Compliance Reviews of Registrants – Another Way Investors are Protected

The conduct of compliance reviews (also known as inspections) is one of the mechanisms used by the Trinidad and Tobago Securities and Exchange Commission (TTSEC) for investors to maintain confidence in the local securities market. The Compliance and Inspections Division, of the TTSEC, is responsible for conducting compliance reviews to ensure that registrants are adhering to relevant legislative requirements and issued guidance; so that investors can be assured that firms in the securities industry, have robust policies/procedures and practices that mitigate against the risks that they face, in doing business.


Read more here—>Compliance Review of Registrants


Comments are closed