Market Conduct – What is expected from Registrants?
We are already into the second month of the year, and persons may at this time be implementing their financial […]
The Importance of Ethics in the Securities Industry – The Role of Registrants Pt. 2
In last week’s article, we briefly discussed various types of unethical practices in the financial sector and the advantages businesses
Published Articles
Importance of Ethics in the Securities Industry
Ethics is crucial to the viability of capital markets. Without it, exists the potential to incapacitate the growth and development
Public Access to Documents
The global financial crisis of 2008 underscored the need for greater emphasis on strengthening investor protection mechanisms by incorporating safety
Published Articles
Mutual Funds: Fixed NAV vs Floating NAV
As we embark on another new year, one of the more common resolutions is not only to increase our level
Published Articles
Impact of COVID-19 on T&T’s Equity and Mutual Fund Markets
We have reached the end of a particularly challenging year. Most countries continue to grapple with the consequences  of COVID-19
Repo Guidelines: How Do They Affect the Investing Public (Part 1)
The first question you may be asking yourself is, “What is repo or a repurchase agreement? It sounds similar to
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Order re: CRRS Form Amendments
In the Matter of Section 7(n) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad
Mutual Funds at Christmas
Christmas is characterised by feelings of hope and joy, which are needed more so now due to the socio-economic impact
HOW THE SECURITIES INDUSTRY IS REGULATED (PART 2)
In our previous article, we discussed the regulatory frameworks that are available to the TTSEC in regulating the local securities