The TTSEC is charged with reviewing and investigating all complaints, and ‘tips’ received in relation to the securities industry, including, but not limited to, those made against broker-dealers, investment advisers, underwriters, reporting issuers and Self-Regulatory Organisations. Read more —> The TTSEC’s Investor Complaints Process
The Trinidad and Tobago Securities and Exchange Commission (TTSEC) is empowered under Section 89 of the Securities Act Chapter 83:02 (SA) to conduct compliance reviews while Section 7(1)(l) enables the TTSEC to “monitor the risk exposure of registrants and self-regulatory organisations and take measures to protect the interest of investors, …
The International Organisation of Securities Commissions (IOSCO) defines compliance as a function that, on an on-going basis, identifies, assesses, advises on, monitors and reports on a market intermediary’s compliance with securities regulatory requirements, including whether there are appropriate supervisory procedures in place. Read more —-> Building a Culture of …
Investor protection is at the core of securities regulation. Investor protection is the ultimate outcome when integrity in the marketplace is upheld. Several requirements contemplated by the Securities Act 2012 (SA 2012), and the Trinidad and Tobago Securities and Exchange Commission’s (TTSEC) guidelines and policies, centre around ensuring that market …
The growing use of social media platforms such as Facebook, Instagram and LinkedIn, has significantly altered the way in which individuals and businesses communicate and transact business. Investment providers have taken advantage of this opportunity and have utilised online forum to advertise their products to a wider audience. As a …
The Trinidad and Tobago Securities and Exchange Commission (TTSEC) was established as a body corporate, by virtue of the Securities Industry Act of 1995 (“SIA 1995”) which was repealed and replaced by the Securities Act, 2012 (“SA 2012”). The TTSEC is an autonomous agency whose primary roles are the protection …
It is important as an investor to understand all aspects of the securities industry. Investors can consist of individuals, corporations, governments, pension plans or other entities. Individuals generally invest to obtain a financial return, save for retirement or achieve other financial goals. Despite the purpose, investors may share the same …
Facebook, Amazon, Apple, Netflix and Google are some of the more popular international investments/securities that may first come to mind when persons think about stocks and shares. For an investor in Trinidad and Tobago to acquire local or foreign stocks/equities, the services of a broker-dealer are required. In this week’s …
This week’s article continues our discussion on sustainable investing by looking at the emergence of Sustainable Reporting Standards. These are relatively new but are becoming increasingly important, as investors and financial regulators become more focused on ensuring that companies contribute towards achieving the Sustainable Development Goals (SDGs). Read more …
This week’s article focuses on the role of the securities regulator in achieving Sustainable Investing and the Financing of the Sustainable Development Goals. This area has important implications for the advancement of the global climate change agenda. Investors with such an investment philosophy will seek to invest in companies and/or …
