How The Commission Protects The Rights of Investors

The Trinidad and Tobago Securities and Exchange Commission is responsible for ensuring that the securities industry operates in a fair, transparent and efficient manner in order to protect the rights of investors.

Q. How does the Commission regulate the securities market?

The Commission regulates the market by:

  • Registering all securities issues to the public; all issuers of those securities; all market actors i.e. brokers, dealers, traders, underwriters, securities companies, and investment advisers; and all self regulatory organizations (for example, stock exchanges and securities associations);
  • Maintaining constant surveillance over the market to ensure that there is transparent,fair and equitable dealing in securities;
  • Hearing and investigating complaints from aggrieved persons;
  • Enforcing the penalties of the Securities Industry Act, 1995;
  • Conducting Investor Education programmes

Q. How does registering with the Commission provide investors with protection?

  • All issuers of securities and market actors (registrants) must provide the Commission with information on the company, its directors and the securities being offered to the public or to investors.
  • Firms and individuals are registered by category. Each registration category has different education and experience requirements and permits different activities.
  • Registration will not be granted unless the Commission is satisfied that an applicant is fit and proper, meets the requirements of the law with respect to capital and educational qualifications and discloses any information that may affect the conduct and integrity of his business.
  • Market actors and issuers must continuously provide the Commission and investors with information inclusive of changes which may positively or negatively affect the performance of their business.

For more information on how the Commission protects investors visit our website at