- Form No. 1-Registration as a Self Regulatory Organization
Download - Form No. 2A-Registration as a Broker-Dealer, Investment Advisor or Underwrite (Corporate Form Only)
- Download
- Form No. 2B-Registration as an Investment Adviser (Individuals Only)
Download - Form No. 3A- Registration as Registered Representative
Download - Form No. 3B-Registered Representative Questionnaire
Download - Form No. 4-Registration of Sponsored Broker-Dealer or Sponsored Investment Adviser
Download - Form No. 5-Approval of Substantial Shareholders of Registrants Registered Under Section 51(1)
Download - Form No. 6-Notifications
Download - Form No. 7-Registration of a Branch Office
Download - Form No. 8 – Registration and Revised Registration Statements for Reporting Issuers
- Download
- Form-8A-Reporting Issuer Registration for Collective Investment Schemes
- Download
- Form No. 9-Form-9-Distribution Statement
Download - Form No. 10 A – Material Change Form
Download - Form No. 10 B – Publication of Notices of Material Change
Download - Form No. 11-Financial Statement Certification
Download - Form No. 12-Form of Proxy – Notice of Meeting
Download - Form No. 13-Proxy Circular – Notice of Meeting
Download - Form No. 14-Dissident Proxy Circular
Download - Form No. 15-Risk Disclosure Statement for Asset Backed Securities
Download - Form No. 16-Certificate as an Approved Foreign Issuer
Download - Form No. 17-Submission to Jurisdiction and Appointment of Agent for Service of Process
Download - Form No. 18-Addendum to Prospectus for Distribution by Approved Foreign Issuer
Download - Form No. 19-Post Distribution Statement
- Download
- Form No. 20-Notification of Limited Offering
Download - Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – General Information
Instruction Download - Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – Appendix – A- Equity
Instruction Download - Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – Appendix – B -Debt
Instruction Download - Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – Appendix – C – Collective Investment Schemes
Instruction Download - Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – Appendix D – Securitized Instrument
Instruction Download - Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – Appendix – E -Other
Instruction Download - Form No. 22-Trading Report of a Person Connected to a Reporting Issuer
Download - Form No. 23- Conflict of Interest Rules Statement
Download - Form No. 24- Quarterly Capital Requirements
Download - Form No. 25- Authorisation Form For Collective Investment Schemes
- Download
- Form No.26- Authorisation as a Responsible Person Or Custodian
- Download
Schedule of Fees
The latest schedule of fees came into force from February 7, 2006 and was implemented by the Commission on April 1, 2006:
Hypothecation Agreement
This Agreement can be used by Applicants for Registration as Individual Investment Advisers as evidence of meeting the capital requirement of TT$50,000. This Agreement must be completed and submitted to the Commission in triplicate.
The forms below should be opened in Adobe 7 so that they can be edited and saved on your personal computer or device. Other versions of Adobe may enable editing and printing only.
Banking Institution
Hypothecation Agreement – Bank -Attorney-at-law
Hypothecation Agreement – Bank -Comm-of-Affidavits
Hypothecation-Agreement-Bank- Notary-Public
Non-Bank Financial Institution
Hypothecation-Agreement-Non-Bank-FI-Attorney-at-law-
Hypothecation-Agreement-Non-Bank-FI-Comm-of-Affid
Hypothecation-Agreement-Non-Bank-FI-Notary-Public
Market Access Fees Payment Schedule
This schedule can be used when paying Market Access Fees for open-ended Collective Investment Schemes
Market Access Fees Schedule for Open Ended Collective Investment Schemes