Investment Advisers vs. Broker-Dealers (Part 2)

In a previous article, the Trinidad and Tobago Securities and Exchange Commission (TTSEC) explained the distinct role and function of Investment Advisers’ in the securities market of Trinidad and Tobago (In case you missed it click here). In this week’s article, we conclude with Broker-Dealers.

Similar to other securities regulators, the TTSEC views the dividing line between the activities performed by Broker-Dealers and Investment Advisers, as very essential for the proper functioning of the securities market.


Read more here–> Investment Advisers vs. Broker-Dealers_Part 2



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