Based on the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago (the “Act”), a Self-Regulatory Organisation (SRO) means:
- a clearing agency;
- securities exchange;
- an association of market actors registered or required to be registered under this Act; or
- such other entity,
that sets standards for, or monitors the conduct of its members or participants relating to, trading in, or advising on securities.
Section 36 of the Act indicates that no person shall carry on business or activities as a self-regulatory organisation unless registered as a self-regulatory organisation by the Commission.
Application Requirements
Applicants must:
- Apply for registration as a Self-Regulatory Organization in accordance with Section 36 of the Act by completing and submitting the Form 1
Registration Fees
Registration fees that applicants must submit vary depending on the nature of activities that the SRO intends to conduct:
Type of Registrant | Initial Registration Fee (TTD) |
Self-Regulatory Organization | $50,000 |
Application Requirements for Renewal of Registration
Applicants must:
• Apply for renewal of registration as a Self-Regulatory Organization in accordance with Section 36 of the Act by completing and submitting the Form 1
Registration Fees
Registration fees that applicants must submit vary depending on the nature of activities that the SRO intends to conduct:
Type of Registrant | Initial Registration Fee (TTD) |
Self-Regulatory Organization | $50,000 |
Please see here for a detailed list of the Commission’s fees: Fee Schedule
Kindly note that fees are payable in advance and are non-refundable.