Registered Individuals and Companies

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

 

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