Contravention Order re: Sagicor Life Incorporated – $1,000
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 by Sagicor Life Incorporated Contravention Order re Sagicor Life Incorporated – $1,000
Category Archives: Orders
Contravention Order re: Guardian Group Trust Limited – $15,000.00
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Group Trust Limited Contravention Order re Guardian Group Trust Limited – $15,000.00
Contravention Order re: Guardian Asset Management and Investment Services Limited – $15,000
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By Guardian Asset Management and Investment Services Limited Contravention Order re Guardian Asset Management and Investment Services Limited – $15,000
Order Re: Delegation of Powers to the Standing Committee of the Board
In the Matter of Section 8 of the Securities Act, Chapter 83:02 AND In the matter of the delegation of specific responsibilities, powers and functions of the Trinidad and Tobago Securities and Exchange Commission (“the Commission”) to a member of the Board of Commissioners (“the Board”) Order re Delegation …
Exemption Order re: Aspire Fund Management Company Limited – 26th March 2021
In The Matter of Sections 51 (1) (a), 155 (1A) (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 Aspire Fund Management Company Limited, a Registered Investment Adviser, for Exemption from …
Order re: Delisting of Sagicor Financial Corporation Limited – March 2021
In the Matter of Section 45 (1) and 45 (2) 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 the Trinidad and Tobago Stock Exchange Limited to De-list Sagicor Financial Corporation Limited from its Official …
Order re: Delisting of GORTT $600M 11-year Bond Due June 30, 2020
In the Matter of Section 45 (1) and Section 45 (2) 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 the Trinidad and Tobago Stock Exchange Limited for the De-Listing of Government of the Republic …
Order re: Delisting of GORTT $1,000M 7-year Bond Due May 21, 2020
In the Matter of Section 45(1) and Section 45(2) 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 the Trinidad and Tobago Stock Exchange Limited for the De-Listing of Government of the Republic of Trinidad …
Contravention Order re: Sagicor Funds Incorporated – $48,000.00
In the Matter of Contraventions of Section 66(1) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Sagicor Funds Incorporated. Contravention Order re Sagicor Funds Incorporated – $48,000.00
Contravention Order re: Sagicor Financial Corporation – $36,800.00
In the Matter of the Contravention of Section 64(1)(c) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago by Sagicor Financial Corporation Limited. Contravention Order re Sagicor Financial Corporation – $36,800.00