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.

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.

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.

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

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.

Standard file types are supported by EASi e.g. .pdf, .docx, .xlxs, .txt, etc.

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.

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.

EASi is compatible with standard browsers. The following browsers are recommended:

1. Google Chrome
2. Firefox
3. Internet Explorer (version 11 or higher)

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

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.

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.

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.

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

OR

2. Electronic payments, such as wire transfer and Automated Clearing House (ACH)

There are NO options for credit and debit card payments at this time.

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

OR

2. 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*.

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.

The Terms and Conditions for use of the EASi platform can be accessed here.

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.

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.

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.

EASi is accessible to the general public, however it is recommended for persons or organisations involved in the Securities Market.

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.

Yes, changes have been made to the Commission’s Forms with the implementation of EASi. The substantial changes have been published via Board Order.

No, users will not be expected to submit hard copies of Forms submitted via EASi.

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.

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

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

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

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.

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.

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.

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

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

A submission is considered only when its associated payment is received and validated by the Commission’s Accounts department.

A renewal submission is considered complete only when its associated payment is received and validated by the Commission’s Accounts department.

A submission/filing will be considered past due if it is not submitted to the Commission on or before its due date.

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.

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.

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.

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.

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.

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.

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.