As at 31 March 2009

TRINIDAD AND TOBAGO Securities & Exchange Commission
List of Registrants 2009-2010
21 Dynamic Equity Fund II Limited
22 Dynamic Equity Venture Fund Limited
23 Empresa Generadora de Electricidad Haina,
S.A. (EGE Haina)
24 First Citizens Asset Management Limited
25 First Citizens Bank Limited
26 FirstCaribbean International Bank Limited
27 Flavorite Foods Limited
28 FNCU Venture Capital Company Limited
29 Fortress Caribbean Property Fund Limited
30 Furness Trinidad Limited
31 GraceKennedy Limited
32 Guardian Holdings Limited
33 Intercommercial Bank Limited
34 Jamaica Money Market Brokers Limited
35 Jamaica Public Service Company
36 Jamaica Select Index Fund Limited
37 L.J. Williams Limited
38 La Brea Industrial Development Company Limited
39 Life Settlements Funds Limited
40 Mega Insurance Company Limited
41 Mora Ven Holdings Limited
42 National Commercial Bank Jamaica Limited
43 National Enterprises Limited
44 National Flour Mills Limited
45 National Insurance Property Development
Company Limited
46 National Maintenance Training
and Security Company Limited
47 Neal & Massy Holdings Limited
48 Nestle Trinidad and Tobago Limited
49 One Caribbean Media Limited
50 Pan Caribbean Asset Management Limited
51 Phoenix Park Gas Processors Limited
52 Point Lisas Industrial Port Development
Corporation Limited
53 Port Authority of Trinidad and Tobago
54 Prestige Holdings Limited
55 Public Transport Service Corporation
56 RBC Holdings (Trinidad and Tobago) Limited
57 RBTT Bank Barbados Limited
58 RBTT Bank Limited
59 RBTT Finance Limited
60 RBTT Financial Holdings Limited
61 RBTT Merchant Bank Limited
62 Readymix (West Indies) Limited
63 Republic Bank Limited
64 Republic Finance and Merchant Bank Limited
65 Royal Bank of Canada
66 Royal Skandia Life Assurance Limited
67 Sagicor Financial Corporation
68 Sagicor Funds Incorporated
69 Sagicor Merchant Limited
70 Schroder Investment Management
(Luxembourg) S.A
71 Scotia DBG Investments Limited
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
Scotiabank Trinidad & Tobago Limited
St Christopher Air and Sea Ports Authority
St. Kitts Urban Development Corporation Ltd
Supreme Ventures Limited
TCL Leasing Limited
TCL Service Limited
Telecommunications Services of
Trinidad and Tobago Limited
The Barbados Shipping & Trading Company Limited
The Home Mortgage Bank
The National Football Stadium Company Limited
The Vehicle Manangement Corporation of
Trinidad & Tobago Limited
The West Indian Tobacco Company Limited
Tourism & Industrial Development Company of
Trinidad & Tobago Limited
TransJamaican Highway Limited
Trinidad & Tobago Housing Development Corporation
Trinidad & Tobago Unit Trust Corporation
Trinidad Cement Limited
Trinidad Publishing Company Limited
Trinidad Select Index Fund Limited
Unilever Caribbean Limited
Unit Trust Corporation (Cayman) SPC Limited
Urban Development Corporation
of Trinidad & Tobago Limited
Valpark Shopping Plaza Limited
Water & Sewerage Authority
Self-Regulatory Organizations
Self-Regulatory Organizations
1
2
The Trinidad and Tobago Stock Exchange Limited
The Trinidad and Tobago Central Depository Limited
Renewal
Date
11-Aug-09
8-Nov-09
Trader
1
2
3
4
5
6
7
8
9
Traders
Company
Basdeo, Roshan
Bridgewater, Joanne
Chen, Nancy
Bourse Securities Limited
Republic Securities Limited
West Indies Stockbrokers
Limited
Republic Securities Limited
West Indies Stockbrokers
Limited
Caribbean Stockbrokers Limited
Republic Securities Limited
AIC Securities Limited
Caribbean Money Market
Brokers Limited
Bourse Brokers Limited
Bourse Securities Limited
Eve, Patricia
Fletcher, Claire
Gajadar, Kerry
Inniss-Bernard, Judy
Lamy, Lorin Shereece
Mahabirsingh, Sherma
10. Shaun Mohammed
11 Ramkhelawan, Sarodh
Renewal
Date
27-Sep-09
9-May-09
27-Jan-10
23-Jun-09
19-Mar-09
7-Sep-09
4-Dec-09
9-Aug-09
