting Issuer    15/04/2004   
National Maintenance Training and Security Company Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
National Maintenance Training and Security Company Limited  Yes  RI  Reporting Issuer    27/04/2000   
National Maintenance Training and Security Company Limited  Yes  RI  Reporting Issuer    27/04/2000   
National Maintenance Training and Security Company Limited  Yes  RI  Reporting Issuer    27/04/2000   
National Maintenance Training and Security Company Limited  Yes  RI  Reporting Issuer    27/04/2000   
Nestle Trinidad and Tobago Limited  Yes  RI  Reporting Issuer    20/09/2001   
Nestle Trinidad and Tobago Limited  Yes  RI  Reporting Issuer    20/09/2001   
Nestle Trinidad and Tobago Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Nestle Trinidad and Tobago Limited  Yes  RI  Reporting Issuer    20/09/2001   
Nestle Trinidad and Tobago Limited  Yes  RI  Reporting Issuer    20/09/2001   
O' Brien, Anna  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
O' Brien, Anna  Yes  TR  Registered Representative  Trading  18-Jan-13  17-Jan-14 
O' Brien, Anna  Yes  TR  Registered Representative  Trading  18-Jan-13  17-Jan-14 
O' Brien, Anna  Yes  TR  Registered Representative  Trading  18-Jan-13  17-Jan-14 
O' Brien, Anna  Yes  TR  Registered Representative  Trading  18-Jan-13  17-Jan-14 
One Caribbean Media Limited  Yes  RI  Reporting Issuer    11/08/1997   
One Caribbean Media Limited  Yes  RI  Reporting Issuer    11/08/1997   
One Caribbean Media Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
One Caribbean Media Limited  Yes  RI  Reporting Issuer    11/08/1997   
One Caribbean Media Limited  Yes  RI  Reporting Issuer    11/08/1997   
Padmore, Winston  Yes  BR  Broker-Dealer  Broking  24/10/1997  04/12/2007 
Padmore, Winston  Yes  BR  Broker-Dealer  Broking  0000-00-00  0000-00-00 
Padmore, Winston  Yes  BR  Broker-Dealer  Broking  24/10/1997  04/12/2007 
Padmore, Winston  Yes  BR  Broker-Dealer  Broking  24/10/1997  04/12/2007 
Padmore, Winston  Yes  BR  Broker-Dealer  Broking  24/10/1997  04/12/2007 
Pan Caribbean Asset Management Limited  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Pan Caribbean Asset Management Limited  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Pan Caribbean Asset Management Limited  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Pan Caribbean Asset Management Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Pan Caribbean Asset Management Limited  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Pariagh, Edgar  Yes  BR  Registered Representative  Broking  16/02/2006  15/02/2007 
Pariagh, Edgar  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Pariagh, Edgar  Yes  BR  Registered Representative  Broking  16/02/2006  15/02/2007 
Pariagh, Edgar  Yes  BR  Registered Representative  Broking  16/02/2006  15/02/2007 
Pariagh, Edgar  Yes  BR  Registered Representative  Broking  16/02/2006  15/02/2007 
Perreira, Marc  Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Perreira, Marc  Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Perreira, Marc  Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Perreira, Marc  Yes  TR  Registered Representative  Trading  26-Jul-12  25-Jul-13 
Perreira, Marc  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Persad, Michelle  Yes  BR  Registered Representative  Broking  13-Mar-12  12-Mar-13 
Persad, Michelle  Yes  BR  Registered Representative  Broking  13-Mar-12  12-Mar-13 
Persad, Michelle  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Persad, Michelle  Yes  BR  Registered Representative  Broking  13-Mar-12  12-Mar-13 
