Mondial is an investment advisor registered with the Trinidad & Tobago Securities and Exchange commission. Click here to visit the SEC website.
A central objective of our organisation is that we must offer continuity of service to our clients in the short, medium and long-term as our advice encompasses these different time horizons.
To continue achieving this objective we are cognisant that regulatory compliance is essential to help ensure our long term existence. We have seen many examples in the last decade of both international and local investment organisations failing to provide the longevity required which has now properly resulted in greater regulation of financial institutions and advisors.
Regulation not only covers the qualifications, audited accounts, and annual registration requirements for investment advisors which intend to protect the investor, but also anti-money laundering and counter-terrorism which seeks to protect everyone. Those who are not or choose not to be registered have none of these requirements or costs, but are at risk if these regulations are enforced. Despite the additional burden in time and cost for registered advisors we fully embrace regulation from the perspective of both investor protection and public policy.
