Regulatory Alerts2024-01-24
Added · Updated
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 anti-money laundering compliance programs reviewed by trained external auditors. Registrants must submit these external audit reports to the Commission and their Boards of Directors within four months of the financial year end, using the approved format and including the auditor's curriculum vitae. Failure to comply with these submission requirements or other relevant laws may result in enforcement actions directed by the Commission to remedy the situation.
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