The Trinidad and Tobago Securities and Exchange Commission (\”the Commission\”) will hold a Hearing pursuant to section 134 of the Securities Industry Act, 1995 (\”the Act\”), at the Eastern Credit Union La Joya Auditorium, Eastern Main Road, St Joseph on the 15th day of December, 2006, at 10:00 a.m.
The Trinidad and Tobago Securities and Exchange Commission (\”the Commission\”) has confirmed that a foreign national, Mr. Ramy Ghattas an employee or agent of Bear, Stearns & Co. Inc. (\”Bear Stearns\”), has on a number of occasions visited and conducted business of a securities nature in the Republic of Trinidad and Tobago.
Senior members of staff of the Trinidad and Tobago Securities and Exchange Commission (\”the Commission\”) joined their counterparts from the region at the third annual conference of the Caribbean Group of Securities Regulators (CGSR)
GUIDELINES ON SHARE REPURCHASES PURSUANT TO THE COMPANIES ACT 1995 AND THE SECURITIES INDUSTRY
(TAKE-OVER) BY-LAWS, 2005
Issued in accordance with section 6(b) of the Securities Industry Act, 1995
October 1, 2006
The public is hereby advised that only persons and entities registered by the Trinidad and Tobago Securities and Exchange Commission (\”the Commission\”) under the Securities Industry Act 1995 (\”the Act\”) are permitted to deal in securities and/or offer investment advice in Trinidad and Tobago.
The Commission is strongly advising members of the public that there are inherent risks involved in conducting business with unregistered individuals or entities.
Before you invest, follow these steps:
The Trinidad and Tobago Securities and Exchange Commission (\”the Commission\”) is warning investors to check the registration status of any person or company purporting to deal in securities or offering investment advice.
The adequacy of the capital held by underwriters registered under the Securities Industry Act, 1995 (the SIA) has become a matter of concern to the Commission. With a capital requirement of five million dollars, underwriters registered under the SIA are not subject to the same requirements as those registered under the Financial Institutions Act, 1993 (the FIA).
The SEC recently met with stakeholders to discuss Guidelines on Capital Requirements for Underwriters and Issuers of Securitized Instruments under the Securities Industry Act, 1995
