Filing Obligations in the Securities Market Part 2 – Conclusion

In last week’s article, the Trinidad and Tobago Securities and Exchange Commission (“TTSEC”) outlined the main disclosure and filing requirements of the Reporting Issuer. In this article, we will discuss the disclosure and filing obligations of  Registrants under section 51 of the Securities Act, 2012 (“SA 2012”). According to the legislation , Registrants are defined as persons registered or required to be registered under Part IV of the Act, these include entities conducting  business activities of Investment Advisers, Broker-Dealers and Underwriters.


Read more here–> Filing obiligations in the securities market_Part 2


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