Persad, Michelle  Yes  BR  Registered Representative  Broking  13-Mar-12  12-Mar-13 
Point Lisas Industrial Port Development Corporation Limited  Yes  RI  Reporting Issuer    24/07/1997   
Point Lisas Industrial Port Development Corporation Limited  Yes  RI  Reporting Issuer    24/07/1997   
Point Lisas Industrial Port Development Corporation Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Point Lisas Industrial Port Development Corporation Limited  Yes  RI  Reporting Issuer    24/07/1997   
Point Lisas Industrial Port Development Corporation Limited  Yes  RI  Reporting Issuer    24/07/1997   
Port Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    25/01/2001   
Port Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Port Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    25/01/2001   
Port Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    25/01/2001   
Port Authority of Trinidad and Tobago  Yes  RI  Reporting Issuer    25/01/2001   
Prestige Holdings Limited  Yes  RI  Reporting Issuer    28/01/1999   
Prestige Holdings Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Prestige Holdings Limited  Yes  RI  Reporting Issuer    28/01/1999   
Prestige Holdings Limited  Yes  RI  Reporting Issuer    28/01/1999   
Prestige Holdings Limited  Yes  RI  Reporting Issuer    28/01/1999   
Public Transport Service Corporation  Yes  RI  Reporting Issuer    29/04/1999   
Public Transport Service Corporation  Yes  RI  Reporting Issuer    29/04/1999   
Public Transport Service Corporation  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Public Transport Service Corporation  Yes  RI  Reporting Issuer    29/04/1999   
Public Transport Service Corporation  Yes  RI  Reporting Issuer    29/04/1999   
Quan Soon, Ian  Yes  IA  Investment Adviser    10/03/2009  09/03/2010 
Quan Soon, Ian  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Quan Soon, Ian  Yes  IA  Investment Adviser    10/03/2009  09/03/2010 
Quan Soon, Ian  Yes  IA  Investment Adviser    10/03/2009  09/03/2010 
Quan Soon, Ian  Yes  IA  Investment Adviser    10/03/2009  09/03/2010 
Rahaman, Hassan Philip  No  N/A  Registered Representative  Broking  01/05/2013   
Rahaman, Hassan Philip  No  N/A  Registered Representative  Broking  01/05/2013   
Rahaman, Hassan Philip  No  N/A  Registered Representative  Broking  0000-00-00  0000-00-00 
Rahaman, Hassan Philip  No  N/A  Registered Representative  Broking  01/05/2013   
Rahaman, Hassan Philip  No  N/A  Registered Representative  Broking  01/05/2013   
Ramkhelawan, Sarodh  Yes  BR  Registered Representative  Broking  19/02/2011  18/02/2012 
Ramkhelawan, Sarodh  Yes  BR  Registered Representative  Broking  19/02/2011  18/02/2012 
Ramkhelawan, Sarodh  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Ramkhelawan, Sarodh  Yes  BR  Registered Representative  Broking  19/02/2011  18/02/2012 
Ramkhelawan, Sarodh  Yes  BR  Registered Representative  Broking  19/02/2011  18/02/2012 
Ramkhelawan, Subhas  Yes  BR  Registered Representative  Broking  24/10/1997  12/04/2005 
Ramkhelawan, Subhas  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Ramkhelawan, Subhas  Yes  BR  Registered Representative  Broking  24/10/1997  12/04/2005 
Ramkhelawan, Subhas  Yes  BR  Registered Representative  Broking  24/10/1997  12/04/2005 
Ramkhelawan, Subhas  Yes  BR  Registered Representative  Broking  24/10/1997  12/04/2005 
Ramlogan, Rawle  No  N/A  Registered Representative  Dealing, Underwriting  17-Oct-13   
Ramlogan, Rawle  No  N/A  Registered Representative  Dealing, Underwriting  0000-00-00  0000-00-00 
