Trader in Securities

Documents to submit:

  • Form No. 2 dated and signed by Applicant and Supervising Broker
  • Registration fee of TT$5,000.00
  • Police Certificate of Character
  • A statement indicating that there is no bankruptcy order made against him that remains undischarged
  • 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 a trader
  • A letter from the company advising:
    • the effective date of employment of the applicant
    • stating the applicant’s position in the company
    • that he/she is under the direction and supervision of a broker (state the broker’s name) employed with them
  • Two passport sized photographs

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

December 31, 2008

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