BROKER APPLICATION REQUIREMENTS
In order to be licensed as a broker on the Trinidad and Tobago Stock Exchange (TTSE), an applicant must meet the requirements stipulated in TTSE Rule 100. The Stockbroker licence is valid for a period of three (3) years or until the applicant’s employment at the Member Firm is terminated. The broker’s license may be renewed pursuant to the submission of a renewal application to the TTSE before the expiry of the three-year period. The annual licence fee is TT $3,000.00 and is payable on January 1st of each year. Note that the full annual fee is applicable before June 30th and is prorated on a monthly basis after June 30th.
In order to obtain a license, the following is required:
- The proposed applicant may be required to sit and pass the “Broker-Trader Examination”; and
- Submit an application in the prescribed form to the TTSE.
REGISTRATION
- Cover letter which shall include a confirmation from the Broker/Dealer Firm that the applicant is a full-time employee of the firm and has been employed for at least six (6) months.
- Certified copy of the Certificate of Character issued by the Trinidad and Tobago Police Service (TTPS) no older than 6 months. A receipt and a Statutory Declaration signed by the applicant will be accepted in the interim.
- Schedule 8 to be completed by the applicant.
- Proof of payment of licence fee.
- Evidence of registration as a Brokering Representative with Trinidad and Tobago Securities and Exchange Commission.
- Certified copy of a valid government issued photo identification.
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