Regulatory Alerts2022-11-16
TTSEC Guidelines on Implementation of the Tax Information Exchange Agreements (United States of America) Act 2017
The Trinidad and Tobago Securities and Exchange Commission has issued final Guidelines under the TIEAA Act 2017, requiring broker-dealers, underwriters, and investment advisers to implement robust compliance frameworks. Registrants must designate a responsible officer, conduct a self-assessment using the prescribed form, and notify the Commission of any classification changes within 30 days. The Guidelines are effective November 1, 2022, with completed self-assessment forms due by December 1, 2022.
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