In the Matter of Section 40 of the Securities Act, 2012 And In the matter of an application by the Trinidad and Tobago Stock Exchange Limited for the addition of Rule 400(2) [Special Market Listing Requirements] and Rule 700s [Small and Medium Enterprises Mentorship Rules] to its Rules Read …
In the Matter of the Contravention of Section 63(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47(c) of the Securities (General) By-Laws 2015 By Scotia Global Equity Fund Contravention Order re Scotia Canadian Equity Fund – $145,000
In the Matter of Section 40 of the Securities Act, 2012 AND In the Matter of an Application by the Trinidad and Tobago Stock Exchange Limited for the addition of Rule 400(2) [Special Market Listing Requirements] and Rule 700s [Small and Medium Enterprises Mentorship Rules] to its Rules. Read …
In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Mondial (Trinidad) Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer Exemption Order …
In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Mondial (Trinidad) Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer Exemption Order …
In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Aspire Fund Management Company Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer …
In the Matter of the Contravention of Section 63(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47(c) of the Securities (General) By-Laws 2015 By Scotia US Equity Fund Contravention Order re Scotia US Equity Fund – $145,000
In the Matter of the Contravention of Section 63(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47(c) of the Securities (General) By-Laws, 2015 By Scotia US Dollar Fund Contravention Order re Scotia US Dollar Fund – $145,000
In the Matter of the Contravention of Sections 63(a) of Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47(c) of the Securities (General) By-Law 2015 By Scotia Money Market Fund Contravention Order re Scotia Money Market Fund- $145,000
In The Matter of the Contravention of Sections 63 (a) of Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47 (c) of the Securities (General) By-Law 2015 By Scotia Canadian Equity Fund Contravention Order re Scotia Canadian Equity Fund – $145,000
