Handling Investor Complaints

Trinidad and Tobago Securities and Exchange Commission (“TTSEC”) is charged with reviewing and investigating all complaints and ‘tips’ received in relation to the securities industry, including, but not limited to, those made against Broker-dealers, Investment Advisers, Underwriters, Reporting Issuers and Self-Regulatory Organisations.

Over the period 2018/2019 the TTSEC received 14 complaints from investors. Some of these complaints are provided in the checklist diagram below.



Read more here—> Handling Investor Complaints


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