The TTSEC : Regulating the securities industry so that you can invest with confidence

TTSEC signs Protocol with Securities Dealers Association
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Educate and empower yourself! If in doubt, contact the TTSEC!

The Trinidad and Tobago Securities and Exchange Commission remains dedicated to the promotion of investor confidence, fairness and the orderly growth of the local capital market. This is primarily achieved through the ongoing development of a regulatory system that is geared toward ensuring a high degree of investor protection as well as building enforcement capacity to ensure the preservation of market integrity. We have been, and will continue to be, guided by a concern for the protection of investors and the maintenance of investor confidence.

Here is a summary of how we protect you:

We ensure that all persons/entities desirous of dealing in securities are registered with us. A list of registrants is available on our website we advise you to check this list before engaging in any securities transactions. Both the seller and the security itself must be registered with the TTSEC.

We ensure that the market participant discloses in a document called the prospectus all of the information that an investor will need in order to make an informed decision.

We ensure that market actors comply with their continuous disclosure obligations. We conduct routine surveillance of stock market activity and conduct investigations of possible breaches of the Act and customer complaints against registered market actors.

We conduct on-site inspections in order to ensure that registrants are complying with the legislation, to identify compliance issues and areas of emerging risk which have the potential to adversely affect investors.

We promote market integrity by making and enforcing rules through the use of orders, guidelines and By-Laws as well as establishing and monitoring standards in the market which include codes of conduct, prudential criteria and corporate governance.

We coordinate and conduct an investor education programme designed to provide investors and potential investors with suitable information to guide informed decisions.