Regulatory Alerts1997-01-01
The Securities Industry By-laws, 1997
The Minister of Trinidad and Tobago issued these by-laws under the Securities Industry Act, 1995 to establish detailed regulatory requirements for market participants and the Securities and Exchange Commission. The document mandates strict capital adequacy standards for self-regulatory organizations and market actors while imposing rigorous record-keeping, financial reporting, and disclosure obligations on registrants. It further regulates market conduct by enforcing rules on insider trading, conflicts of interest, client account supervision, and the timely confirmation of trades to ensure market integrity.
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