13-Nov-09
20-May-09
13-Jul-09
TRINIDAD AND TOBAGO Securities & Exchange Commission
List of Registrants 2009-2010
12 Ramnath-Singh, Gail
13 Salloum, Christiane
14
15
16
17
Caribbean Stockbrokers Limited
CMMB Securities and Asset
Management Limited
Savary, Hilary
AIC Securities Limited
Thomas, Rowland Marc Dehring Bunting and Golding
(Trinindad) Limited
Vieria, Lisa Ann
AIC Securities Limited
Wells-Fraser, Bernadette AIC Securities Limited
4-Dec-09
Underwriters
9-Mar-10
17-Feb-10
12-Sep-09
16-Feb-10
12-Jun-09
Underwriters
1
2
FirstCaribbean International Bank
(Bahamas) Limited
FirstCaribbean International Bank
(Trinidad & Tobago) Limited
Renewal
Date
13-Jun-09
4-Dec-09
Traders in Government of Trinidad and Tobago Bonds Alone
1
2
3
4
Ghany, Rianna Sarah
Martineau, Dan
Melville, Cecila
Wallace, Chivonne
First Citizens Bank Limited
Ansa Merchant Bank Limited
Citicorp Merchant Bank Limited
First Citizens Bank Limited
31-Jan-10
13-Jan-10
10-Oct-09
31-Jan-10
Securities Companies
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
31
32
Securities Company Name
AIC Capital Market Brokers Limited
AIC Securities Limited
Ansa Merchant Bank Limited
Ansa Securities Limited
Bourse Brokers Limited
Bourse Securities Limited
Caribbean Money Market Brokers Limited
Caribbean Stockbrokers Limited
Citicorp Merchant Bank Limited
CMMB Securities and Asset Management Limited
Dehring, Bunting and Golding (Trinidad) Limited
Development Finance Limited
First Citizens Asset Management Limited
First Citizens Bank Limited
First Citizens Securities Trading Limited
First Global (Trinidad and Tobago) Limited
FirstCaribbean International Bank
(Trinidad & Tobago) Limited
Firstline Securities Limited
General Finance Corporation Limited
Guardian Asset Management Limited
Intercommercial Bank Limited
Intercommercial Trust and Merchant Bank Limited
RBTT Merchant Bank Limited
Republic Bank Limited
Republic Finance and Merchant Bank Limited
Republic Securities Limited
Sagicor Life Incorporated
Sagicor Merchant Limited
Scotiabank Trinidad & Tobago Limited
Scotiatrust and Merchant Bank
Trinidad and Tobago Limited
Sheppard Securities Limited
Trinidad and Tobago Unit Trust Corporation
West Indies Stockbrokers Limited
Classes of Business
Dealer, Investment Adviser, Underwriter
Broker, Dealer, Investment Adviser, Underwriter
Broker (G), Dealer, Investment Adviser, Underwriter
Broker (G), Dealer, Investment Adviser, Underwriter
Broker, Dealer
Broker, Dealer, Investment Adviser, Underwriter
Broker, Dealer, Investment Adviser, Underwriter
Broker, Dealer, Investment Adviser, Underwriter
Broker (G), Dealer, Investment Adviser, Underwriter
Broker, Dealer, Investment Adviser, Underwriter
Broker, Dealer, Investment Adviser, Underwriter
Dealer, Investment Adviser, Underwriter
Dealer, Investment Adviser, Underwriter
Broker (G), Investment Adviser, Underwriter
Dealer, Investment Adviser, Underwriter
Dealer, Investment Adviser, Underwriter
Renewal Date
17-Mar-09
10-Oct-09
4-Dec-09
18-Sep-09
11-Jan-10
4-Dec-09
26-Apr-09
13-Jun-09
10-Oct-09
6-Mar-10
25-May-09
4-Dec-09
17-Dec-09
10-Jan-10
4-Dec-09
13-Jul-09
Broker (G)
Dealer, Investment Adviser, Underwriter
Dealer, Investment Adviser, Underwriter
Dealer, Investment Adviser, Underwriter
Dealer, Investment Adviser, Underwriter
Broker (G), Dealer, Investment Adviser, Underwriter
Broker (G), Dealer, Underwriter
Dealer, Investment Adviser, Underwriter
Underwriter
Broker
Dealer, Investment Adviser, Underwriter
Dealer, Investment Adviser, Underwriter
Underwriter
10-Oct-09
2-Mar-10
21-Feb-10
19-Jul-09
21-Jan-10
22-Mar-10
4-Dec-09
4-Dec-09
4-Dec-09
4-Dec-09
11-Jan-10
12-Oct-09
4-Dec-09
Dealer, Investment Adviser, Underwriter
Broker
Broker (G), Dealer, Investment Adviser, Underwriter
Broker, Dealer, Investment Adviser, Underwriter
4-Dec-09
22-Mar-10
12-Dec-09
9-May-09