Circular Letter Re: Enhanced Risk-Based Supervision (RBS) Framework

Circular Re: Implementation of the Trinidad and Tobago Securities and Exchange Commission’s Enhanced Risk-Based Supervision Framework The Trinidad and Tobago Securities and Exchange Commission (“the TTSEC”) has enhanced its framework for the risk-based supervision (“RBS”) of persons registered under Section 51(1) of the Securities Act, Chapter 83:02 of the Laws …

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Circular Letter – Notification of Prescribed form for Transmission of Sensitive Personal Info

NOTIFICATION OF PRESCRIBED FORM FOR TRANSMISSION OF SENSITIVE PERSONAL INFORMATION UNDER THE TAX INFORMATION EXCHANGE AGREEMENTS (UNITED STATES OF AMERICA) ACT 2017 (“TIEAA”) Reference is made to section 17(3) of the Tax Information Exchange Agreements (United States of America) Act, 2017 (“TIEAA”) which requires a reporting financial institution to notify …

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Contravention Order re Capital Markets Elite Group (T&T) Limited – $30,100.00 – 31st August 2021

In the Matter of Contraventions 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 Capital Markets Elite Group (Trinidad and Tobago) Limited   Read more ->Contravention Order re Capital Markets …

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