Ramlogan, Rawle  No  N/A  Registered Representative  Dealing, Underwriting  17-Oct-13   
Ramlogan, Rawle  No  N/A  Registered Representative  Dealing, Underwriting  17-Oct-13   
Ramlogan, Rawle  No  N/A  Registered Representative  Dealing, Underwriting  17-Oct-13   
Ramnath-Singh, Gail  Yes  TR  Registered Representative  Trading  07/11/1997  04/12/2007 
Ramnath-Singh, Gail  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Ramnath-Singh, Gail  Yes  TR  Registered Representative  Trading  07/11/1997  04/12/2007 
Ramnath-Singh, Gail  Yes  TR  Registered Representative  Trading  07/11/1997  04/12/2007 
Ramnath-Singh, Gail  Yes  TR  Registered Representative  Trading  07/11/1997  04/12/2007 
Ramroop, Diana  Yes  TR  Registered Representative  Trading  24-Mar-11  23-Mar-12 
Ramroop, Diana  Yes  TR  Registered Representative  Trading  24-Mar-11  23-Mar-12 
Ramroop, Diana  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Ramroop, Diana  Yes  TR  Registered Representative  Trading  24-Mar-11  23-Mar-12 
Ramroop, Diana  Yes  TR  Registered Representative  Trading  24-Mar-11  23-Mar-12 
Ramsaran, Anrika  No  N/A  Registered Representative  Trading  25-Nov-13   
Ramsaran, Anrika  No  N/A  Registered Representative  Trading  0000-00-00  0000-00-00 
Ramsaran, Anrika  No  N/A  Registered Representative  Trading  25-Nov-13   
Ramsaran, Anrika  No  N/A  Registered Representative  Trading  25-Nov-13   
Ramsaran, Anrika  No  N/A  Registered Representative  Trading  25-Nov-13   
RBC Financial (Caribbean) Limited  Yes  RI  Reporting Issuer    30/07/2010   
RBC Financial (Caribbean) Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
RBC Financial (Caribbean) Limited  Yes  RI  Reporting Issuer    30/07/2010   
RBC Financial (Caribbean) Limited  Yes  RI  Reporting Issuer    30/07/2010   
RBC Financial (Caribbean) Limited  Yes  RI  Reporting Issuer    30/07/2010   
RBC Holdings (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    04/03/2008  03/03/2009 
RBC Holdings (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
RBC Holdings (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    04/03/2008  03/03/2009 
RBC Holdings (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    04/03/2008  03/03/2009 
RBC Holdings (Trinidad and Tobago) Limited  Yes  RI  Reporting Issuer    04/03/2008  03/03/2009 
RBC Investment Management (Caribbean) Limited  Yes  IA  Investment Adviser    02/10/2003  01/10/2004 
RBC Investment Management (Caribbean) Limited  Yes  IA  Investment Adviser    02/10/2003  01/10/2004 
RBC Investment Management (Caribbean) Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
RBC Investment Management (Caribbean) Limited  Yes  IA  Investment Adviser    02/10/2003  01/10/2004 
RBC Investment Management (Caribbean) Limited  Yes  IA  Investment Adviser    02/10/2003  01/10/2004 
RBC Merchant Bank (Caribbean) Limited  Yes  SC  Broker-Dealer    14/08/2009  13/08/2010 
RBC Merchant Bank (Caribbean) Limited  Yes  RI  Reporting Issuer    10/06/1999   
RBC Merchant Bank (Caribbean) Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
RBC Merchant Bank (Caribbean) Limited  Yes  RI  Reporting Issuer    10/06/1999   
RBC Merchant Bank (Caribbean) Limited  Yes  RI  Reporting Issuer    10/06/1999   
RBC Merchant Bank (Caribbean) Limited  Yes  SC  Broker-Dealer    14/08/2009  13/08/2010 
RBC Merchant Bank (Caribbean) Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
RBC Merchant Bank (Caribbean) Limited  Yes  SC  Broker-Dealer    14/08/2009  13/08/2010 
RBC Merchant Bank (Caribbean) Limited  Yes  SC  Broker-Dealer    14/08/2009  13/08/2010 
