MUTUAL FUND ASSOCIATION OF TRINIDAD AND TOBAGO
"STRENGTHENING THE ENVIRONMENT FOR INVESTOR CONFIDENCE"

TTSEC – How We Protect the Investing Public    

Over the course of this article series, the Trinidad and Tobago Securities and Exchange Commission (TTSEC) has sought to educate the market and the public on its role and functions; and to demystify the operations of the local securities market, in order to engender greater levels of trust and confidence among investors. There has been significant focus on the measures utilised by the TTSEC to afford protection to investors, as provided for under the Securities Act, Chapter 83:02 (SA), and emphasis is placed on the important role of the individual, in ensuring his/her own investment interests are safeguarded by exercising due care and attention prior to any investment decision. 

The TTSEC’s core divisions play a major role in the preventative aspects of regulation by providing guidance to market participants, conducting surveillance and investigations, initiating enforcement action for breaches of the securities legislation and through an aggressive investor education and public outreach programme. We will now look at the specific functions associated with preventative regulation.

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