What is EASi?
The Electronically Advanced Submission interface (“EASi”) is a no-fee service offered by the Commission that allows persons or organisations involved in the Securities Market to manage their registration applications, renewal applications and disclosure filings online.
EASi aims to improve the current process by allowing users to conveniently conduct their business at any time from any place, over the internet. It also allows for a faster review and turnaround time for submissions and facilitates the user’s ability to track the status of its submission. It is a secure, convenient and cost-effective method of doing business with the Commission.
What are the benefits of EASi?
The following are some benefits of EASi:
- Convenient and reliable service – Users can log on to EASi from anywhere at any time and conduct their business 24 hours a day, 7 days a week, once internet access is available (except in cases of scheduled maintenance or emergency repairs.
- Faster processing time – Reduction in the turnaround time for processing submissions for the registration of companies and securities and continuous disclosure filings.
- Reduced transaction cost of doing business inherent with moving from a paper-based process to electronic submissions.
- Improved transparency and visibility of submissions.
- Easy tracking of the status of submissions and end to end engagement with the Commission throughout the process.
- Streamlined reporting and resolution of users’ queries.
How can EASi be accessed?
How do potential registrants and non-registrants (persons not currently registered with the Commission) gain access to the platform?
Potential Registrants and non-registrants (“Users”) will be required to create an account in order to access and utilise the platform. Users can create an account on the EASi login page.
EASi can be accessed via the Commission’s website: www.ttsec.org.tt, and navigating to the tab labelled “EASi” for related resources.
The “EASi login” link under this tab will launch a “Terms and Conditions” landing page. Once you have agreed to the Terms and Conditions, the login page will appear. The option to create an account can be found on the top left-hand corner.
After the account is created, the user will receive a verification email in the email account which was provided when the account was created (check inbox or junk for the email). In the verification email, select “here” to activate the account. The account on EASI will be activated, and at this point the user will be required to attempt logging on to the account. Upon doing the same, you will be prompted to change your password on EASI.
Once the password is changed, you will be able to access the Forms on the platform and begin completing applications for submission to the Commission
Is electronic registration, renewal and filing of disclosure documents secure?
Yes, electronic registration, renewal and filing of disclosure documents is secure. No one can view or access your company’s information besides you, other authorised employees from your organisation and authorised Commission Staff.
EASi stands on a robust security infrastructure including the use of SSL Certificates which encrypts the information received via the web browser. Additionally, EASI incorporates a strongly enforced password policy as well as restrictions and limitations on how the data is accessed and returned securely to authorised users.
What types of files are accepted by EASi?
Standard file types are supported by EASi e.g. .pdf, .docx, .xlxs, .txt, etc.
What is the session duration on EASi?
When a user is successfully logged on to EASi, the session duration is unlimited once the user is active on the system. If however, the user is inactive for sixty (60) minutes, the system will automatically log the user off.
What happens if a registrant user starts a Form/Filing but does not submit said Form/Filing and logs off of the platform?
If a registrant user starts a Form/Filing but does not submit said Form/Filing and logs off of the platform, the data entered prior to logging off will automatically be saved in the Form/Filing.
The next time the registrant user logs in to the platform, he/she will be able to access the same Form/Filing in either the “Filings” or “In-Progress Applications” pages and will be able to continue completing the Form/Filing.
What browsers are compatible with EASi?
EASi is compatible with standard browsers. The following browsers are recommended:
- Google Chrome
- Internet Explorer (version 11 or higher)
During which hours will EASi be accessible?
EASi will be accessible twenty-four (24) hours a day, seven (7) days a week, inclusive of holidays and weekends, except in cases of scheduled maintenance or emergency repairs.
In the event of scheduled maintenance or emergency repairs, the same will be communicated to users in advance and in a timely manner via the Commission website www.ttsec.org.tt
What should a user do if he/she encounters an issue while using EASi?
If a user encounters an issue while using EASi, he/she should formally communicate the issue to the Commission via the EASi Helpdesk page. The EASi Helpdesk page can be accessed via the Commission’s website www.ttsec.org.tt. Once on the website, the user will be required to click on the EASi tab, then click on the EASi Helpdesk hyperlink to access the Issue Escalation Form.
