Customer Due Diligence
Customer Due Diligence We have often asked ourselves while trying to conduct various types of business activities, why do financial […]
Statement of Substance and Purpose, Uncategorized
Re: Statement of Substance and Purpose – Draft By-Laws for Portfolio Manager
STATEMENT OF SUBSTANCE & PURPOSE ON TRINIDAD AND TOBAGO SECURITIES AND EXCHANGE COMMISSION’s DRAFT BY LAWS 2020 for creation of
Compliance Programmes for the Securities Market
As part of our focus on Anti-Money Laundering and Combating the Financing of Terrorism (“AML/ CFT”), last week we explained
Notices
Notice of Amendments To Securities Act, Chapter 83:02 Of the Laws of Trinidad and Tobago
Please be advised that on the 8th May 2020, Her Excellency Paula-Mae Weekes O.R.T.T., President of the Republic of Trinidad
Acts, Legislation, Legislative Documents
Miscellaneous Provisions Act 2020, Miscellaneous Amendments Act 2020
The Securities Act is amended— (a) in section 14, by inserting after subsection (5), the following subsections: Read
Ensuring Compliance with AML/CFT
In this week’s article the respective roles of the regulator and the registrants in ensuring Anti Money Laundering and Combating
Combating Money Laundering and Terrorist Financing
Governments worldwide continue to intensify their efforts to mitigate the global spread of COVID-19, whilst, criminals and fraudsters have been
Broker-Dealers, Investment Advisers, Published Articles
Investment Advisers vs. Broker-Dealers (Part 2)
In a previous article, the Trinidad and Tobago Securities and Exchange Commission (TTSEC) explained the distinct role and function of
COVID-19, Media Releases
RE: Update: Temporary Closure of TTSEC\’s Offices – May 15th
Further to the updated Public Health Regulations 2020 (2019 n-CoV) No. 12, published by the Government of the Republic of
Securities Market Bulletin #5
Despite market volatility mainly due to geopolitical tensions in early 2019, the latter part of the year showed some improvement.