Regulatory Alerts2008-06-02
Securities Industry (Hearings and Settlements) Practice Rules, 2008
The Commission of Trinidad and Tobago issued the Securities Industry (Hearings and Settlements) Practice Rules, 2008 to govern procedural conduct for hearings and settlements under the Securities Industry Act, 1995. These rules establish comprehensive frameworks for service, pre-hearing conferences, disclosure obligations, and the conduct of both oral and documentary hearings. Additionally, the document outlines specific procedures for appeals, reviews of delegatee decisions, and settlement negotiations to ensure expeditious and just determinations.
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