Based on the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago (the “Act”), a Reporting Issuer means an issuer—
- that was immediately before the coming into force of this Act, a reporting issuer under the former Act;
- that is registered or is required to be registered under this Act as a reporting issuer;
- any of whose securities are listed on a registered securities market; or
- whose existence continues or who comes into existence following a takeover, business combination or other reorganisation involving an exchange of securities in which one of the parties was a reporting issuer at the time of the transaction, but does not include a government entity or international agency.
Section 61(1) of the Act indicates that a person who propose to make a distribution of securities shall first apply to the Commission to be registered as a Reporting Issuer by filing a registration statement in such form as the Commission may determine and paying the prescribed fee.
Application Requirements
This Checklist for Registration of a Reporting Issuer which provides a detailed list of the documents, forms and fees that are generally required in support of applications for registration of Reporting Issuers.
Applicants must:
- Applicants must apply for registration as a Reporting Issuer in accordance with Section 61(1) of the Act.
- `Provide certain information on their Board of Directors; and
- Submit their most recent financial statements.
Forms
Application Requirements for Revised Registration
This Checklist for Registration of a Reporting Issuer which provides a detailed list of the documents, forms and fees that are generally required in support of applications for registration of Reporting Issuers.
Applicants must:
- Applicants must re-apply for registration as a Reporting Issuer in accordance with Section 61(1) of the Act.
- Provide certain information on their Board of Directors; and
- Submit their most recent financial statements.
Forms
1. Form 8
The items identified above are a summary of the requirements for an application for the registration of an Reporting Issuer, however, please note that the list is non-exhaustive.
The detailed break-down of requirements are provided within the checklist identified above.
Registration Fees
No. | Type of Registrant | Annual Registration Fee (TTD) |
1. | Reporting Issuer | $8,000 |
Please see here for a detailed list of the Commission’s fees: Fee Schedule
Kindly note that fees are payable in advance and are non-refundable.