Inspections and Compliance Training Programme

16-Sep-2013 12:00 AM – 20-Sep-2013 12:00 AM
Venue: Marriott Courtyard, Invaders Bay, Port of Spain

The TTSEC with support from the United States Securities and Exchange Commission (USSEC) will host a four day Inspections and Compliance Training Programme and a one day Inspections and Compliance Training Seminar from September 16-20 in Port of Spain. These sessions are exceptional training and development opportunities for all regulators, securities market actors and other key players in the financial sector.

The Inspections and Compliance Training Programme, which targets fellow securities regulators from the Caribbean and TTSEC staff, aims to:

  • Provide other regional regulatory bodies with opportunities for re-tooling in the area of on-site examinations; and
  • Provide the staff of the Commission with an opportunity to understand the intricacies of the inspections process.

The Seminar on September 20, targets 120 registrants, market actors and regulators from Trinidad and Tobago and will provide attendees with information to assist them as they prepare for the introduction of on-site inspections at their respective entities.   Some key topics to be covered include:

  • Objectives and expected outcomes of the inspections process;
  • Risk-based regulation: A look at the risk assessment process;
  • Conduct of onsite inspections; and
  • Case studies of inspections of Broker-Dealer, Investment Adviser and SROs

Facilitators at these sessions include Kathleen Kelly, Senior Special Counsel, Ken Joseph, Regional Director and Ester Swanson Jr, Associate Director of International Affairs; all from the USSEC. Dean Miller from the Financial Industry Regulatory Authority (FINRA) of the USA and representatives from the Trinidad and Tobago Stock Exchange Limited and Jamaica Financial Services Commission will also conduct presentations. We believe that these sessions are exceptional training and development opportunities for all regulators in the region.


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