CIRCULAR LETTER ISSUED TO
BROKER DEALERS, UNDERWRITERS, INVESTMENT ADVISERS
REGISTERED UNDER SECTION 51(1) OF THE SECURITIES ACT, CHAP 83:02
The Trinidad and Tobago Securities and Exchange Commission (“the Commission”) issues this Circular
Letter to persons registered under section 51(1) of the Securities Act, Chapter 83:02 (“the Act”). In
accordance with its functions under section 6(i) of the Act, the Commission is required to ensure
compliance with the Proceeds of Crime Act, the Anti-Terrorism Act and the Economic Sanctions Act or
Orders made thereunder as they relate to proliferation financing, and any other written anti-money
laundering (“AML”) laws administered by the Commission.