Compliance Programmes for the Securities Market

As part of our focus on Anti-Money Laundering and Combating the Financing of Terrorism (“AML/ CFT”), last week we explained  the respective roles of the Regulator and Registrants in ensuring compliance with AML/ CFT requirements.  In this week’s article, we delve further into what constitutes an effective Compliance Programme. Registrants …

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Notice of Amendments To Securities Act, Chapter 83:02 Of the Laws of Trinidad and Tobago

Please be advised that on the 8th May 2020, Her Excellency Paula-Mae Weekes O.R.T.T., President of the Republic of Trinidad and Tobago gave assent to the Miscellaneous Amendments Act, 2020 8th May 2020 (“the Act”), which amended several pieces of legislation including the Securities Act, Chapter 83:02 of the Laws …

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