Regulatory Alerts2024-01-24
Circular Letter to Registrants – AML External Audit Reports
The Trinidad and Tobago Securities and Exchange Commission reminds registered broker-dealers, underwriters, and investment advisers of their obligation to have their compliance programs reviewed by trained external auditors. Registrants must submit these annual AML external audit reports to the Commission within four months of their financial year end, using the approved format and including the auditor's curriculum vitae. Failure to comply with these submission requirements or other relevant legislation may result in enforcement actions directed by the Commission to remedy the situation.
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