October 4, 2013

Cooperation and technical assistance are important to the development of securities markets in the Caribbean

“Cooperation and technical assistance are important to the development of securities markets in the Caribbean and around the world.” This was the view of Ester Saverson Jr, Assistant Director, International Affairs at the United States Securities and Exchange Commission (U.S. SEC). Mr. Saverson Jr,   along with his colleagues from the USSEC, were in Trinidad to facilitate a four day Inspections and Compliance Training Programme with staff of the Trinidad and Tobago Securities and Exchange Commission (TTSEC) and regulators from the […]
September 19, 2013

USSEC conducts compliance training for TTSEC staff, local and regional regulators and market actors

In December 2012, the legislation which governs the securities sector was repealed and replaced by The Securities Act, 2012 (“the Act”). The new provisions in this recently enacted legislation now give the Trinidad and Tobago Securities and Exchange Commission (TTSEC) the power to conduct on-site examinations of Self-Regulatory Organizations (SROs) and persons registered under Part IV of the Act. It is against this backdrop that the TTSEC with support from the United States Securities and Exchange Commission (USSEC) will host […]
August 28, 2013

Defence Force officers and youth campers learn about financial planning

In furtherance of its mandate for investor education, the Trinidad and Tobago Securities and Exchange Commission (TTSEC) conducted a number of financial/investor education sessions with the various formations of the Trinidad and Tobago Defence Force (TTDF) and the vacation youth camps organised by the Ministry of Gender Youth and Child Development. These outreach sessions took place between June and August 2013. The TTDF sessions were a collaborative effort with the National Financial Literacy Programme of the Central Bank of Trinidad […]
August 26, 2013

How to make an investor complaint?

The Commission has the authority to investigate and adjudicate all complaints lodged with it under section 50 of the Act. The staff of the Commission reviews and investigates all complaints and tips related to the securities industry, including but not limited to those made against registrants (broker-dealers, investment advisers, underwriters, and reporting issuers) Complaints must be made in writing. Upon receipt of a complaint or tip if the actions of these individuals or companies suggest a possible breach or possible breaches […]