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Author Archives: Nicole Bachan

Berger Paints Trinidad Limited Order to De-register

In the Matter of an Application by Berger Paints Trinidad Limited for de-registration as a Reporting Issuer pursuant to Section 71(1)(b) of the Securities Act, Chap 83:02 of the Laws of the Republic of Trinidad and Tobago (“the Act”)   Berger Paints Trinidad Limited Order to De-register – 2020.04.24

Nicole Bachan •24 Apr 2020Orders de-registration, order, TTSEC

Order re: Exemption Order Mondial (Trinidad) Limited

In The Matter of Sections 51(1) (a), 155(1A) (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   …

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Nicole Bachan •24 Apr 2020Orders, Uncategorized Exemption Order, Mondial, TTSEC

Deregistration Order re: Furness Trinidad Limited

THE REPUBLIC OF TRINIDAD AND TOBAGO IN THE MATTER OF AN APPLICATION FOR DE-REGISTRATION UNDER SECTIONS 155(1A) (e) AND 159 OF THE SECURITIES ACT, CHAPTER 83:02 OF THE LAWS OF THE REPUBLIC OF TRINIDAD AND TOBAGO Between THE STAFF OF THE TRINIDAD AND TOBAGO SECURITIES EXCHANGE COMMISSION Applicant And FURNESS …

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Nicole Bachan •24 Apr 2020Orders deregistration, Furness, Furness Trinidad Limited, order, TTSEC

Order re: De-registration Order Caroni 1975

In The Matter of Sections 71(1)(b) and 159(10) of the Securities Act, Chap 83:02 of the Laws of the Republic of Trinidad and Tobago (the “Securities Act”) and In the Matter of an Application for a Declaration that Caroni (1975) Limited is no longer a Reporting Issuer   De registration …

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Nicole Bachan •24 Apr 2020Orders Caroni 1975, de-registration, order

Order Re: Berger Paints Trinidad Limited De-registration

In the Matter of an Application by Berger Paints Trinidad Limited for de-registration as a Reporting Issuer pursuant to Section 71(1)(b) of the Securities Act, Chap 83:02 of the Laws of the Republic of Trinidad and Tobago (“the Act”)   Berger Paints Trinidad Limited Order to De-register – 2020.04.24

Nicole Bachan •24 Apr 2020Orders Berger Paints Trinidad Limited, Order De-registration, TTSEC

Order Re: Scotia De-Registration

In the Matter of an Application for the de-registration of the Scotia Short-Term Fund Inc. as a Reporting Issuer and Collective Investment Scheme pursuant to Section 71(1) (b) and 155 (1A) (e) of the Securities Act, Chap 83:02 of the Laws of the Republic of Trinidad and Tobago (the “Act”) …

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Nicole Bachan •24 Apr 2020Orders Order Deregistration, Scotia

Order re: Deregistration Readymix (West Indies) Limited

In the Matter of Sections 71(1) (b) and 159 (1) of the Securities Act, Chap. 83:02 of the Laws of the Republic of Trinidad and Tobago  And  In the Matter of an Application by Readymix (West Indies) Limited for the Commission to declare that it is de-registered from the register …

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Nicole Bachan •23 Apr 2020Orders deregistration, Readymix (West Indies) Limited, TTSEC

Order re: Exemption Order Nigel Clewitt

In the Matter of Sections 51 (1), 155 (1A)(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 Nigel Clewett, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer   Nigel …

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Nicole Bachan •23 Apr 2020Orders Exemption Order, Nigel Clewitt, TTSEC

Order re: Conditional Deregistration Readymix (West Indies) Limited

In the Matter of Sections 71(1) (b) and 159 (1) of the Securities Act, Chap. 83:02 of the Laws of the Republic of Trinidad and Tobago  And  In the Matter of an Application by Readymix (West Indies) Limited for the Commission to declare that it is de-registered from the register …

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Nicole Bachan •23 Apr 2020Orders Conditional Deregistration, order, Readymix (West Indies) Limited, TTSEC

Investment Advisers vs. Broker-Dealers (Part 1)

Over the years market actors have been evolving their products and services to keep abreast of changes in the market, and to meet the increasing demands of investors. While each market actor has a distinct role, the Trinidad and Tobago Securities and Exchange Commission (“TTSEC”) has taken note that the …

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Nicole Bachan •22 Apr 2020Published Articles Broker Dealers, Investment Advisers, TTSEC
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    TTSEC

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