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Tag Inspections

Tag Archives: Inspections

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 take enforcement action against any registrant for failing to comply with the SA. Where, during the course of a compliance review (or inspection) in accordance with section 89 of the …

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Nicole Bachan •15 Sep 2021Published Articles Compliance, Inspections, TTSEC

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.

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TTSEC •16 Sep 2013Media Releases Compliance, Inspections, media release, TTSEC, USSEC
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    TTSEC

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