collective investment scheme baseline study (survey methodology)
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Collective Investment Collective Investment Scheme Baseline StudyScheme Baseline Study(Survey Methodology)(Survey Methodology)
Objective of The StudyObjective of The Study
To obtain a comprehensive overview of the growth, performance, operations and governance of the CIS industry in Trinidad and Tobago
Goals of the StudyGoals of the Study To estimate the growth and size of the CIS
industry in Trinidad and Tobago; To assess and analyse the legal,
administrative and governance structures in place for fund management companies; and
To review and assess fund management practices which are employed in the industry.
Scope of StudyScope of Study
Industry structure Governance Issues Fund management practices of the
Trinidad and Tobago CIV industry Regulatory Regime for Funds
OutputsOutputs
Baseline Study of the Collective Investment Scheme Industry; and
Electronic Database
Organisation and Team Organisation and Team AssignmentsAssignments
TTSEC + CBTTTTSEC + CBTT
Oversight Committee (7 members)Oversight Committee (7 members)Governor, CBTT – Mr. Ewart WilliamsChairman, TTSEC – Mr. Osborne Nurse
2 Dep. Govs, CBTT – Dr. Shelton Nicholls and Ms. Joan. John General Manager, TTSEC – Ms. Denise Hackett
Dirs. of Res., TTSEC and CBTT – Mr. K. Sergeant and Ms. P. Forde
Project TeamProject TeamTeam Leader and Analyst – K. Stephen (TTSEC)
CBTT Research Analysts – A. Corbin, G. Gilbert and E. ValereConsultant Analysts – D. Seerattan and A. Birchwood
5 Research Assistants
Survey ParticularsSurvey Particulars
Basic Entities to be examined Funds
Locally Originated Foreign Originated
Preferred points of contact for interview Local Funds
The Fund Manager of the Investment Operator and The Investment Advisor for the funds
Foreign Funds The Local Service Agent
Study PhasesStudy Phases Phase 1: Perform Survey of Secondary
Data Sources
Phase 2: Perform Field Survey
Phase 3: Perform Analysis
Phase 4: Industry Consultation
Phase 5: Complete Study
Survey Approach: Phase 1Survey Approach: Phase 1
Secondary Data/ Desktop SurveyData Sources
TTSEC Register of Mutual Funds Prospectuses Annual Reports and Newspapers
N.B.N.B. Some of the Secondary Data may have Some of the Secondary Data may have to to be verified during field survey.be verified during field survey.
Survey Approach: Phase 2Survey Approach: Phase 2 Field Survey/ Interviews
Intended Points of Contact Local Funds – Fund Administrator/ Investment Operator Foreign Funds – Local Service Agent
Instruments Survey Questionnaire Data Sheets (for quantitative data)
Procedure Visit is Scheduled Respondent is given questionnaire and data sheets prior to visit Initial scheduled visit is made to assist with questionnaire
completion Callbacks to assist with cleaning of data
Completion of StudyCompletion of Study
Initial Analysis is prepared and consultations are invited;
First Draft prepared and presented to the Oversight Committee; and
Study is completed and published upon final review by Oversight Committee.
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