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Registrant Listing

Category Archives: Registrant Listing

Registrant Listing as at March 2016

In accordance with the requirements of Section 52(8) of the Securities Act, 2012, the Commission has provided a listing of its Broker-Dealers, Investment Advisers, Underwriters, Self-Regulatory Organizations and Reporting Issuers, as at March 31, 2016 as indicated in the link hereunder. Registrant Listing as at March 2016

Nicole Bachan •28 Apr 2016Registrant Listing registrant listing; ttsec;

Registrant Listing 2013

Registrant Listing 2013

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TTSEC •31 Mar 2013Registrant Listing registrant listing

Registrant Listing

The Commission has provided a listing of companies and individuals registered to sell securities as at March 31st 2011

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TTSEC •31 Mar 2011Registrant Listing annual listing, registrants, securities

Registrant Listing as at March 31 2010

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TTSEC •31 Mar 2010Registrant Listing registrant listing

List of Registrants

The Public is hereby notified of the list of valid registrants, by class of registrant, on the Register of the Trinidad and Tobago Securities and Exchange Commission, pursuant to Section 53(5)(a) of the Securities Industry Act, 1995 as at March 28, 2008.

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TTSEC •28 Mar 2008Registrant Listing registrant information, registrant revocation
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    TTSEC

    • Home
    • About Us
      • Vision and Mission
      • Powers and Functions
      • Board of Commissioners
      • Past Board Members
      • Divisional Profiles
      • Investor Complaints
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      • 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
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