Regulatory Alerts2015-05-01
Securities (General) By-Laws 2015
The Minister of Trinidad and Tobago issued the Securities (General) By-Laws 2015 to establish detailed regulatory requirements under the Securities Act, 2012. These By-laws mandate strict conduct standards for Commission members, registration criteria for registrants and self-regulatory organizations, and comprehensive obligations regarding capital, record-keeping, and market conduct. The regulations also define solvency standards, conflict of interest rules, auditor qualifications, and the administration of contingency and settlement assurance funds.
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