In order to be licensed as an authorized dealer (trader) on the Trinidad and Tobago Stock Exchange (TTSE), an applicant must meet the requirements stipulated in TTSE Rule 501. The Trader Licence is valid until the applicant’s employment at the member firm is terminated. The annual licence fee is TT $1,000.00 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.
APPLICATION REQUIREMENTS
- Cover letter which shall include a confirmation from the Broker/Dealer Firm that the applicant:
- a. is a full-time employee of the firm;
- b. has been employed for at least six (6) months; and
- c. Attend training sessions on the Exchange’s electronic trading system.
- Certified copy of the Certificate of Character issued by the Trinidad and Tobago Police Service (TTPS) no older than 6 months. If the Certificate of Character is pending, a certified copy of the receipt requesting same and a Statutory Declaration signed by the applicant will be accepted in the interim.
- Schedule 8 to be completed by the applicant.
- Appendix VI – Form of application for an Authorized Dealer
- Applicant’s resume
- Proof of payment of the licence fee.
- Evidence of registration as an Associate Representative with Trinidad and Tobago Securities and Exchange Commission.
- Certified copy of a valid government issued photo identification.
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