You Invest. We protect. Everyone Benefits!
Facebook YouTube LinkedIn RSS
About EASiFINTECH
  • Home
  • menu-icon-ttsec-2About Us
    • Vision and Mission
    • Powers and Functions
    • Board of Commissioners
    • Past Board Members
    • Divisional Profiles
    • Investor Complaints
    • Career Opportunities
    • Current Vacancies
    • Factsheets
    • Contact Us
    • Cooperation
      • International
      • Domestic
      • Close
    • Close
  • registrationRegistration
    • Registered Companies, Individuals
    • Manual Registration and Renewal
    • Checklists for Registration and Renewal of Registration
    • Close
  • menu-icon-filingFilings
    • Material Change
    • Documents Filed-Securities Registrations
    • Registrants’ Financial Statements
    • Close
  • mmrf_formsMMRF Forms
    • CBTT
    • SRO
    • Close
  • menu-icon-legalLegal Framework
    • By-Laws
    • Contraventions
    • Decisions / Settlements
    • Guidelines
    • Legislation
    • Notices
    • Notices of Hearing
    • Orders
    • Proposed By-Laws
    • Proposed Guidelines
    • Proposed Legislation
    • Rules
    • Draft Policies
    • CIS Bye-Laws
    • Procurement
    • Close
  • menu-icon-amlAML-CFT
    • Beneficial Ownership
    • Checklist for the approval of Compliance Officers
    • Fit & Proper Criteria for Approval of Compliance Officers
    • AML-CFT FAQs
    • Compliance Officer Application Form
    • Public Statements
    • AML-CFT Updates
    • Draft Policies
    • Close
  • protection-shieldInvestor Protection
    • Complaints Procedure
    • Complaints Online Form
    • Brochure – How to Complain
    • Fraud Awareness
    • Glossary of Terms
    • Investor Alerts
    • Close
  • menu-icon-publicationsPublications and Research
    • Annual Reports
    • Published Articles
    • Circular Letters
    • COVID-19
    • Market Newsletter
    • Securities Market Bulletin
    • Weekly Bulletin
    • CIS Data and Statistics
    • Reports
    • Guidance
    • List of Registrants
    • Brochures/Calendar
    • Approved Designated Foreign Jurisdictions
    • FOIA Statement
    • Research
    • Close
  • menu-icon-mediaMedia Room
    • Media Releases
    • Events
    • Speeches/Presentations
    • Audio
    • Photos
    • Videos
    • Close
 
    • Home
    • About Us
      • Vision and Mission
      • Powers and Functions
      • Board of Commissioners
      • Past Board Members
      • Divisional Profiles
      • Investor Complaints
      • Career Opportunities
      • Current Vacancies
      • Factsheets
      • Contact Us
      • Cooperation
        • International
        • Domestic
    • Registration
      • Registered Companies, Individuals
      • Manual Registration and Renewal
      • Checklists for Registration and Renewal of Registration
    • Filings
      • Material Change
      • Documents Filed-Securities Registrations
      • Registrants’ Financial Statements
    • MMRF Forms
      • CBTT
      • SRO
    • Legal Framework
      • By-Laws
      • Contraventions
      • Decisions / Settlements
      • Guidelines
      • Legislation
      • Notices
      • Notices of Hearing
      • Orders
      • Proposed By-Laws
      • Proposed Guidelines
      • Proposed Legislation
      • Rules
      • Draft Policies
      • CIS Bye-Laws
      • Procurement
    • AML-CFT
      • Beneficial Ownership
      • Checklist for the approval of Compliance Officers
      • Fit & Proper Criteria for Approval of Compliance Officers
      • AML-CFT FAQs
      • Compliance Officer Application Form
      • Public Statements
      • AML-CFT Updates
      • Draft Policies
    • Investor Protection
      • Complaints Procedure
      • Complaints Online Form
      • Brochure – How to Complain
      • Fraud Awareness
      • Glossary of Terms
      • Investor Alerts
    • Publications and Research
      • Annual Reports
      • Published Articles
      • Circular Letters
      • COVID-19
      • Market Newsletter
      • Securities Market Bulletin
      • Weekly Bulletin
      • CIS Data and Statistics
      • Reports
      • Guidance
      • List of Registrants
      • Brochures/Calendar
      • Approved Designated Foreign Jurisdictions
      • FOIA Statement
      • Research
    • Media Room
      • Media Releases
      • Events
      • Speeches/Presentations
      • Audio
      • Photos
      • Videos
Contraventions

Category Archives: Orders

Contravention Order re: The National Football Stadium Company Limited Admin Fine TT$30,900.00

In The Matter of the Contravention of Section 64 (1)(a)  of the Securities Act, 2012  By The National Football Stadium Company Limited Contravention Order re The National Football Stadium Company Limited Admin Fine

Nicole Bachan •16 Feb 2018Contraventions, Orders, Orders (Contraventions) Administrative Fine, contravention, Fine, National Football Stadium, order, TTSEC

Contravention Order re: The National Football Stadium Company Limited Admin Fine

In The Matter of the Contravention of Section 64 (1)(a) of the Securities Act, 2012 By The National Football Stadium Company Limited Contravention Order re The National Football Stadium Company Limited Sect 64 Admin Fine

Nicole Bachan •16 Feb 2018Contraventions, Orders, Orders (Contraventions) contravention, national Footbal Stadium, order, TTSEC

Contravention Order re: Stephen Burris By-Law 67(2)