Once the form is completed with a description of the issue encountered and submitted to the Commission, a representative will reach out to the user within two (2) business days.
Additionally, if the user wishes to provide feedback on his/her experience, the same can be communicated to the Commission by completing and submitting the User Feedback Form which can be found when the EASi Helpdesk hyperlink is selected.
What should a user do if he/she forgets his/her password?
On EASi’s login page there is a “Forgot Password” option. When the user clicks on this option a new page will appear and the user will be required to provide the email associated with the account.
As an additional safety measure, the user will also need to repeat the information displayed in the captcha. Once this is completed, the user will be required to click on the “Send new password” button. This will send the new password to the associated email account and the user can then log on to the platform using the new password.
What is the number of failed login attempts before a user is locked out from his/her account and what is the process for unlocking the account?
The maximum number of failed login attempts before a user is locked out of his/her account is three (3).
If a user is locked out of his/her account, he/she should submit a ticket to the EASi Helpdesk by navigating to the Commission Website and under the “EASi” tab select “EASi Helpdesk”. An administrator will reach out to the user within one (1) business day and assist with unlocking the account.
What payment options are available for applications submitted via EASi?
The following payment options are available for applications submitted via EASi:
- Cheques, which must be delivered via hand or by mail to the Commission
- Electronic payments, such as wire transfer and Automated Clearing House (ACH)
There are NO options for credit and debit card payments at this time.
What is the payment process for applications submitted via EASi?
Once an application is submitted via EASi, a payment row is generated and displayed below the application that was submitted. The user will be required to select the payment row and a dialogue box will appear, which includes the fees for the particular application. The user will be required to verify the fees stated, upload evidence of the actual payment made (see FAQ 14) and then select the button “Make Payment”.
When uploading evidence of the payment made to EASi, the user must do the following:
- For a cheque, include the unique request ID of the application on the remittance section of the cheque
- For an electronic payment via ACH or wire transfer, include the unique request ID of the application and any other remittance information in the remittance advice template which can be downloaded from the Commission’s website under the “Forms” tab *INSERT HYPERLINK*.
Is the use of EASi compulsory?
Use of the EASi platform is not compulsory, however, it will be the Commission’s primary means of accepting Registrant submissions.
Applications submitted via EASi are instantaneously received, which leads to faster and more efficient processing of submissions.
What are the Terms and Conditions for using EASi?
The Terms and Conditions for use of the EASi platform can be accessed here.
What can users do on EASi?
Users can submit registration applications, renewal applications, disclosure filings and notifications via EASi, as well as view the progress of their submissions. Additionally, users can also view correspondence, submit queries and communicate with Staff of the Commission via EASi.
What is On-boarding?
The EASi on-boarding exercise will be conducted to bring entities 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.
Onboarding 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.
What is expected to happen after On-boarding?
After Registrants are successfully on-boarded, filings can be facilitated using EASi. In later updates, applications for renewal of registration and submission of additional applications will be facilitated online.
Who should access EASi?
EASi is accessible to the general public, however it is recommended for persons or organisations involved in the Securities Market.
How long does the application process take?
Registrants will initially be required to submit On-boarding/Simple applications, after which registration applications, renewal applications and filings can be submitted via EASi.
Application processing will vary depending on the type of application submitted, as well as the accuracy of the information provided.
Have changes been made to the Commission’s Forms with the implementation of EASi?
Yes, changes have been made to the Commission’s Forms with the implementation of EASi. The substantial changes have been published via Board Order.
Will users be expected to submit hard copies of Forms submitted via EASi?
No, users will not be expected to submit hard copies of Forms submitted via EASi.
What will happen if a filing is not submitted on or before the scheduled due date?
If a filing is not submitted on or before the scheduled due date, the user will still be able to submit the filing via EASi, however, the Registrant may be liable for penalties which may be imposed, if the filing is late.
What is the process for adding organisation users to EASi?
Each organisation has an Organisation Administrator User who has administration privileges that allow them to add new users to the Organisation.
The Organisation Administrator User will be required to do the following to add a new user:
- Go to the Control Panel and click ‘Users and Organisations’
- Click on the ‘All Organisations’ tab
- Click the ‘Actions’ button
- Select ‘Add User’
- Enter the new User’s data in the required Fields
What is the process for deactivating or deleting an organisation’s user access to EASi?
