Checklist for Registration of Companies and Individuals Investment Advisor

Investment Advisor

4 Apr 2015

Investment Adviser

Documents to submit:

If an individual:

  • Registration fee of TT$7,500.00
  • Form No. 2 dated and signed by the applicant
  • Certified copies of the educational and/or professional qualification of the applicant, in Economics, Banking, Law, Accountancy, Business Administration, or Chartered Secretaryship
  • Evidence that the individual is at least twenty one (21) years old
  • A Police Certificate of Character
  • A statement signed by the applicant stating that he/she has no interests, direct or indirect which may conflict with or likely to affect the conduct and integrity of his business as an Investment Adviser
  • A dated and signed Conflict of Interest Rules Statement
  • A statement signed by the applicant with respect to 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

If a company:

  • Registration fee of TT$10,000.00
  • Form No. 2 for the company, dated and signed by the principal executive officer and at least two directors
  • If not previously registered in any capacity under the SIA, Form No. 2 for each director, dated and signed by the Director
  • A list of the names and addresses of current serving directors of the company and directorships held in other entities including subsidiaries of the company and international companies
  • A list of the names and addresses of shareholders holding an interest of 10% or greater in the company
  • A statement signed by the principal executive officer and at least two directors of the company stating that it has no interests, direct or indirect which may conflict with or likely to affect the conduct and integrity of his business as an Investment Adviser
  • Conflict of Interest Rules Statement dated and signed by the principal executive officer and at least two directors
  • A statement signed by the principal executive officer and at least two 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
  • Certified copies of constituent documents
  • Latest audited Financial Statements/Annual Report
  • Confirmation of the names of the persons who will be responsible for the discharge of the company’s business as an Investment Adviser. These persons must submit the following documents:
    • Form No. 2 for each person, dated and signed by the respective individual. (This individual should be a full time employee);
    • 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 each person(s) 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 person(s) indicating that there is no bankruptcy order made against him/her that remains undischarged; and
    • Two passport size photos for each person identified.

Note – The required submissions for registration include but are not limited to the above

June 12, 2009

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