CEO’s Opening Remarks- Virtual Media Sensitisation Session
Opening Remarks- Media Sensitisation Session 24.02.21
Author Archives: Nicole Bachan
MARKET MANIPULATION A GUIDE TO SPOT ‘TRICKY TRADERS’
The Trinidad and Tobago Securities and Exchange Commission (TTSEC) must at all times remain vigilant against entities and individuals who may wish to use unscrupulous means to deprive investors of their hard-earned money. This week, we hone in on the area of market misconduct or wrongdoing, and the Commission’s zero …
TTSEC Hosts Virtual Media Sensitisation Session
Media Release – TTSEC Hosts Virtual Media Sensitisation Session
Principles Underpinning Corporate Governance
Corporate governance has been on the agenda of policymakers and practitioners for quite a long time; particularly in the early 2000s, following a number of high-profile corporate failures, such as Enron and WorldCom, partially due to shortcomings in the governance of these entities. Kirkpatrick (2009) points out that the global …
Market Conduct – What is expected from Registrants?
We are already into the second month of the year, and persons may at this time be implementing their financial goals. One way to reach those financial goals may be through investing in equities, debt securities (such as bonds) and mutual funds. This week, we focus on the types of …
The Importance of Ethics in the Securities Industry – The Role of Registrants Pt. 2
In last week’s article, we briefly discussed various types of unethical practices in the financial sector and the advantages businesses gain from not engaging in such activities. This week we continue the discussion by outlining some of the ways in which Registrants can institute an ethical culture within their organisations …
Importance of Ethics in the Securities Industry
Ethics is crucial to the viability of capital markets. Without it, exists the potential to incapacitate the growth and development of the securities industry. Over the years, securities markets around the world have been plagued with a myriad of cases of professionals utilising wrongful business practices to defraud clients, employers …
Public Access to Documents
The global financial crisis of 2008 underscored the need for greater emphasis on strengthening investor protection mechanisms by incorporating safety measures into securities regulatory frameworks. The Securities Act 2012 (SA 2012) enables the Trinidad and Tobago Securities and Exchange Commission (TTSEC)) to protect investors through enhanced: (1) Information on disclosure …
Mutual Funds: Fixed NAV vs Floating NAV
As we embark on another new year, one of the more common resolutions is not only to increase our level of savings, but also to develop additional sources of wealth and revenue generation. The securities market presents many different options for individuals to achieve these goals with products such as …
Impact of COVID-19 on T&T’s Equity and Mutual Fund Markets
We have reached the end of a particularly challenging year. Most countries continue to grapple with the consequences of COVID-19 which crippled many industries, particularly in Travel and Tourism. Since the imposition of public health regulations and restrictions on movement (otherwise referred to as ‘lock down’ measures) to contain the …