Each organisation has an Organisation Administrator User who has the administration privileges that allow them to deactivate or delete a User’s profile on EASi.
The Organisation Administrator User will be required to do the following to deactivate a User’s access:
- Go to the Control Panel and click ‘Users an Organisations’
- Click on the ‘All Users’ tab
- Click the ‘Actions’ button for the specific User
- Click the ‘Deactivate’ button
- Go to the Control Panel and click ‘Users and Organisations’
- Click on the ‘All Users’ tab
- Select ‘Inactive’ in the ‘Show” dropdown list to view deactivated users
- Click the ‘Actions’ button for the specific User
- Click the ‘Delete’ button
The Organisation Administrator User will be required to do the following to delete a User’s access (Only deactivated users can be deleted):
How will a user identify the status of a Form/Filing that has been submitted via EASi?
Once a Form has been submitted, its status can be viewed in the “Submitted Applications” page.
Once a Filing has been submitted, its status can be viewed in the “Submitted Filings” page.
Can I view past submissions on EASi?
All past submissions that have been submitted on EASi and are closed/completed by the Commission can be viewed on EASi. All previous versions of the same application will be overwritten once changes have been made and the application re-submitted via EASi.
For record keeping purposes, users will be required to maintain personal copies of applications and submissions as they require. This can be facilitated by utilising the “Download all” feature for each Form in the package, immediately after submission.
How will errors noted after a submission has been made, be addressed with the Commission?
Users will be required to contact the Commission via formal correspondence, advising of the errors which were noted after submission. Once the same is done, a member of the Staff of the Commission will have the ability to re-open the application for amendments, where necessary.
Is electronic registration and/or filings completely paperless?
Yes, normally, e-filing is completely paperless.
After you have submitted your electronic return, you should:
- Print and/or save a copy of your form
- Keep copies of the form and other documents used to complete your return
- Retain all records (electronic or physical) for a period of at least six (6) years
Are there any requirements for the upload of attachments via EASi?
Yes, one of the requirements for the upload of attachments via EASi is specific naming conventions. The following naming conventions are therefore required to be utilised when uploading attachments via EASi:
For external correspondence, the naming convention should be [dateofupload_Acronym of the company to TTSEC_subject matter]. For e.g. 23062020_BBL to TTSEC_Re Response to Deficiency Letter 1.
A list of standard company acronyms is available below.
These naming conventions for attachments will allow for the following:
- Easy identification of documents on the system
- Easy extraction of documents
- Maintenance of a standardised naming convention in the system
|For external correspondence, the naming convention should be <dateofupload_Acronym of the company to TTSEC_subject matter>. For e.g. 23062020_BBL to TTSEC_Re Response to Deficiency Letter 1.|
|A J Mauritzen &Company Ltd||AJM|
|Add Venture Capital Fund Ltd||AVCF|
|Admiral Capital Ltd||AdCl|
|Afcorp Mutual Funds Ltd||AMF|
|Agostini Insurance Brokers Ltd||AIB|
