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Tag Exemption Order

Tag Archives: Exemption Order

Exemption Order re Bourse Securities Limited

In the Matter of Section 155(1A) (c) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Bourse Securities Limited for an Exemption Section 77(2) of the Securities Act, Chapter 83:02 of the Laws of the …

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Nicole Bachan •11 Oct 2021Orders Bourse Securities Limited, Exemption Order, TTSEC

Exemption Order re FCB and CAL Bond

In The Matter of Sections 61(1) 62(1), 155(1A) (c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago (the “Act”) And In The Matter of an Application by First Citizens Bank Limited for an Exemption from the Registration of Caribbean Airlines …

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Nicole Bachan •11 Oct 2021Orders CAL, Exemption Order, FCB, TTSEC

Exemption Order re Nigel Clewett

In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Nigel Clewett, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer   Read More >>> …

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Nicole Bachan •27 Aug 2021Orders Exemption Order, Nigel Clewitt, TTSEC

Exemption Order re Mondial (Trinidad) Limited

In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Mondial (Trinidad) Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer   Read More>>> …

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Nicole Bachan •27 Aug 2021Orders Exemption Order, Mondial Trinidad Limited, TTSEC

Exemption Order re Aspire Fund Management

In the Matter of Section 51(1), 155(A)(c) and 159(10) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Aspire Fund Management Company Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer   …

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Nicole Bachan •27 Aug 2021Orders Aspire Fund Management Company, Exemption Order, TTSEC

Exemption Order re Sagicor Financial Corporation – 30th July 2021

In the Matter of an Application by the Sagicor Financial Company Limited for an  Exemption from By-laws 11, 12, 13, 14, 15 and 16 of the Securities Industry (Take-Over) By-Laws 2005   Read more–> Exemption Order re Sagicor Financial Corporation – 30th July 2021

Nicole Bachan •30 Jul 2021Orders Exemption Order, Sagicor Financial Corporation, TTSEC

Exemption Order re: Aspire Fund Management Company Limited – 26th March 2021

In The Matter of Sections 51 (1) (a), 155 (1A) (c) and 159 (10) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago, and in the Matter of an Application by Aspire Fund Management Company Limited, a Registered Investment Adviser, for Exemption from …

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Nicole Bachan •26 Mar 2021Orders Aspire Fund Management Company, Exemption Order, order, TTSEC

Order re: Exemption Order Mondial (Trinidad) Limited

In The Matter of Sections 51(1) (a), 155(1A) (c) and 159(10) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago  And  In The Matter of an Application by Mondial (Trinidad) Limited, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer   …

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Nicole Bachan •24 Apr 2020Orders, Uncategorized Exemption Order, Mondial, TTSEC

Order re: Exemption Order Nigel Clewitt

In the Matter of Sections 51 (1), 155 (1A)(C) and 159(10) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago And In the Matter of an Application by Nigel Clewett, a Registered Investment Adviser, for Exemption from Registering as a Broker-Dealer   Nigel …

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Nicole Bachan •23 Apr 2020Orders Exemption Order, Nigel Clewitt, TTSEC
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