What is EASi?

EASi is an online service offered by the Trinidad and Tobago Securities and Exchange Commission (“ the Commission”) that allows persons or organisations involved in the Securities Market to manage their registration, disclosures filings and renewals online.  EASi is meant to replace the manual process for all submissions which it facilitates.

The “Electronically Advanced Submission interface” (EASi) aims to improve current processes by allowing users to conveniently conduct their business at any time from any place. It also allows for faster turnaround time for submissions, and facilitates the tracking of application status. It is a secure, convenient way of doing business with the Commission.

What are the benefits of EASi?

Which Forms can be accessed via EASi?

The following represent the full range of services that can now be conducted via the EASi platform:

1.Onboarding Forms (For Existing Registrants)

1. 1. Form 1 – Registration as a Self-Regulatory Organization – Simple
   2. Form 2A – Registration as a Broker-Dealer-Investment Adviser-Underwriter – Simple
   3. Form 2B – Registration as an Investment Adviser – Individual – Simple
   4. Form 8 – Registration and Revised Statement

2.Linked Forms to Onboarding Forms

1. 1. Form 3 – Registration as Registered Representative
   2. Form 5 – Approval of Substantial Shareholders of Registrants Under Section 51(1)
   3. Form 7 – Registration of a Branch Office
   4. Form 9 – Distribution Statement
   5. Form 15 – Risk Disclosure Statement for Asset Backed Securities
   6. Form 23 – Conflict of Interest Rules Statement

3. Registration Forms (For New Registrants)

1. 1. Form 1 – Registration as a Self-Regulatory Organization
   2. Form 2A – Registration as a Broker-Dealer, Investment Adviser or Underwriter
   3. Form 2B – Registration as an Investment Adviser – Individual
   4. Form 3 – Registration as Registered Representative
   5. Form 4 – Registration of Sponsored Broker-Dealer or Sponsored Investment Adviser
   6. Form 7 – Registration of a Branch Office
   7. Form 8 – Registration and Revised Statement
   8. Form 9 – Distribution Statement

4. Linked Forms to Registration

1. 1. Form 3 – Registration of Registered Representatives
   2. Form 5 – Approval of Substantial Shareholders of Registrants Under Section 51(1)
   3. Form 7 – Registration of a Branch Office
   4. Form 9 – Distribution Statement
   5. Form 15 – Risk Disclosure Statement for Asset Backed Securities
   6. Form 23 – Conflict of Interest Rules Statement

5. Renewal Forms

1. 1. Form 1 – Registration as a Self-Regulatory Organization
   2. Form 2A – Registration as a Broker-Dealer, Investment Adviser or Underwriter
   3. Form 2B – Registration as an Investment Adviser – Individual
   4. Form 3 – Registration of Registered Representatives
   5. Form 8 – Registration and Revised Statement

6. Linked Forms to Renewal

1. 1. Form 23 – Conflict of Interest Rules Statement

7. On Demand Registration and Filing Forms

1. 1. Form 3 – Registration of Registered Representatives
   2. Form 4 – Registration of Sponsored Broker-Dealer or Sponsored Investment Adviser
   3. Form 5 – Approval of Substantial Shareholders of Registrants Under Section 51(1)
   4. Form 6 – Notification of Change
   5. Form 7 – Registration of a Branch Office
   6. Form 9 – Distribution Statement
   7. Form 10A – Material Change Report
   8. Form 10B – Publication of Notices of Material Change
   9. Form 15 – Risk Disclosure Statement for Asset Backed Securities
   10. Form 19 – Post-Distribution Statement
   11. Form 20 – Notification of Limited Offering
   12. Form 22 – Trading Report of a Person Connected to a Reporting Issuer
   13. Form 23 – Conflict of Interest Rules Statement

8. Scheduled Filing Forms

1. 1. Form 11 – Financial Statement Certification
   2. Form 11A – Annual Report Submission
   3. Form 21 – Report by Registrant of Trades Executed other than Through a Securities Exchange
   4. Form 24 – Quarterly Capital Requirements

How do I use EASi?

 

 

 

Existing Registrants will initially be required to submit On-boarding/Simple applications. The EASi On-boarding exercise will be conducted to bring entities that are already registered with the Commission into the system, bypassing the registration process. It will involve all existing Registrants populating simplified Forms on the system to create a profile for themselves.  On-boarding will ensure that the Commission captures current information for all existing Registrants on EASi.  This information will then be used as a baseline on the system for each existing Registrant, once a simplified workflow review process by Staff of the Commission is conducted. After existing registrants complete the On-boarding process they can use EASi to submit registration applications, other filings and renewal applications. 

On-boarding will be conducted in batches. Staff of the Commission will communicate with all entities to schedule the initiation of their On-boarding process.

Download the EASi STEP BY STEP GUIDE