How Can We Help You?

How-Can-We-Help-YouOne of the ways that we help investors is by investigating possible breaches of the Act as well as customer complaints against registered market actors.

The Commission has the authority to investigate and adjudicate all complaints lodged with it.

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.

After reviewing a complaint or tip, the staff of the Commission may decide that further investigation is warranted, if the actions of these individuals or companies suggest a possible breach or possible breaches of the Act.

Here are the three steps:

Step 1: Make your complaint to the company
Step 2: Get the company’s response to your complaint in writing
Step 3: Lodge a complaint with the Commission if you are dissatisfied with the company’s response

The Commission will review your written complaint and take the appropriate action as determined by the outcome of its investigation

Visit: http://www.ttsec.org.tt/investor_resources.php?mid=123 for more information on the complaint process.