RBC Merchant Bank (Caribbean) Limited  Yes  RI  Reporting Issuer    10/06/1999   
RBC Royal Bank (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    24/07/1997   
RBC Royal Bank (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    24/07/1997   
RBC Royal Bank (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
RBC Royal Bank (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    24/07/1997   
RBC Royal Bank (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    24/07/1997   
RBTT Bank Barbados Limited  Yes  RI  Reporting Issuer    13/07/2000   
RBTT Bank Barbados Limited  Yes  RI  Reporting Issuer    13/07/2000   
RBTT Bank Barbados Limited  Yes  RI  Reporting Issuer    13/07/2000   
RBTT Bank Barbados Limited  Yes  RI  Reporting Issuer    13/07/2000   
RBTT Bank Barbados Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
RBTT Finance Limited  Yes  RI  Reporting Issuer    05/12/2005   
RBTT Finance Limited  Yes  RI  Reporting Issuer    05/12/2005   
RBTT Finance Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
RBTT Finance Limited  Yes  RI  Reporting Issuer    05/12/2005   
RBTT Finance Limited  Yes  RI  Reporting Issuer    05/12/2005   
RBTT Financial Holdings Limited  Yes  RI  Reporting Issuer    30/07/1998   
RBTT Financial Holdings Limited  Yes  RI  Reporting Issuer    30/07/1998   
RBTT Financial Holdings Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
RBTT Financial Holdings Limited  Yes  RI  Reporting Issuer    30/07/1998   
RBTT Financial Holdings Limited  Yes  RI  Reporting Issuer    30/07/1998   
Readymix (West Indies) Limited  Yes  RI  Reporting Issuer    24/07/1997   
Readymix (West Indies) Limited  Yes  RI  Reporting Issuer    24/07/1997   
Readymix (West Indies) Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Readymix (West Indies) Limited  Yes  RI  Reporting Issuer    24/07/1997   
Readymix (West Indies) Limited  Yes  RI  Reporting Issuer    24/07/1997   
RegistrantName  Reg  Reg  RegistrantTypeunderSA2012  AuthorizedActivities  RegisterDate  ExpireDate 
RegistrantName  Reg  Reg  RegistrantTypeunderSA2012  AuthorizedActivities  RegisterDate  ExpireDate 
Republic Bank Limited  Yes  RI  Reporting Issuer    18/09/2000   
Republic Bank Limited  Yes  RI  Reporting Issuer    18/09/2000   
Republic Bank Limited  Yes  SC  Broker-Dealer    27/10/1997  04/12/2004 
Republic Bank Limited  Yes  RI  Reporting Issuer    18/09/2000   
Republic Bank Limited  Yes  SC  Broker-Dealer    27/10/1997  04/12/2004 
Republic Bank Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Republic Bank Limited  Yes  SC  Broker-Dealer    27/10/1997  04/12/2004 
Republic Bank Limited  Yes  SC  Broker-Dealer    27/10/1997  04/12/2004 
Republic Bank Limited  Yes  RI  Reporting Issuer    18/09/2000   
Republic Bank Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Republic Finance and Merchant Bank Limited  Yes  RI  Reporting Issuer    10-Nov-05   
Republic Finance and Merchant Bank Limited  Yes  SC  Broker-Dealer    28/11/1997  04/12/2004 
Republic Finance and Merchant Bank Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Republic Finance and Merchant Bank Limited  Yes  SC  Broker-Dealer    28/11/1997  04/12/2004 
Republic Finance and Merchant Bank Limited  Yes  SC  Broker-Dealer    28/11/1997  04/12/2004 
Republic Finance and Merchant Bank Limited  Yes  RI  Reporting Issuer    10-Nov-05   
Republic Finance and Merchant Bank Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Republic Finance and Merchant Bank Limited  Yes  RI  Reporting Issuer    10-Nov-05   
