CMBL – Change of Senior Officer – Rozette Maharaj
CMBL – Change of Senior Officer – Rozette Maharaj
Category Archives: Uncategorized
Re: Statement of Substance and Purpose – Draft By-Laws for Portfolio Manager
STATEMENT OF SUBSTANCE & PURPOSE ON TRINIDAD AND TOBAGO SECURITIES AND EXCHANGE COMMISSION’s DRAFT BY LAWS 2020 for creation of a PORTFOLIO MANAGER Statement of Substance Purpose re Draft By-Laws for PM
Re: Draft Portfolio Manager By-Laws
THE PORTFOLIO MANAGER BY-LAWS, 2020 PART I PRELIMINARY Draft Portfolio Manager By-laws Statement of Substance Purpose re Draft By-Laws for PM
Draft Collective Investment Schemes By-Laws 2020
Draft Collective Investment Schemes By -Laws DRAFT CIS By-Laws – May 29th 2020 Table summarizing significant changes to the Draft CIS By-Laws since August 2019
Order re: Exemption Order Mondial (Trinidad) Limited
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 Mondial (Trinidad) Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer …
Market Manipulation and How the TTSEC Protects Investors
Mark Twain once exhorted, “You’re never wrong to do the right thing”. This remains sound guidance and very much applicable when participating in the capital markets. Market actors are fully cognisant of the types of conduct and behaviours, which while falling short of the ambit of the law, are outright …
Settlement Agreement – Hassan Phillip Rahaman
In the matter of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago (“the act”) and Part VIII of the Securities Industry (Hearings and Settlements) Practice Rules 2008 (“the Rules”) And In the Matter of the application for, and purchase of, 659,588 First Citizens …
Contravention Order: Subhas Ramkhelawan
In the Matter of the Securities Act Chapter 83:02 of the laws of the Republic of Trinidad and Tobago (“the Act”) and Part VIII of the Securities Industry (Hearings and Settlements) Practice Rules 2008 (“the Rules”) And In The Matter of the application for, and purchase of, 659,588 First Citizens …
Contravention Order re: KCL Capital Market Brokers Limited $9,000
In the Matter of the Contravention of By-Law 28 of the Securities (General) By-Laws, 2015 By KCL Capital Market Brokers Limited Contravention Order re KCL Capital Market Brokers Limited – $9,000.00
Notice – Draft CIS By-Laws for public comment
The Commission hereby provides notice that a draft of the Trinidad and Tobago Securities and Exchange Commission’s (TTSEC’s) Collective Investment Schemes By-Laws (“the Draft CIS By-Laws”) and a Statement of Substance and Purpose are now available for comment (send to: cisby-laws@ttsec.org.tt). These Draft CIS By-Laws are being proposed under section …