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Author Archives: Nicole Bachan

Order for Settlement re Scotiabank Short-Term Income Fund Inc.

In The Matter of the Contravention of Section 63(a) of the Securities Act Chap. 83:02 and By-Law 47(c) of the Securities (General) By-Laws 2015 by Scotiabank Short-Term Income Fund Inc. Contravention Order Scotiabank Short-Term Income Fund Annual Report

Nicole Bachan •25 Nov 2016Contraventions, Orders, Orders (Contraventions) contravention, order, Scotiabank Short-Term Income Fund, TTSEC

Order for Settlement re Scotia Investments Jamaica Limited

In The Matter of the Contravention of section 64(1)(a) of the Securities Act, 2012 Chapter 83:02 by Scotia Investments Jamaica Limited Contravention Order Scotia Investments Jamaica Ltd for failure to file MCR

Nicole Bachan •25 Nov 2016Contraventions, Orders, Orders (Contraventions) contravention, order, Scotia Investments Jamaica Limited, TTSEC

Order for Settlement re Scotiabank Trinidad and Tobago Growth Fund Inc.

In The Matter of the Contravention of Section 61(2) of the Securities Act Chap. 83:02 by Scotiabank Trinidad and Tobago Growth Fund Inc. Contravention Order Scotia Growth Fund

Nicole Bachan •25 Nov 2016Contraventions, Orders, Orders (Contraventions) contravention, order, Scotia Growth Fund, TTSEC

Order for Settlement re Scotiabank Trinidad and Tobago Fixed Income Fund Inc.

In The Matter of the Contravention of Section 61(2) of the Securities Act Chap. 83:02 by Scotiabank Trinidad and Tobago Fixed Income Fund Inc. Contravention Order Scotia Fixed Income Fund

Nicole Bachan •25 Nov 2016Contraventions, Orders, Orders (Contraventions) contravention, order, Scotiabank, TTSEC

Order for Settlement re Sheldon Sylvester Late Filing of Form 22

In The Matter of the Contravention of Section 136(1) of the Securities Act, Chapter 83:02 by Sheldon Sylvester Contravention Order TTNGL Late Filing Form 22 Sheldon Sylvester

Nicole Bachan •25 Nov 2016Contraventions, Orders, Orders (Contraventions) contravention, orders, TTNGL, TTSEC

Order for Settlement re Capital Markets Elites Group Limited

In The Matter of the Contravention of By-Law 39(1) of the Securities (General) By-Laws 2015 by Capital Markets Elites Group Limited Contravention Order Capital Markets Elites Group Limited

Nicole Bachan •25 Nov 2016Contraventions, Orders, Orders (Contraventions), Uncategorized Capital Markets Elites Group Limited, contravention, Order. TTSEC

Circular Letter 2 – Implementation of Micro-Macro Prudential Reporting Framework (MMRF)

Implementation of the Micro-Macro Prudential Reporting Framework (MMRF) Circular Letter Implementation of MMRF

Nicole Bachan •18 Nov 2016Circular Letters Circular Letter, MMRF, TTSEC

Protecting the Integrity of the Securities Markets

TTSEC 16th quarterly newsletter SEC Quarterly Newsletter Issue #16

Nicole Bachan •16 Nov 2016Market Newsletter Issue #16, Market Newsletter, TTSEC

Order Re: Delisting of Scotiabank’s 5.5 and 6.5 year Bonds due 2017 and 2018 respectively

In the Matter of Section 45(1) of the Securities Act, 2012 And In the Matter of an Application by the Trinidad and Tobago Stock Exchange Limited To De-list Scotiabank Trinidad and Tobago Limited’s (a) TT$500M, 5.5 year 4.15% Fixed Rate Bond Due February 15th, 2017; and (b) TT$300M, 6.5 year …

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Nicole Bachan •8 Nov 2016Orders bond, delisting, order, Scotiabank, TTSEC

Order Re: Delisting of GORTT’s 8-year Bond due November 2014

In the Matter of Section 45(1) of the Securities Act 2012 And In the Matter of an Application by the Trinidad and Tobago Stock Exchange Limited to De-List the Government of the Republic of Trinidad and Tobago Eight (8) year 8.00% Fixed Rate Bond Due November 30th 2014 Order for …

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Nicole Bachan •8 Nov 2016Orders bond, delisting, GORTT, order, TTSEC
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    TTSEC

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