In the Matter of the Contraventions of Section 64 (1) (a), (b) and (c) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Scotia Caribbean Income Fund Inc. Read More>>> Contravention Order re Scotia Caribbean Income Fund Inc. – $150,350.00 – …
In the Matter of the Contravention of Section 136(2) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Brent Mc Fee Read more-> Contravention Order re Brent Mc Fee – $12,750.00 – 31st August 2021
In the Matter of the Contravention of Section 56(4) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago and By-Law 53(2) of the Securities (General), By-Laws 2015 By Bourse Securities Limited Read more->Contravention Order re Bourse Securities Limited – $6,400.00 – 31st …
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 >>> …
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>>> …
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 …
In the Matter of a Contravention of Section 56(4) of the Securities Act Chapter 83:02 and By-Law 53(3) of the Securities (General) By-Laws 2015 By Guardian Media Limited Read more -> Contravention Order re Guardian Media Limited – $28,800.00 – 17th August 2021
In the Matter of Contraventions of Section 64(1)(a), (b) and (c) Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Guardian Media Limited Read more-> Contravention Order re Guardian Media Limited – $9,600.00 – 17th August 2021
In the Matter of the Contravention of Section 64(1)(a), (b) and (c) of the Securities Act, Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By GraceKennedy Limited Read more-> Contravention Order re GraceKennedy Limited – $62,600.00 – 17th August 2021
In the Matter of the Contravention of Section 64(1)(c) of the Securities Act Chapter 83:02 of the Laws of the Republic of Trinidad and Tobago By Sagicor Financial Company Limited. Read More >>>Contravention Order re Sagicor Financial Company Limited – $25,200.00 – 17th August 2021