|AIC Barbados Ltd||AICBdos|
|Air Liquide Trinidad and Tobago||ALTT|
|Airport’s Authority of TnT||AATT|
|Alain Christian Marie Agostini||Aagostini|
|Aldon Phillip Williams||AWilliams|
|Alignvest Acquisition II Corporation||AAC|
|Alpha Savings and Trust Ltd||ASTL|
|Amanah Securities Ltd.||ASecL|
|Angostura (Barbados) Ltd||ABL|
|Angostura Holdings Ltd||AHL|
|Annette C Borel||Aborel|
|Ansa McAl Ltd||AMCL|
|Ansa Merchant Bank Ltd||AMBL|
|Ansa Money Market Funds||AMMF|
|Ansa Securities Ltd||ASL|
|Aspire Fund Management Company Ltd||AFMCL|
|Assuria Life TnT Ltd.||ALTTL|
|Barclays Investment Funds||BIF|
|Barclays Investment Funds Channel Islands Ltd||BIFCIL|
|BCB Holdings Ltd||BCBH|
|BE TAG Antilles Group (St. Lucia) Ltd||BETAG|
|Berger Paints Trinidad Ltd||BER|
|Bermudez Group Ltd||BGL|
|BHP Billiton Ltd||BHP|
|Bothnia Internation Insurance Company Ltd||BIICL|
|Bourse Brazil Latin American Fund||BBLF|
|Bourse Brokers Ltd||BBL|
|Bourse Securities Ltd||BSL|
|Built Financial Investors Ltd||BFIL|
|BWIA West Indies Airways Ltd.||BWIA|
|Cable Bahamas Ltd||CBL|
|Calypso Macro Index Fund||CALYP|
|Capital & Credit Financial Group Ltd||CCFG|
|Capital & Credit Merchant Bank Ltd||CCMB|
|Capital Markets Banc||CMB|
|Capital Markets Elite Group Ltd||CMEG|
|Caribbean Stockbrokers Ltd||CSL|
|Caribbean Venture Capital Company Ltd||CVCCL|
|Caroni 1975 Ltd||CaL|
|Celadon Financial Group||CFG|
|Central Bank of Trinidad and Tobago||CBTT|
|Chip Sa Gomes||CSaGomes|
|CIBC Private Client Fund Ltd||CIBCPCF|
|Citibank Trinidad and Tobago Ltd||CTTL|
|Citicorp Merchant Bank Ltd||CMBL|
|CLICO Investment Bank Ltd||CIBL|
|Clico Investment Fund||CIF|
|Clico Trust Corporation Ltd||CTC|
|Cohiba Consulting Limited||COHIBA|
|Colonial Life Insurance Company Trinidad Ltd.||CLICO|
|Compass Wealth Management Limited||CWML|
|Credit Suisse AG Cayman Islands||CSAG|
|Credit Suisse Barbados||CSBdos|
|Development Finance Ltd||DFL|
|Dolphin Property Fund 1||DPF1|
|Douglas Glan||D Glan|
|Dynamic Equity Fund II Ltd||DEFII|
|Dynamic Equity Venture Fund Ltd||DEVF|
|Edeavour Holdings Limited||EHL|
|Education Facilities Company Ltd||EFCL|
|Empresa Generadora de Electricidad Haina, S.A.||EGEHaina|
|Eppley Caribbean Property Fund Limited SCC||ECPFLSCC|
|FCL Financial Ltd||FCLFL|
|First Citizens Asset Management Ltd||FCAM|
|First Citizens Bank Ltd||FIRST|
|First Citizens Brokerage & Advisory Services||FCBAS|
|First Citizens Depository Services Limited||FCDSL|
|First Citizens Holdings Limited||FCHL|
|First Citizens Investment Services Ltd||FCISL|
|First Citizens Portfolio and Investment Management Services Limited||FCPIMS|
|First Citizens Securities Trading Ltd||FCST|
|First Citizens Trustee Service Ltd||FCTS|
|FirstCaribbean International Bank (Trinidad and Tobago) Ltd||FCIBTT|
|FirstCaribbean International Bank Ltd||FCIB|
|Firstline Securities Ltd||FSL|
|Flavorite Foods Ltd||FFL|
|FNCU Venture Capital Company Ltd||FNCU|
|Fortress Caribbean High Interest Fund Ltd||FCHIF|
|Fortress Caribbean Property Fund||CPF|
|Fortress Fund Managers||FFM|
|Fortress Global Value Fund Ltd||FGVF|
|Fortress Mutual Fund Ltd||FMFL|
|Fortress OAM Overseas Fund Ltd||FOOFL|
|Franco Investments Company Limited||FICL|
|Funds International Limited||FIL|
|Furness Trinidad Ltd||FTL|
|GFG Fund PCC Ltd||GFGFPL|
|Global Financial Brokers Ltd||GFBL|
|Gordon Junior Gatt||GGatt|
|Government of Aruba||GOA|
|Government of Suriname||GOS|
|Government of the Republic of Trinidad and Tobago||GORTT|
