Trinidad and Tobago Securities and Exchange Commission

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2026-08-14Official Consolidation of the Companies Act Chapter 81.01 of Trinidad and Tobago
2026-08-14Official Consolidation of the Securities Act, 83.02
2026-03-11Circular Letter- VA-VASP-PF Risk Assessments
2026-02-27Anti-Money Laundering, Combating the Financing of Terrorism and Countering Proliferation Financing (AML/CFT/CPF) Guidelines for the Securities Sector
2026-02-23Circular Letter re National Policy and Strategy – updated Dec 2025
2026-01-29Circular Letter – Registrants Independent Audit Function – 2026 Jan 27
2026-01-27Miscellaneous Provisions (FATF Compliance) Act, 2025
2025-12-30Virtual Assets and Virtual Asset Service Providers Act 2025
2025-12-30Trinidad and Tobago SEC Prudential Submission Platform Launch
2025-12-05Circular Letter to Registrants re AML Laws
2025-11-27Statement of Substance and Purpose - Proposed Amendment to TTSE Rule 400
2025-11-21Circular Letter – Reporting Requirements for Beneficial Ownership by Reporting Entities
2025-10-30Counter-Proliferation Financing Act, 2025
2025-10-29Legal Notice No. 283 of 2025 – The Miscellaneous Provisions FATF Compliance Act No. 17 of 2024
2025-10-29The Miscellaneous Provisions FATF Compliance Act No. 17 of 2024
2025-06-25Status Update on TTSEC's Enforcement Proceedings
2025-04-17Statement of Substance and Purpose - proposed amendment to TTSE Rule 224 Trading Sessions
2025-04-17Statement of Substance and Purpose - Proposed Amendment to TTSE Rule 224 Trading Sessions
2025-02-10Draft Risk Based Capital and Liquidity Requirements Bye-Laws 2024
2024-12-17Circular Letter on TTSEC Fee Revision
2024-11-27Circular Letter – Process of Approval of Compliance Officer-Dual Entities
2024-11-27Circular Letter – Beneficial Ownership Reporting Entities
2024-10-16Miscellaneous Provisions (Registrar General, Companies, Registration of Business Names, and Non-Profit Organisations) Act, 2024
2024-10-16Miscellaneous Provisions (Global Forum) Act 2024
2024-05-21Implementation of the TTSEC Enhanced Risk-Based Supervision Framework
2024-05-16Implementation of the TTSEC Enhanced RBS Framework
2024-03-11Mutual Administrative Assistance in Tax Matters Act 7 of 2020
2024-03-04Miscellaneous Provisions (Trustees, Financial, Tax and Corporate Matters) Act, 2024
2024-01-24Circular Letter to Registrants – AML External Audit Reports
2023-09-06Circular Letter – Revised CIS Volume Report
2023-07-10Circular Letter- Amendments to the MMRF Forms
2023-06-23Circular Re: Securities (Collective Investment Schemes) Bye-Laws, 2023
2023-06-06Securities (Collective Investment Schemes) Bye-laws, 2023
2023-06-06Legal Notice No. 98 of 2023 Correction on CIS Bye-laws
2023-01-16TTSEC Circular on Period of Review for Internal and External Audit Reviews Under TIEAA Guidelines
2022-11-16TTSEC Guidelines on Implementation of the Tax Information Exchange Agreements (United States of America) Act 2017
2022-10-31TTSEC Guidelines for the Implementation of the Tax Information Exchange Agreement Act 2017
2022-09-26Revised Guideline for the De-registration of Reporting Issuers and Collective Investment Schemes
2022-06-27TTSE SME Mentorship Rules
2022-06-27Proposed SME Mentorship Rules and Special Market Listing Requirements
2022-06-22Finance (No. 2) Act, 2021
2019-07-08Act No. 12 of 2019 – Miscellaneous Provisions (Financial Institutions, Securities and Insurance) Act, 2019
2019-03-12Circular Letter Continuous Disclosure and Filing Obligations of Reporting Issuers
2018-07-31Amended Repurchase Agreements Guidelines – July 2018
