The Role of Compliance and Inspections in Enforcing the Securities Law
The Securities Act, Chapter 83:02 (SA), provides the Trinidad and Tobago Securities and Exchange Commission (TTSEC) with the power to […]
Published Articles
Compliance
Published Articles
Building a Culture of Compliance – Pt 2
The Trinidad and Tobago Securities and Exchange Commission (TTSEC) is empowered under Section 89 of the Securities Act Chapter 83:02
Building a Culture of Compliance
The International Organisation of Securities Commissions (IOSCO) defines compliance as a function that, on an on-going basis, identifies, assesses, advises
Published Articles
Building a Culture of Regulatory Compliance (Part 2)
As the regulator for the securities industry, establishing regulatory compliance requires continuous vigilance and resources. Simultaneously, as our regulatory demands
Building a Culture of Regulatory Compliance (Part 1)
Regulatory compliance is essential to the orderly functioning of the securities market. Registrants registered with the Commission should establish effective
Media Releases
Media release- Inspections and Compliance training
The TTSEC with support from the United States Securities and Exchange Commission (USSEC) hosted a four day Inspections and Compliance Training Programme and a one day Inspections and Compliance Training Seminar from September 16-20 in Port of Spain.