|Grace Kennedy Ltd||GKL|
|Guardian Asset Management Ltd||GAM|
|Guardian Asset Mgmt and Investment Services Ltd||GAMISL|
|Guardian Group Trust Ltd||GGTL|
|Guardian Holdings Ltd||GHL|
|Guardian Life of the Caribbean Ltd||GLOC|
|Guardian Media Ltd||GML|
|Hyatt Regency Trinidad||HYATT|
|Ian L Benjamin|
|Infinity Financial Engineering Ltd||IFEL|
|Intercommercial Bank Ltd||IBL|
|Intercommercial Trust and Merchant Bank Ltd||ITMBL|
|Jamaica Money Market Brokers Ltd||JMMB|
|Jamaica Public Service Company||JPSC|
|Jamaica Select Index Fund Ltd||JSIF|
|JMMB Bank TnT Ltd.||JMMBBTT|
|JMMB Fund Managers Ltd.||JMMBFML|
|JMMB Group Ltd||JMMBGL|
|JMMB Investments Trinidad and Tobago Ltd.||JMMBITTL|
|JMMB Life Goal Funds S2||JLGFS2|
|JMMB Securities TnT Ltd||JMMBSTT|
|KCL Capital Market Brokers Ltd||KCLCMBL|
|Kempenfelt House Consulting Inc||KHCI|
|KPMG Trinidad and Tobago||KPMG|
|KSBM Asset Management Ltd||KSBMAML|
|L. J. Williams Ltd||LJW|
|La Brea Industrial Development Co. Ltd.||LIDCO|
|Lex Caribbean Attorney at Law||LCAL|
|Life Settlements Funds Ltd||LSF|
|Lisa Maria Alexander||LAlexander|
|Manulife Investment Exchange Funds Corp||MIEFC|
|Maritime Capital Ltd||MCL|
|Marquis Portfolio Managers||MPM|
|Massy Holdings Ltd||MASSY|
|Massy Technologies InfoCom Trinidad Ltd||MassyTech|
|Matthew Aliby vs JMMB Investments TnT Limited|
|Mega Insurance Company Ltd||MICL|
|Mondial (Trinidad) Ltd||MTL|
|Mora Ven Holdings Ltd||MOV|
|MPC Caribbean Clean Energy Feeder Limited||MPC|
|Murphy Clarke Financial Ltd||MCFL|
|National Commercial Bank Jamaica Ltd||NCBJ|
|National Energy Corporation||NEC|
|National Enterprises Ltd||NEL|
|National Flour Mills Ltd||NFM|
|National Infrastructure Development Co. Ltd.||NIDCO|
|National Insurance Property Development Co. Ltd.||NIPDEC|
|National Investment Fund Holding Company Ltd||NIFHL|
|National Maintenance Training and Security Co. Ltd.||MTS|
|NCB Financial Group Ltd||NCBFG|
|NCB Global Finance Ltd||NCBGFL|
|NCB Global Holdings Ltd||NCBGHL|
|Nestle Trinidad and Tobago Ltd||NTTL|
|NiQuan Energy Trinidad Limited||NETL|
|Odyssey Consult Inc||Odyssey|
|Old Mutual International Isle of Man Ltd||OMIIML|
|One Caribbean Media Ltd||OCM|
|Pan Caribbean Asset Management Ltd||PCAM|
|Point Lisas Industrial Port Development Corp Ltd.||PLD|
|Port Authority of Trinidad and Tobago||PATnT|
|Praetorian Property Mutual Fund||PPMF|
|Prestige Holdings Ltd||PHL|
|Proven Investment Limited||PIL|
|PSCU Property Management Ltd||PSCU|
|Public Transport Service Corporation||PTSC|
|Quilter International Isle of Man Limited||QIIML|
|RBC Financial Caribbean Ltd||RBCFCL|
|RBC Holdings Trinidad and Tobago Ltd||RBCHTT|
|RBC Investment Management (Caribbean) Ltd||RBCIMCL|
|RBC Merchant Bank (Caribbean) Ltd||RBCMB|
|RBC Royal Bank TnT Ltd||RBCTT|
|RBC Trust (Trinidad and Tobago) Ltd||RBCTTTL|
|RBTT Bank Barbados Ltd||RBTTBdos|
|RBTT Finance Ltd||RBTTFL|
|RBTT Financial Holdings Ltd||RBTTFH|
|Readymix West Indies Ltd||RML|
|REAL Marketing Ltd||RML|
|Republic Bank Ltd||RBL|
|Republic Finance and Merchant Bank Ltd||FINCOR|
|Republic Financial Holdings Ltd||RFHL|
|Republic Securities Ltd||RSL|
|Republic TTD Fixed Income Securities Fund||RFISF|
|Republic Wealth Management Ltd||RWML|
|Resolution Life Assurance Company Limited||RLACL|
|RNC Genter Capital Management||RNC|
|Royal Bank of Canada||RBC|
|Royal Dutch Shell PLC||Shell|
|Royal Skandia Life Assurance Ltd||RSLA|
|Sagicor Asset Management TnT Ltd.||SAMTT|
|Sagicor Financial Company Ltd||SFCo|