2017-04-19Trinidad and Tobago Securities and Exchange Commission Guidelines for Sale and Repurchase Agreements
2017-04-19Proposed Amendments to the Repurchase Agreement Guidelines (April 2012)
2016-11-18Circular Letter 2 - Implementation of Micro-Macro Prudential Reporting Framework (MMRF)
2016-10-13Statement of Substance and Purpose – Proposal to Rescind Rule 200(3)
2016-09-29Statement of Substance and Purpose – Proposed Amendment to Capital Requirement Rule
2016-09-29Statement of Substance and Purpose – Proposed Amendment to SME Market Listing Requirements
2016-09-13Circular Letter 1 – Implementation of the Micro Macro Prudential Reporting Framework (MMRF)
2016-06-24TTSEC Updated Sample Compliance Officer Application Form
2015-10-02Trinidad and Tobago SEC Advisory Circular on Revised Registration Statements under Securities Act 2012
2015-10-02Circular Letter - Obligations Re: Securities (General) By-laws 2015
2015-10-02Circular Letter – FATCA
2015-10-02Guideline for the De-registration of Reporting Issuers and Collective Investment Schemes
2015-08-18Circular Letter - Obligations Re: Securities (General) By-laws 2015
2015-08-10Guideline for the De-registration of Reporting Issuers and Collective Investment Schemes
2015-05-01Securities (General) By-Laws 2015
2014-09-29Concise Statement of Substance and Purpose and Securities (General) By-Law
2014-04-24Circular Letter Securities (Amendment) Act 2014
2013-12-18Extension of Transitional Period for Registrants under the Securities Act, 2012
2013-06-28Advisory Circular on Soliciting Expressions of Interest Under Section 74 of the Securities Act, 2012
2012-04-24Application for the Approval of Compliance Officers
2012-04-20Repurchase Agreement Guidelines 2012
2010-05-05Draft Repurchase Transaction Agreement
2010-03-19Guidelines for Repurchase Agreements (Repos)
2009-06-10Guidelines for Employee Stock Compensation Plans
2009-05-29Guidelines for Foreign Companies Operating Employee Stock Compensation Plans in Trinidad and Tobago
2009-05-01Guidelines for Collective Investment Schemes
2009-03-05Guidelines for the removal of a reporting issuer
2008-11-20Guidelines for Disclosure of Price Sensitive Information
2008-06-02Securities Industry (Hearings and Settlements) Practice Rules, 2008
2008-01-30Guidelines for the Offering and Distribution of Structured Products
2007-10-31Amendment to Policy Guideline 11.1: Distribution of Foreign Mutual Fund Securities in Trinidad and Tobago
2007-10-08Policy Guidelines for Registration of Securities Companies and Brokers to Conduct Trading in Trinidad and Tobago Government Bonds
2007-08-17Stock Exchange Government Bond Trading Rules
2006-10-01Guidelines on Share Repurchases Pursuant to the Companies Act 1995 and the Securities Industry (Take-Over) By-Laws, 2005
2006-09-06Guidelines on Capital Requirements for Underwriters and Issuers of Asset-Backed Securities
2006-04-12Trinidad and Tobago Securities and Exchange Commission Collective Investment Schemes Guidelines
2005-06-27Promotion Presentation Standards for Collective Investment Schemes
2005-06-27The Regulatory Treatment of Deferred Tax Annuity/Saving Plans Sponsored by Non-Insurance Companies
2005-02-07The Securities Industry (Take-Over) By-Laws, 2005
2004-03-01Guidelines for Listing of Companies with Constrained Share Ownership provisions on the Trinidad and Tobago Stock Exchange
2003-09-29Policy Guidelines on Listed Companies’ Handling of Price Sensitive Information
2002-02-13Prospectus Guidelines For Public Offerings
1998-03-02Policy Guideline 11.1 – Mutual Funds – Distribution of Securities of Foreign Mutual Funds In Trinidad and Tobago
1997-01-01The Securities Industry By-laws, 1997