Regulatory Alerts2024-05-21
Added · Updated
Implementation of the TTSEC Enhanced Risk-Based Supervision Framework
The Trinidad and Tobago Securities and Exchange Commission issued this circular to inform registrants of the completion of its enhanced Risk-Based Supervision Framework assessments. The regulator utilized data from submitted questionnaires to evaluate the risks posed by 53 registrants and has subsequently developed a biennial supervisory plan for targeted engagement. Individualized and market reports summarizing these findings will be provided to registrants, with further re-engagement scheduled for 2025.
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