|Sagicor Financial Corporation Limited||SFCL|
|Sagicor Funds Incorporated||SFI|
|Sagicor Investments Trinidad and Tobago Limited||SagITTL|
|Sagicor Life Incorporated||SLI|
|Schroder International Selection Fund||SISF|
|Schroder Investment Management (Luxembourg) S.A.||SIM|
|Scotia Caribbean Income Fund Inc||SCIFI|
|Scotia Investments Jamaica Ltd||SIJL|
|Scotia Investments Trinidad and Tobago Ltd.||SITTL|
|Scotiabank Global Partners Bal Growth Portfolio Inc.||SGPBGP|
|Scotiabank Global Partners Bal Income Portfolio Inc.||SGPBIP|
|Scotiabank Global Partners Growth Portfolio Inc.||SGPGP|
|Scotiabank Global Partners Income and Cons Growth||SGPICG|
|Scotiabank Short-Term Income Fund Inc||SSTTIF|
|Scotiabank Trinidad and Tobago Fixed Income Fund Inc.||SBTTFI|
|Scotiabank Trinidad and Tobago Growth Fund Inc.||SBTTGF|
|Scotiabank Trinidad and Tobago Ltd||SBTT|
|SEAF Caribbean Management LLC||SCML|
|SHBL Investments Ltd||SHBL|
|Sheppard Securities Ltd||SSL|
|St Christopher Air and Sea Ports Authority||StCASPA|
|St. Kitts Urban Development Corporation Ltd||StKUDC|
|Stallion Property Trust||SPT|
|Sterling Tobago Airways Ltd||STAL|
|Stone Street Capital Ltd.||SSCL|
|Streamline Systems Co Ltd||SSCL|
|Supreme Ventures Ltd||SVL|
|TCL Leasing Ltd||TCLL|
|TCL Service Ltd||TCLS|
|TECU Credit Union||TCN|
|Telecommunications Services of TnT Ltd||TSTT|
|The Barbados Shipping & Trading Company Ltd||BSTC|
|The Home Mortgage Bank||HMB|
|The Home Mortgage Bank Mortgage Participation Fund||HMBPF|
|The Home Mortgage Bank Mortgage Participation Fund 2||HMBPF2|
|The National Football Stadium Company Ltd||NFSC|
|The National Gas Company of Trinidad & Tobago||NGC|
|The National Insurance Board of TnT||NIBTT|
|The Sports Company of Trinidad and Tobago Ltd||SPORTT|
|The Trinidad and Tobago Central Depository Ltd||TTCD|
|The Vehicle Management Corporation of Trinidad & Tobago Ltd.||VemCOTT|
|The West Indian Tobacco Company Ltd||WCO|
|Tourism and Industrial Development COTT||TIDCO|
|Towers Alliance Ltd||TAL|
|Transjamaican Highway Ltd||THL|
|Trinidad & Tobago Unit Trust Corporation Ltd||TTUTC|
|Trinidad and Tobago Electricity Commission||TTEC|
|Trinidad and Tobago International Financial Centre||TTIFC|
|Trinidad and Tobago NGL Ltd||NGL|
|Trinidad and Tobago Securities and Exchange Commission||TTSEC|
|Trinidad and Tobago Stock Exchange||TTSE|
|Trinidad Cement Ltd||TCL|
|Trinidad Dry Dock Company Limited||TDDCL|
|Trinidad Express Newspapers||TEN|
|Trinidad Generation Unlimited||TGU|
|Trinidad Petroleum Holdings Limited||TPHL|
|Trinidad Select Index Fund Ltd||TSIFL|
|Triple M Equity Investment Services||TMEIS|
|TT Housing Development Corporation||HDC|
|TT Mortgage Finance Company Ltd||TTMF|
|TT Unified Calypsonians Organisation||TTUCO|
|Unilever Caribbean Ltd||UCL|
|Unit Trust Corporation (Cayman) SPC Ltd||UTCSPC|
|Universal Investments Ltd||UIL|
|Urban Development Corporation of TnT Ltd||UDECOTT|
|UTC Trust Corporation (Cayman) SPC Ltd||UTCSPC|
|Vega Capital Management Ltd||VCML|
|Vernon Walkins Transport Services||VWTS|
|Viola Asset Management Ltd||VAML|
|VT Umbrella Fund PCC Ltd||VTU|
|Water & Sewerage Authority||WASA|
|Waterloo Capital Advisors Ltd||WCAL|
|Wayne Yip Choy||WYipChoy|
|Welthecon Investment Managers Ltd||WIML|
|West Indies Stockbrokers Ltd||WISE|
|Western Medical Radiology||WMR|
|World Wide Net Limited||WWNL|
Is a submission considered complete if made via EASi but the associated payment has not yet been received by the Commission?