Republic Finance and Merchant Bank Limited  Yes  RI  Reporting Issuer    10-Nov-05   
Republic Finance and Merchant Bank Limited  Yes  SC  Broker-Dealer    28/11/1997  04/12/2004 
Republic Securities Limited (Formerly Reliance Stockbrokers Limited)  Yes  SC  Broker-Dealer    09/01/2013  04/12/2005 
Republic Securities Limited (Formerly Reliance Stockbrokers Limited)  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Republic Securities Limited (Formerly Reliance Stockbrokers Limited)  Yes  SC  Broker-Dealer    09/01/2013  04/12/2005 
Republic Securities Limited (Formerly Reliance Stockbrokers Limited)  Yes  SC  Broker-Dealer    09/01/2013  04/12/2005 
Republic Securities Limited (Formerly Reliance Stockbrokers Limited)  Yes  SC  Broker-Dealer    09/01/2013  04/12/2005 
Republic Wealth Management Limited  No  N/A  Investment Adviser    18-Dec-13   
Republic Wealth Management Limited  No  N/A  Investment Adviser    0000-00-00  0000-00-00 
Republic Wealth Management Limited  No  N/A  Investment Adviser    18-Dec-13   
Republic Wealth Management Limited  No  N/A  Investment Adviser    18-Dec-13   
Republic Wealth Management Limited  No  N/A  Investment Adviser    18-Dec-13   
Roberts, Steve  No  N/A  Registered Representative  Investment Advising  18-Dec-13   
Roberts, Steve  No  N/A  Registered Representative  Investment Advising  18-Dec-13   
Roberts, Steve  No  N/A  Registered Representative  Investment Advising  0000-00-00  0000-00-00 
Roberts, Steve  No  N/A  Registered Representative  Investment Advising  18-Dec-13   
Roberts, Steve  No  N/A  Registered Representative  Investment Advising  18-Dec-13   
Royal Bank of Canada  Yes  RI  Reporting Issuer    01/02/2008  31/01/2009 
Royal Bank of Canada  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Royal Bank of Canada  Yes  RI  Reporting Issuer    01/02/2008  31/01/2009 
Royal Bank of Canada  Yes  RI  Reporting Issuer    01/02/2008  31/01/2009 
Royal Bank of Canada  Yes  RI  Reporting Issuer    01/02/2008  31/01/2009 
Royal Skandia Life Assurance Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Royal Skandia Life Assurance Limited  Yes  RI  Reporting Issuer    22/02/2001   
Royal Skandia Life Assurance Limited  Yes  RI  Reporting Issuer    22/02/2001   
Royal Skandia Life Assurance Limited  Yes  RI  Reporting Issuer    22/02/2001   
Royal Skandia Life Assurance Limited  Yes  RI  Reporting Issuer    22/02/2001   
Ruby Wealth Management Limited  Yes  IA  Investment Adviser    08-Jun-11  07-Jun-12 
Ruby Wealth Management Limited  Yes  IA  Investment Adviser    0000-00-00  0000-00-00 
Ruby Wealth Management Limited  Yes  IA  Investment Adviser    08-Jun-11  07-Jun-12 
Ruby Wealth Management Limited  Yes  IA  Investment Adviser    08-Jun-11  07-Jun-12 
Ruby Wealth Management Limited  Yes  IA  Investment Adviser    08-Jun-11  07-Jun-12 
Sabga, Nigel A  No  N/A  Registered Representative  Trading  0000-00-00  0000-00-00 
Sabga, Nigel A  No  N/A  Registered Representative  Trading  17-Oct-13   
Sabga, Nigel A  No  N/A  Registered Representative  Trading  17-Oct-13   
Sabga, Nigel A  No  N/A  Registered Representative  Trading  17-Oct-13   
Sabga, Nigel A  No  N/A  Registered Representative  Trading  17-Oct-13   
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    13/01/2010  12/01/2011 
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    13/01/2010  12/01/2011 
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    13/01/2010  12/01/2011 
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  SC  Broker-Dealer    13/01/2010  12/01/2011 
