Documents to submit:

If an individual:

• Registration fee of TT$10,000.00
• Form No. 2 dated and signed by applicant
• Evidence that the individual is at least twenty one (21) years old
• A Police Certificate of Good 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 Underwriter
• 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$5,000,000

If a company:

• Registration fee of TT$10,000.00
• Form No. 2 for the company signed by CEO and at least two Directors
• Form No. 2 for each person, named at question 9 in Form No. 2, who will act, dated and signed by the individual
• If not previously registered, 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 CEO and at least two directors stating that it has no interests, direct or indirect which may conflict with or be likely to affect the conduct and integrity of the company’s business as an Underwriter
• A Conflict of Interest Rules Statement that is dated and signed by the CEO and at least two directors
• A statement signed by the CEO 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 being licensed under the Financial Institutions Act, 1993 to carry on the business of floating and underwriting securities or meeting the capital requirements of TT$5,000,000
• Certified copies of constituent documents
• Latest audited Financial Statements/Annual Reports

• Confirmation of the names of the persons who will be responsible for the discharge of the company’s business as an Underwriter. These persons must submit the following documents:
  • Form No. 2, to be dated and signed by that individual, who should be either a director or full time employee
  • Documentary evidence that the he/she is either registered as a broker, or holds a degree or professional qualification in economics, banking, law, accountancy, business administration or chartered secretaryship
  • A statement signed and dated 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 Underwriter
  • A statement signed and dated by the person(s) indicating that there is no bankruptcy order made against him/her that remains undischarged
  • Two passport-sized photographs

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

October 4, 2004