Market Activity Report – June 2011
Market Activity Report June 2011.pdf
Orders (Contraventions)
Order for settlement re Dynamic Equity Venture Fund Limited April 2011
In the Matter of Contraventions of Section 66 (3) of the Securities Industry Act, 1995
By Dynamic Equity Venture Fund Limited
Orders (Contraventions)
Order for settlement re First Citizens Asset Management Limited
In The Matter of a Contravention of Section 66(1) (a) of the Securities Industry Act Chap. 83:02 (\”the Act\”)By First Citizens Asset Management Limited
Orders (Contraventions)
Order 2 for settlement re Scotia DBG Investments Limited
In The Matter of a Contravention of
Section 64 (3) of the Securities Industry Act, 1995 By Scotia DBG Investments Limited
Orders (Contraventions)
Orders for settlement re Scotia DBG Caribbean Income Fund Inc.
In The Matter of a Contravention of
Section 66 (1) (a) of the Securities Industry Act, 1995 By Scotia DBG Caribbean Income Fund Inc.
Orders (Contraventions)
Order 1 for settlement re Scotia DBG Investments Limited
In The Matter of a Contravention of
Section 66 (2) of the Securities Industry Act, 1995 And By-Law 55 (1) of the Securities Industry By-Laws, 1997
By Scotia DBG Investments Limited
Orders (Contraventions)
Order for settlement re La Brea Industrial Development Company Limited
In The Matter of a Contravention of
Section 64 (3) of the Securities Industry Act, 1995 By La Brea Industrial Development Company Limited
Media Releases
TTSEC obtains Judgment in case involving Securities Laws violations
The Trinidad and Tobago Securities and Exchange Commission (“TTSEC”) recorded a landmark victory last week when High Court Judge Madame Justice Judith Jones handed down her ruling in a case brought by the TTSEC against Lawrence Cole, Alpha Savings and Trust Ltd. and others.
Notices
Decision in High Court matter re TTSEC vs Lawrence Cole et al
Having investigated complaints from investors regarding the actions of Lawrence Cole, Alpha Savings and Trust Ltd., Flagship Financial Investments Co-operatives the TTSEC has received a judgement in the High Court against the defendants