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Sagicor Asset Management (Trinidad & Tobago) Limited  Yes  RI  Reporting Issuer    09/11/2006  08/11/2007 
Sagicor Financial Corporation  Yes  RI  Reporting Issuer    19/12/2002   
Sagicor Financial Corporation  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Sagicor Financial Corporation  Yes  RI  Reporting Issuer    19/12/2002   
Sagicor Financial Corporation  Yes  RI  Reporting Issuer    19/12/2002   
Sagicor Financial Corporation  Yes  RI  Reporting Issuer    19/12/2002   
Sagicor Funds Incorporated  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Sagicor Funds Incorporated  Yes  RI  Reporting Issuer    11/04/2006  11/04/2007 
Sagicor Funds Incorporated  Yes  RI  Reporting Issuer    11/04/2006  11/04/2007 
Sagicor Funds Incorporated  Yes  RI  Reporting Issuer    11/04/2006  11/04/2007 
Sagicor Funds Incorporated  Yes  RI  Reporting Issuer    11/04/2006  11/04/2007 
Sagicor Life Inc.  Yes  SC  Broker-Dealer    12/01/2006  11/01/2007 
Sagicor Life Inc.  Yes  SC  Broker-Dealer    12/01/2006  11/01/2007 
Sagicor Life Inc.  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Sagicor Life Inc.  Yes  SC  Broker-Dealer    12/01/2006  11/01/2007 
Sagicor Life Inc.  Yes  SC  Broker-Dealer    12/01/2006  11/01/2007 
Salloum, Christiane  Yes  TR  Registered Representative  Trading  11/12/2012  10/12/2013 
Salloum, Christiane  Yes  TR  Registered Representative  Trading  11/12/2012  10/12/2013 
Salloum, Christiane  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Salloum, Christiane  Yes  TR  Registered Representative  Trading  11/12/2012  10/12/2013 
Salloum, Christiane  Yes  TR  Registered Representative  Trading  11/12/2012  10/12/2013 
Salvary, Brent  Yes  BR  Registered Representative  Broking  0000-00-00  0000-00-00 
Salvary, Brent  Yes  BR  Registered Representative  Broking  19/01/2011  18/01/2012 
Salvary, Brent  Yes  BR  Registered Representative  Broking  19/01/2011  18/01/2012 
Salvary, Brent  Yes  BR  Registered Representative  Broking  19/01/2011  18/01/2012 
Salvary, Brent  Yes  BR  Registered Representative  Broking  19/01/2011  18/01/2012 
Sammy, Indira  Yes  TR  Registered Representative  Trading  06/05/2009  05/05/2010 
Sammy, Indira  Yes  TR  Registered Representative  Trading  06/05/2009  05/05/2010 
Sammy, Indira  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Sammy, Indira  Yes  TR  Registered Representative  Trading  06/05/2009  05/05/2010 
Sammy, Indira  Yes  TR  Registered Representative  Trading  06/05/2009  05/05/2010 
Savary, Hilary  Yes  TR  Registered Representative  Trading  18/11/1999  17/02/2006 
Savary, Hilary  Yes  TR  Registered Representative  Trading  0000-00-00  0000-00-00 
Savary, Hilary  Yes  TR  Registered Representative  Trading  18/11/1999  17/02/2006 
Savary, Hilary  Yes  TR  Registered Representative  Trading  18/11/1999  17/02/2006 
Savary, Hilary  Yes  TR  Registered Representative  Trading  18/11/1999  17/02/2006 
Schroder International Selection Fund  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Schroder International Selection Fund  Yes  RI  Reporting Issuer    07-Apr-11   
Schroder International Selection Fund  Yes  RI  Reporting Issuer    07-Apr-11   
Schroder International Selection Fund  Yes  RI  Reporting Issuer    07-Apr-11   
Schroder International Selection Fund  Yes  RI  Reporting Issuer    07-Apr-11   
Schroder Investment Management (Luxembourg) S.A.  Yes  RI  Reporting Issuer    30/11/2007  29/11/2008 
Schroder Investment Management (Luxembourg) S.A.  Yes  RI  Reporting Issuer    30/11/2007  29/11/2008 
