Checklist of Submissions for Renewal of Registration Investment Adviser

Investment Adviser

13 May 2015

Documents to be submitted for Renewal of Registration

If an Individual:

  • Renewal fee of TT$7,500.00;
  • Form No. 2 (to be dated and signed by the individual);
  • Documentary evidence that this person holds a degree or professional qualification in economics, banking, law, accountancy, business administration or chartered secretaryship (unless the same has already been lodged with the Commission);
  • A statement signed by the individual stating that he/she has no interests, direct or indirect which may conflict with or be likely to affect the conduct and integrity of his/her business as an Investment Adviser;
  • A statement signed by the individual with respect to not having a receiving or bankruptcy order made against him/her that remains undischarged;
  • Documentary evidence of meeting the capital requirements of TT$50,000.00; and
  • Two passport size photos.

If a Company:

  • Renewal fee of TT$10,000;
  • Registration Statement Form No. 2 (to be dated and signed by the CEO and two directors);
  • A conflict of interest rules statement (to be dated and signed by the CEO and two directors);
  • A statement signed by the CEO and two (2) directors of the company stating that the company has no interests, direct or indirect, that may conflict with or be likely to affect the conduct and integrity of its business as an Investment Adviser;
  • A statement signed by the CEO and two (2) directors of the company with respect to the company not having a receiving or bankruptcy order made against it that remains undischarged;
  • Documentary evidence of meeting the capital requirements of TT$50,000.00; and
  • A statement identifying the individual(s) who will be responsible for the discharge of the company’s business as an Investment Adviser, and for each person so identifed, the following documents are to be submitted:
    • Registration Statement Form No. 2 (to be signed and dated by the individual);
    • Documentary evidence that this person(s) holds a degree or professional qualification in economics, banking, law, accountancy, business administration or chartered secretaryship (unless the same has already been lodged with the Commission);
    • A statement signed by the individual stating that he/she has no interests, direct or indirect which may conflict with or be likely to affect the conduct and integrity of his business as an Investment Adviser;
    • A statement signed by the individual indicating that there is no bankruptcy order made against him/her that remains undischarged; and
    • Two passport size photos.

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