In The Matter of the Contravention of By-Law 67(2) of The  Securities (General) By-Laws, 2015 By Stephen Burris Contravention Order re Stephen Burris

Nicole Bachan •6 Feb 2018Contraventions, Orders, Orders (Contraventions) contravention, order, Stephen Burris, TTSEC

Contravention Order re: Haroon Husain Section 87 (1)(a)

In The Matter of the Contravention of Section 87(1)(a) of the Securities Act, 2012 By Haroon Husain Contravention Order re Haroon Husain

Nicole Bachan •6 Feb 2018Contraventions, Orders, Orders (Contraventions) contravention, Haroon Husain, order, TTSEC

Contravention Order re: Angostura Limited Section 66

In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Angostura Limited Contravention Order re Angostura Limited Sect 66  

Nicole Bachan •6 Feb 2018Contraventions, Orders, Orders (Contraventions) Angostura Limited, contravention, order, TTSEC

Contravention Order Re: Angostura Holdings Limited Sect 64

In The Matter of the Contravention of Section 64 (1)(a), (b) and (c)  of the Securities Act, 2012 By Angostura Holdings Limited Contravention Order re Angostura Holdings Limited Sect 64

Nicole Bachan •6 Feb 2018Contraventions, Orders, Orders (Contraventions) Angostura Holdings Limited, contravention, order, TTSEC

Contravention Order re: Education Facilities Company Limited

In The Matter of the Contravention of Section 64(1) of the Securities Act, 2012 by Education Facilities  Company Limited Contravention Order re Education Facilities Company Limited

Nicole Bachan •31 Jan 2018Orders, Orders (Contraventions) contravention, EFCL, order, TTSEC

List of Orders – April – November 2017

In accordance with Section 159 (12) of the Securities Act, 2012 (SA, 2012), the Trinidad and Tobago Securities and Exchange Commission (the Commission) is required to issue a Notice in at least two newspapers notifying the public of the Orders published on its website. Documented below is a list of …

Continue reading

Nicole Bachan •18 Dec 2017Notices, Orders December 2017, List of Orders, TTSEC

Contravention Order re UDECOTT’s filing of its interim financial statements

In The Matter of the Contravention of Section 66(1) of the Securities Act, 2012 by Urban Development Corporation of Trinidad and Tobago Limited Contravention Order re UDECOTT

Nicole Bachan •1 Dec 2017Contraventions, Orders, Orders (Contraventions) contravention, order, TTSEC, UDECOTT

Contravention Order re FCL Financial Ltd

In The Matter of the Contravention of By-Law 40(1) of the Securities (General) By-Laws, 2015 by  FCL Financial Limited WHEREAS FCL Financial Limited (the “Respondent”) filed its mid-year interim financial statements with the Commission for the period ended April 30, 2016 on July 1, 2016, past the due date of June 29, …

Continue reading

Nicole Bachan •10 Nov 2017Contraventions, Orders, Orders (Contraventions) contravention, FCL, order, TTSEC
«‹4041424344›»
Investor Education Get Answers and Tools Lodge a Complaint Useful Links
Follow us on
  • Facebook
  • YouTube
  • Twitter
  • LinkedIn
  • Our Blog
  • Android App
  • IOS App
  • RSS
  • Contact Information
  • Privacy Policy
  • Career Opportunities
  • Terms of Use
  • © Copyright 2015 Trinidad and Tobago Securities and Exchange Commission

    TTSEC

    • Home
    • About Us
      • Vision and Mission
      • Powers and Functions
      • Board of Commissioners
      • Past Board Members
      • Divisional Profiles
      • Investor Complaints
      • Career Opportunities
      • Current Vacancies
      • Factsheets
      • Contact Us
      • Cooperation
        • International
        • Domestic
    • Registration
      • Registered Companies, Individuals
      • Manual Registration and Renewal
      • Checklists for Registration and Renewal of Registration
    • Filings
      • Material Change
      • Documents Filed-Securities Registrations
      • Registrants’ Financial Statements
    • MMRF Forms
      • CBTT
      • SRO
    • Legal Framework
      • By-Laws
      • Contraventions
      • Decisions / Settlements
      • Guidelines
      • Legislation
      • Notices
      • Notices of Hearing
      • Orders
      • Proposed By-Laws
      • Proposed Guidelines
      • Proposed Legislation
      • Rules
      • Draft Policies
      • CIS Bye-Laws
      • Procurement
    • AML-CFT
      • Beneficial Ownership
      • Checklist for the approval of Compliance Officers
      • Fit & Proper Criteria for Approval of Compliance Officers
      • AML-CFT FAQs
      • Compliance Officer Application Form
      • Public Statements
      • AML-CFT Updates
      • Draft Policies
    • Investor Protection
      • Complaints Procedure
      • Complaints Online Form
      • Brochure – How to Complain
      • Fraud Awareness
      • Glossary of Terms
      • Investor Alerts
    • Publications and Research
      • Annual Reports
      • Published Articles
      • Circular Letters
      • COVID-19
      • Market Newsletter
      • Securities Market Bulletin
      • Weekly Bulletin
      • CIS Data and Statistics
      • Reports
      • Guidance
      • List of Registrants
      • Brochures/Calendar
      • Approved Designated Foreign Jurisdictions
      • FOIA Statement
      • Research
    • Media Room
      • Media Releases
      • Events
      • Speeches/Presentations
      • Audio
      • Photos
      • Videos