The Trinidad and Tobago Securities and Exchange Commission (“the Commission”) refers to Regulation 4(2) of the Financial Obligations Regulations 2010 (as amended) (“FOR”) and Guidelines 6(8), (9) and (10) of the Commission’s Anti-Money Laundering and Counter Financing of Terrorism (“AML/CFT”) Guidelines for the Securities Sector regarding the approval of the Compliance Officer. Reference is also made to Regulation 3(9) and Regulation 3(11) of the FOR in respect of the designation and where applicable, the approval of the alternate Compliance Officers.
This notification is issued to advise registrants of the process to be followed when submitting applications for approval of the Compliance Officer and designation and/or approval of the alternate Compliance Officer for registrants regulated by more than one Supervisory Authority.
Read more – Circular Letter – Process of Approval of Compliance Officer -Dual Entities 25-Nov-24