Documents to submit:

  • The issuer must be a Registered Reporting Issuer
  • Registration Statement Form No. 4 dated and signed by CEO and two (2) Directors
  • Registration Statement Filing fee of TT$100.00
  • Market Access Fee equal to 0.01% of the value of the security to be registered
  • “Prospectus covering the securities to be issued (unless an exemption is claimed under Section 75(1) and Section 75(2) of the SIA 1995).  Please note that as far as is reasonably practicable, the form and content of the prospectus should comply with the provisions of the Proposed Prospectus By-Laws and the Securities Industry By-Laws, 1997
  • Prospectus filing fee of TT$10,000 (where applicable)
  • Copies of all expert reports named in the prospectus
  • Signed consent letters from auditors and any other experts named in the Prospectus
  • Submissions of legal documentation and any agreement constituting the securities to be issued (Trust Deed, Sale Agreement, Guarantee Agreement, etc.)
  • List of potential investors
  • A Term Sheet indicating the terms and conditions of the bond
  • Where a debt security is being registered, the Underwriter must demonstrate its compliance with the Commission’s Guidelines for Underwriters and Issuers of Asset Backed Securities


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

Updated March 06 2009

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