Schroder Investment Management (Luxembourg) S.A.  Yes  RI  Reporting Issuer    30/11/2007  29/11/2008 
Schroder Investment Management (Luxembourg) S.A.  Yes  RI  Reporting Issuer    30/11/2007  29/11/2008 
Schroder Investment Management (Luxembourg) S.A.  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Scotia DB&G Caribbean Income Fund Inc  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Scotia DB&G Caribbean Income Fund Inc  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Scotia DB&G Caribbean Income Fund Inc  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Scotia DB&G Caribbean Income Fund Inc  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Scotia DB&G Caribbean Income Fund Inc  Yes  RI  Reporting Issuer    15/11/2007  14/11/2008 
Scotia Investments Jamaica Limited  Yes  RI  Reporting Issuer    09/09/2004   
Scotia Investments Jamaica Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Scotia Investments Jamaica Limited  Yes  RI  Reporting Issuer    09/09/2004   
Scotia Investments Jamaica Limited  Yes  RI  Reporting Issuer    09/09/2004   
Scotia Investments Jamaica Limited  Yes  RI  Reporting Issuer    09/09/2004   
Scotia Investments Trinidad and Tobago Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Scotia Investments Trinidad and Tobago Limited  Yes  SC  Broker-Dealer    26/05/2008  25/05/2009 
Scotia Investments Trinidad and Tobago Limited  Yes  SC  Broker-Dealer    26/05/2008  25/05/2009 
Scotia Investments Trinidad and Tobago Limited  Yes  SC  Broker-Dealer    26/05/2008  25/05/2009 
Scotia Investments Trinidad and Tobago Limited  Yes  SC  Broker-Dealer    26/05/2008  25/05/2009 
Scotiabank Global Partners Balanced Growth Portfolio Inc.  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Global Partners Balanced Growth Portfolio Inc.  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Global Partners Balanced Income Portfolio Inc.  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Global Partners Balanced Income Portfolio Inc.  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Global Partners Growth Portfolio Inc.  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Global Partners Growth Portfolio Inc.  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Global Partners Income and Conservative Growth Portfolio I  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Global Partners Income and Conservative Growth Portfolio I  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Global Partners Income Portfolio Inc.  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Global Partners Income Portfolio Inc.  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Short-Term Income Fund Inc.  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Short-Term Income Fund Inc.  No  N/A  Reporting Issuer    25-Jun-15   
Scotiabank Trinidad & Tobago Limited  Yes  RI  Reporting Issuer    0000-00-00  0000-00-00 
Scotiabank Trinidad & Tobago Limited  Yes  RI  Reporting Issuer    27/06/1997  03/01/2006 
Scotiabank Trinidad & Tobago Limited  Yes  RI  Reporting Issuer    27/06/1997  03/01/2006 
Scotiabank Trinidad & Tobago Limited  Yes  SC  Broker-Dealer    27/06/1997  04/12/2003 
Scotiabank Trinidad & Tobago Limited  Yes  SC  Broker-Dealer    0000-00-00  0000-00-00 
Scotiabank Trinidad & Tobago Limited  Yes  SC  Broker-Dealer    27/06/1997  04/12/2003 
Scotiabank Trinidad & Tobago Limited  Yes  SC  Broker-Dealer    27/06/1997  04/12/2003 
Scotiabank Trinidad & Tobago Limited  Yes  RI  Reporting Issuer    27/06/1997  03/01/2006 
Scotiabank Trinidad & Tobago Limited  Yes  SC  Broker-Dealer    27/06/1997  04/12/2003