Notice of Extension – Draft Risk Based Capital and Liquidity Requirements Bye-Laws 2023
The Trinidad and Tobago Securities and Exchange Commission (“the Commission”) proposes to issue the Draft Risk Based Capital and Liquidity […]
Notices
Draft Bye-Laws
Draft Risk Based Capital and Liquidity Requirements Bye-Laws 2023
BYE-LAWS MADE BY THE MINISTER UNDER SECTION 148 OF THE SECURITIES ACT AND SUBJECT TO NEGATIVE RESOLUTION OF PARLIAMENT THE
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order – L.J. Williams- $14,000.00
In The Matter of the Contravention of Section 61(2) of the Securities Act Chapter 83:02 of the Laws of the
Orders, Orders (Contraventions), Settlement Orders
Contravention Order re Endeavour Holdings Limited – $1,500
In the Matter of the Contravention of Section 66(1) of the Securities Act, Chapter 83:02 of the Laws of the
Contravention Orders, Orders, Orders (Contraventions), Settlement Orders
Contravention Order re Endeavour Holdings Limited – $4,400.00
In the Matter of the Contravention of Section 65(1) of the Securities Act Chapter 83:02 of the Laws of the
Administrative Fines Orders, Contravention Orders, Orders, Orders (Contraventions)
Contravention Order re MPC- $124,000.00
In the Matter of the Contravention of Section 64(1)(a) & (c) of the Securities Act, Chapter 83:02 of the Laws
Contravention Orders, Orders, Orders (Contraventions), Settlement Orders
Contravention Order re NCBCMBL – $91,200.00
In the Matter of the Contravention of By-Law 40(1) of the Securities (General) By-Laws, 2015 By NCB Capital Markets (Barbados)
Contravention Orders, Orders, Orders (Contraventions), Settlement Orders
Contravention Order re NIDCO – $1,663,200.00
In the Matter of the Contraventions of Section 63(a) of the Securities Act Chapter 83:02 of the Laws of the
Contravention Orders, Orders, Orders (Contraventions), Other
Order re Implementation of CIS Revised Volume Reports
In the Matter of Sections 6 (l)7(1) (l), 7(2) and 7(3) of the Securities Act, Chapter 83:02 of the Laws
Contravention Orders, Orders, Orders (Contraventions), Settlement Orders
Contravention Order re NIDCO – $1,720,800.00
In the Matter of the Contraventions of Section 65(1) of the Securities Act Chapter 83:02 of the Laws of the