Collective Investment Scheme Baseline Study Survey Methodology

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Collective Investment Scheme Baseline
Study(Survey Methodology)
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Objective of The Study

• To obtain a comprehensive overview of the growth,
  performance, operations and governance of the CIS
  industry in Trinidad and Tobago

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Goals 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.

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Scope of Study

• Industry structure
• Governance Issues
• Fund management practices of the Trinidad and
  Tobago CIV industry
• Regulatory Regime for Funds

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Outputs

• Baseline Study of the Collective Investment
  Scheme Industry and
• Electronic Database

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Organisation and Team Assignments
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Survey 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

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Study 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

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Survey Approach Phase 1

• Secondary Data/ Desktop Survey
• Data Sources
• TTSEC Register of Mutual Funds
• Prospectuses
• Annual Reports and
• Newspapers
• N.B. Some of the Secondary Data may have to be
  verified during field survey.

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Survey 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

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Completion 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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Thank You