A submission is considered only when its associated payment is received and validated by the Commission’s Accounts department.
Is a renewal submission considered complete if made via EASi but the associated payment has not yet been received by the Commission?
A renewal submission is considered complete only when its associated payment is received and validated by the Commission’s Accounts department.
At what point is a submission/filing be considered past due?
A submission/filing will be considered past due if it is not submitted to the Commission on or before its due date.
What happens if my due date falls on a weekend or official holiday?
If a submission due date falls on a weekend or official holiday in Trinidad and Tobago, you will have the ability to submit the Filing on the next business day without being liable for any penalties associated with late submission.
What will a certificate be generated for?
A certificate will be generated for the registration, or renewal of registration of Broker-Dealers, Investment Advisers (Individual and Corporate), Underwriters, Self-Regulatory Organisations and Reporting Issuers. Certificates will also be generated where Reporting Issuers submit their annual Revised Registration Statements.
Certificates will not be generated when current Registrants are “Onboarded” (see FAQ 20) to EASi.
How long is a certificate valid for?
A certificate for a Broker-Dealer, Investment Adviser (Individual and Corporate), Underwriter, Self-Regulatory Organisation is valid for a period of one year from registration/renewal date.
For Reporting Issuers, while certificates may not expire, penalties can be imposed for late or non-submission of Revised Registration Statements.
What is an e-Signature?
An “e-Signature” is basically an electronic signature, which is required to be appended to the Form/Filing before the Form/Filing can be successfully submitted via EASi.
The user will be prompted to electronically sign the form prior to submission and will be redirected to an e-Signing Room where specific instructions for e-signing are included.
How will certification of forms be facilitated via EASi?
The officer appointed by the Applicant/Registrant, to electronically sign and submit the Form via EASi, will be required to download a copy of the completed Form.
The individual/s required to certify the contents of the submission being made will be required to append their signature to the downloaded copy. The user will be required to upload the signed copy at the identified attachment item on the electronic Form.
How will EASi facilitate the certification of information provided by Registered Representatives as part of their registration application?
The Registered Representative will not be able to sign the disclosures made via EASi, as done previously in the Form 3B. On EASi, the Applicant/Registrant with whom the Registered Representative is employed, will be required to appoint an officer to complete and electronically sign and submit the form containing the Registered Representative’s information.
Applicants/Registrants will be required to ensure that disclosures made on behalf of its Registered Representatives via EASi are appropriately certified by these individuals. Appropriate documents in support of this are also required to be maintained.
How will EASi facilitate the certification of information provided by Directors as part of the registration application?
The Director will not be able to sign the disclosures made via EASi, as done previously in the appendices to Forms 1, 2A and 8. On EASi, the Applicant/Registrant of whom the individual is a director, will be required to appoint an officer to complete and electronically sign and submit the form containing the Director’s information.
Applicants/Registrants will be required to ensure that disclosures made on behalf of its Directors via EASi, are appropriately certified by these individuals. Appropriate documents in support of this are also required to be maintained.