NIPDEC – Change to Board of Directors – Teddy Stapleton
NIPDEC – Change to Board of Directors – Teddy Stapleton
Material Changes
Material Changes
NIPDEC – Change to Board of Directors – Mark Hood
NIPDEC – Change to Board of Directors – Mark Hood
Material Changes
MASSY – Change to Board of Directors – Julie Avey
MASSY – Change to Board of Directors – Julie Avey
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order – GGTL – $2000.00
In The Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Group Trust Limited
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order -GAMISL – $2000.00
In The Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Asset Management and
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order – WISE – $3,000.00
In the Matter of the Contravention of Section 56(4) of the Securities Act Chapter 83:02 of the Laws of the
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order – PHL- $1,000.00
In The Matter of a Contravention of Section 61(2) of the Securities Act Chapter 83:02 of the Laws of the
Material Changes
AHL – Change to Board of Directors – Gerard Cooper
AHL – Change to Board of Directors – Gerard Cooper
Reports
Registrants’ Risk Assessments 2023 Report
The TTSEC is mandated under Section 6(l) of the Securities Act, Chapter 83:02 of the Laws of the Republic of
Circulars
Circular Letter – Implementation of the TTSEC Enhanced RBS Framework
In June 2023, the Trinidad and Tobago Securities and Exchange Commission (the “TTSEC”) implemented its enhanced Risk-Based Supervision Framework. By