What is EASi?
EASi is an online service offered by the Trinidad and Tobago Securities and Exchange Commission (“ the Commission”) that allows persons or organisations involved in the Securities Market to manage their registration, disclosures filings and renewals online. EASi is meant to replace the manual process for all submissions which it facilitates.
The “Electronically Advanced Submission interface” (EASi) aims to improve current processes by allowing users to conveniently conduct their business at any time from any place. It also allows for faster turnaround time for submissions, and facilitates the tracking of application status. It is a secure, convenient way of doing business with the Commission.
What are the benefits of EASi?
Which Forms can be accessed via EASi?
- 1 – Registration as a Self-Regulatory Organisation – Simple
- 2A – Registration as a Broker-Dealer, Investment Adviser or Underwriter
- (Corporate-Form Only) – Simple
- 2B – Registration as an Investment Adviser (Individuals Only) – Simple
- 3 – Registration of Registered Representatives
- 5 – Approval of Substantial Shareholders of Registrants Under Section 51(1)
- 6 – Notification of Change
- 7 – Registration of a Branch Office
- 8 – Registration and Revised Statements – Simple
- 9 – Distribution Statement
- 10A – Material Change Report
- 10B – Publication of Notices of Material Change
- 11 – Financial Statement Certification
- 11A – Annual Report Submission
- 15 – Risk Disclosure Statement for Asset Backed Securities
- 19 – Post-Distribution Statement
- 20 – Notification of Limited Offering
- 21 – Report by Registrant of Trades Executed other than Through a Securities Exchange
- 22 – Trading Report of a Person Connected to a Reporting Issuer
- 23 – Conflict of Interest Rules Statement
- 24 – Quarterly Capital Requirements
How do I use EASi?
- Built in controls to prevent the entry of incorrect information into certain field types within forms.
- Mandatory fields preventing the applicant/registrant from proceeding without submission of the minimum required information.
- Mandatory document attachment upload features preventing the applicant/registrant from proceeding without uploading the necessary attachments.
- Intuitive pre-population of forms to reduce instances of inconsistent information submitted.
EASi can be used to:
- Submit applications to the Commission for registration and renewal of registration of:
- Investment Advisers
- Registered Representatives
- Reporting Issuers
- Self-Regulatory Organizations
- Sponsored Broker-Dealers
- Sponsored Investment Advisers
- Branch Offices of Broker-Dealers, Investment Advisers and Underwriters (NB – EASi cannot facilitate applications for renewal of Branch Offices at this time)
- Submit applications for registration of securities
- Apply to be approved as fit and proper to be a substantial shareholder
- Submit filings to the Commission such as:
- Material Change Notices and Reports
- Financial Statement Filings
- Conflict of Interest Rules Statements
- Limited Offering Notifications
- Post Distribution Statements
- Capital Confirmations
- Trading Reports
- Applications to be approved as fit and proper to be a substantial shareholder
- Form 6 Notifications of Change
- Applications for registration of securities
- Connected Person Reporting
- Reporting of Off-Exchange Trading
Existing Registrants will initially be required to submit On-boarding/Simple applications. The EASi On-boarding exercise will be conducted to bring entities that are already registered with the Commission into the system, bypassing the registration process. It will involve all existing Registrants populating simplified Forms on the system to create a profile for themselves. On-boarding will ensure that the Commission captures current information for all existing Registrants on EASi. This information will then be used as a baseline on the system for each existing Registrant, once a simplified workflow review process by Staff of the Commission is conducted. After existing registrants complete the On-boarding process they can use EASi to submit registration applications, other filings and renewal applications.
On-boarding will be conducted in batches. Staff of the Commission will communicate with all entities to schedule the initiation of their On-boarding process.