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Contraventions

Category Archives: Orders (Contraventions)

Contravention Order re PLIPDECO – $19,600

In the Matter of the Contraventions of Sections 64(1)(a), (b) & (c) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Point Lisas Industrial Port Development Corporation Limited

Nicole Bachan •2 Aug 2022Contraventions, Orders, Orders (Contraventions)

Contravention Order re JMMB Securities (T&T) Limited $28,500

In the Matter of the Contravention of By-Law 40 of the Securities (General) By-Laws, 2015 By JMMB Securities T&T Limited   Contravention Order re JMMB Securities (T&T) Limited $28,500

Nicole Bachan •2 Aug 2022Contraventions, Orders, Orders (Contraventions)

Contravention Order re JMMB Investments I(Trinidad and Tobago) Limited – $28,500

In the Matter of the Contravention of By-Law 40 of the Securities (General) By-Laws, 2015 By JMMB Investments (Trinidad and Tobago) Limited   Contravention Order re JMMB Investments I(Trinidad and Tobago) Limited – $28,500

Nicole Bachan •2 Aug 2022Contraventions, Orders, Orders (Contraventions)

Exemption Order re Nigel Clewett – June 2022

In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Nigel Clewett, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer   Exemption Order re …

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Nicole Bachan •2 Aug 2022Contraventions, Orders, Orders (Contraventions)

Contravention Order re: Sheppard Securities Ltd – $175,000

In The Matter of the Contravention of Section 56(4) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 53(2) of the Securities (General), By-Laws 2015 By Sheppard Securities Limited   Contravention Order re Sheppard Securities Ltd – $175,000

Nicole Bachan •6 Jun 2022Contraventions, Orders, Orders (Contraventions)

Contravention Order re: NIPDEC – $25,000

In the Matter of the Contravention of Section 61(2) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By National Insurance Property Development Company Limited   Contravention Order re NIPDEC – $25,000  

Nicole Bachan •6 Jun 2022Contraventions, Orders, Orders (Contraventions)

Contravention Order re: Waterloo Capital Advisors Ltd. – $1,000

In the Matter of the Contravention of By-Law 39(1) of the Securities (General) By-Laws, 2015 By Waterloo Capital Advisors Ltd   Contravention Order re Waterloo Capital Advisors Ltd. – $1,000

Nicole Bachan •20 May 2022Contraventions, Orders, Orders (Contraventions)

Contravention Order re: Trinidad and Tobago NGL Limited – $5,000

In the Matter of a Contravention of Section 63(a) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 47(c) of the Securities (General) By-Laws 2015 By Trinidad and Tobago NGL Limited   Contravention Order re Trinidad and Tobago NGL Limited – $5,000 …

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Nicole Bachan •20 May 2022Contraventions, Orders, Orders (Contraventions)

Contravention Order re: Trinidad Cement Limited – $2,000

In the Matter of the Contravention of Section 64(1)(a) and (c) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Trinidad Cement Limited   Contravention Order re Trinidad Cement Limited – $2,000

Nicole Bachan •20 May 2022Contraventions, Orders, Orders (Contraventions)

Contravention Order re: Sagicor Go-Mutual Funds – $16,000

In the Matter of the Contravention of Section 61(2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad By The Sagicor Go-Mutual Funds   Contravention Order re Sagicor Go-Mutual Funds – $16,000

Nicole Bachan •20 May 2022Contraventions, Orders, Orders (Contraventions)
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