EASi FAQs

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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:

  1. 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.
  2. Faster processing time – Reduction in the turnaround time for processing submissions for the registration of companies and securities and continuous disclosure filings.
  3. Reduced transaction cost of doing business inherent with moving from a paper-based process to electronic submissions.
  4. Improved transparency and visibility of submissions.
  5. Easy tracking of the status of submissions and end to end engagement with the Commission throughout the process.
  6. Streamlined reporting and resolution of users’ queries.

How can EASi be accessed?

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.

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:

  1. Google Chrome
  2. Firefox
  3. 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:

  1. Cheques, which must be delivered via hand or by mail to the Commission
  2. OR

  3. Electronic payments, such as wire transfer and Automated Clearing House (ACH)
  4. 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:

  1. For a cheque, include the unique request ID of the application on the remittance section of the cheque
  2. OR

  3. 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:

  1. Go to the Control Panel and click ‘Users and Organisations’
  2. Click on the ‘All Organisations’ tab
  3. Click the ‘Actions’ button
  4. Select ‘Add User’
  5. 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:

  1. Go to the Control Panel and click ‘Users an Organisations’
  2. Click on the ‘All Users’ tab
  3. Click the ‘Actions’ button for the specific User
  4. Click the ‘Deactivate’ button
  5. The Organisation Administrator User will be required to do the following to delete a User’s access (Only deactivated users can be deleted):

    1. Go to the Control Panel and click ‘Users and Organisations’
    2. Click on the ‘All Users’ tab
    3. Select ‘Inactive’ in the ‘Show” dropdown list to view deactivated users
    4. Click the ‘Actions’ button for the specific User
    5. Click the ‘Delete’ button

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:

  1. Print and/or save a copy of your form
  2. Keep copies of the form and other documents used to complete your return
  3. 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:

  1. Easy identification of documents on the system
  2. Easy extraction of documents
  3. 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.
Company/Organisation/Entity/Institution Acronym
A J Mauritzen &Company Ltd AJM
Add Venture Capital Fund Ltd AVCF
Admiral Capital Ltd AdCl
Admiral Ltd AdLd
Adrian Bharath ABharath
Adrian Manmohan AManmohan
Afcorp Mutual Funds Ltd AMF
Agostini Insurance Brokers Ltd AIB
Agostini’s Ltd AGL
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
Algico (T&T)Ltd ALGTT
Alignvest Acquisition II Corporation AAC
Aliyah Jaggassar AJaggassar
Allycia Precilla APrecilla
Alpha Savings and Trust Ltd ASTL
Alstons Ltd ALS
Alvin Johnson AJohnson
Amanah Securities Ltd. ASecL
Anderson Basdeo ABasdeo
Andrew Ferguson AFerguson
Angostura (Barbados) Ltd ABL
Angostura Holdings Ltd AHL
Angostura Ltd ANG
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
Bidrate Ltd BrL
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
C&W Business CWB
Cable Bahamas Ltd CBL
Calypso Macro Index Fund CALYP
Camille Mohammed CMohammed
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
Chivonne Wallace CWallace
CIBC Private Client Fund Ltd CIBCPCF
CinemaONE Ltd COL
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
Cristina Bermudez-Lucky CLucky
Dan Martineau DMartineau
Daniel Lambert DLambert
Development Finance Ltd DFL
Dolphin Property Fund 1 DPF1
Donald Nock DNock
Douglas Glan D Glan
Dwane Baird DBaird
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
Francisco Carrera-Justiz FCJustiz
Franco Investments Company Limited FICL
Funds International Limited FIL
Furness Trinidad Ltd FTL
GFG Fund PCC Ltd GFGFPL
Global Financial Brokers Ltd GFBL
Godfrey Gosein GGosein
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
Greystone Ltd GREY
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
Hussain Haroon HHaroon
Hyatt Regency Trinidad HYATT
Ian Chin IChin
Ian L Benjamin
Ian Narine INarine
Ian Quan-Soon IQuan-Soon
Infinity Financial Engineering Ltd IFEL
Intercommercial Bank Ltd IBL
Intercommercial Trust and Merchant Bank Ltd ITMBL
Jaime Dasarathsingh JDasarathsingh
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
Joanne Bridgewater JBridgewater
Jody Hernandez JHernandez
Judy Inniss-Bernard JIBernard
Karen Darbasie KDarbasie
Kathryn Abdulla KAbdulla
KCL Capital Market Brokers Ltd KCLCMBL
Kempenfelt House Consulting Inc KHCI
Kerry Gajadhar KGajadhar
Kerry Maharaj KMaharaj
KPMG Trinidad and Tobago KPMG
KSBM Asset Management Ltd KSBMAML
L. J. Williams Ltd LJW
La Brea Industrial Development Co. Ltd. LIDCO
Larry Howai LHowai
Lex Caribbean Attorney at Law LCAL
Life Settlements Funds Ltd LSF
Lisa Maria Alexander LAlexander
Lou-Ann Gilkes LGilkes
Manulife Investment Exchange Funds Corp MIEFC
Marc Anatol MA
Maritime Capital Ltd MCL
Mark Ramkerrysingh MRamkerrysingh
Marquis Portfolio Managers MPM
Massy Holdings Ltd MASSY
Massy Motors MML
Massy Technologies InfoCom Trinidad Ltd MassyTech
Matthew Aliby vs JMMB Investments TnT Limited
Mega Insurance Company Ltd MICL
Michael Savarin MSavarin
Mondial (Trinidad) Ltd MTL
Mora Ven Holdings Ltd MOV
MPC Caribbean  Clean Energy Feeder Limited MPC
Murphy Clarke Financial Ltd MCFL
Myrnelle Akan MAkan
Nancy Chen NChen
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
Neil Salandy NSalandy
Nestle Trinidad and Tobago Ltd NTTL
Nigel Clewett NClewett
Nigel Scott NSCOTT
NiQuan Energy Trinidad Limited NETL
Nisha Mohammed NMohammed
Odyssey Consult Inc Odyssey
Old Mutual International Isle of Man Ltd OMIIML
One Caribbean Media Ltd OCM
Oscar Alviar OAlviar
Pan Caribbean Asset Management Ltd PCAM
Patricia Eve PEve
Paul Jenkins PJenkins
Point Lisas Industrial Port Development Corp Ltd. PLD
Port Authority of Trinidad and Tobago PATnT
Praetorian Property Mutual Fund PPMF
Prakash Ramlakhan PRamlakhan
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
Rawle Ramlogan RRamlogan
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
Reaaz Shah RShah
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
RGM Ltd RGML
RNC Genter Capital Management RNC
Rohini Hanoman RHanoman
Roshan Basdeo RBasdeo
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
Salma Ali SAli
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
Sheldon Powell SPowell
Shelton Nicholls SNicholls
Sheppard Securities Ltd SSL
St Christopher Air and Sea Ports Authority StCASPA
St. Kitts Urban Development Corporation Ltd StKUDC
Stallion Property Trust SPT
Stephen Burris SBurris
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
Wendel Mottley WMottley
Wendell Bobb WB
West Indies Stockbrokers Ltd WISE
Western Medical Radiology WMR
World Wide Net Limited WWNL
Yogendranath Ramsingh YRamsingh
Zaheer Edoo ZEdoo

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.

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