Home' Trinidad and Tobago Guardian : October 8th 2013 Contents B18
Guardian www.guardian.co.tt Tuesday, October 8, 2013
The General Counsel has overall responsibility for the establishment of the Commission's pol-
icy on legal matters. The General Counsel serves as the chief legal advisor to the Chairman
regarding all legal matters and services performed within, or involving, the Commission, and
provides legal advice to the Commissioners and the Divisions as appropriate.
o Participates in the definition and development of corporate policies, procedures and
programs and provides counsel and guidance on legal matters and on legal implications of
o Serves as key lawyer/legal advisor on all major business transactions, including acquisitions,
divestitures and joint ventures.
o Judges the merits of major court cases filed against or on behalf of the Commission, works
with the appropriate executive(s) to define a strategic defense and approve settlements of
disputes where warranted.
o Assumes ultimate responsibility for ensuring that the Commission conducts its business in
compliance with applicable laws and regulations.
o Organises and manages the company's internal legal function and staff.
o Decides on selection, retention, management and evaluation of all external counsel.
o Advises on legal aspects of the Commission's financing, including assessing and advising on
current and future business structures and legal entities.
o Provides legal support and advice all enforcement matters of the Commission
o Bachelors of Law Degree and certificate in legal education; advanced degree in securities
law and securities market regulation would be an asset.
o 10-15 years' experience in corporate and/or commercial law.
o 10 years' experience as an advocate in Trinidad and Tobago's courts.
o 8 years' experience in managing a team of legal professionals.
o 8-10 years' experience in a financial regulatory environment /financial services firm.
o Consideration will be given to a suitable and equivalent combination of qualifications
• Never ignore them. Lend a sympathetic ear
to their problems. Remember, there has to be
a certain reason as to why an employee behaves
in an unacceptable way. As a manager, it is your
duty to find out the cause. If someone is coming
late to work daily, find out whether he stays too
far from the office or has some other problem.
Believe me, the other person would feel happy
to see your concern and try his/her level best
• Take action immediately. Do not wait for
the right day to come. Sit with them, speak to
them, discuss their problems and try to resolve
the same as soon as possible. Problems left
unattended only escalate. You have to be patient
with them. They might not open up on the first
attempt. Some people don t even realize that
they are the problem creators and need to change.
As a manager, it is your duty to make them
realise that their behaviour is not at all ethical
and they need to behave as a mature professional.
Be polite with them. If you shout at them, they
will not only become stubborn but also speak
ill of you. Trust me; they will not even bother
to listen to you. Throwing them out is not the
only solution. Try if you can mould them and
make them realise their own mistakes.
• Grievances need to be addressed in private.
Take the person into the conference room or
meeting room and address the issue calmly. Do
not allow anyone else apart from the individual
concerned to be a part of the meeting. How
would you feel if your problems are addressed
in public? In fact no one likes it. Motivate them
to get rid of their negative traits and qualities.
Guide them in their day to day work. Let them
know how a small change in their behaviour
would create wonders for them. Nothing is more
important than self realisation. Set targets and
link them with incentives, cash prizes, additional
perks and so on. Encourage them to participate
in various training programs willingly and not
for the sake of marking attendance. Counselling
If the employee still does not behave in appro-
priate manner, ask him/her to find a new job.
You need to make them realise as to why you
do not need them in the system and how their
behaviour is spoiling the work culture? In most
cases, employees do change and start behaving
sensibly. If you still do not find any change in
him/her, please show the exit door immedi-
Dealing with unacceptable employee behaviour
Even the best of machinery, processes
and technology would not help, unless
and until employees know how to
behave with external clients. Clients
and customers need to be treated well
if you expect them to stay loyal towards
Why would you deal with an organ-
isation where employees do not know
how to behave? Better client relation-
ships lead to increased revenues and
Individuals need to be trained as to
how they should behave with clients
as well as end-users. Do not forget that
you are getting your salary just because
your organisation is getting paid by the
You have no rights to be rude with
your client. Be very clear as to what
they expect from you? Have a clear
understanding of your client s require-
ments in order to meet and exceed their
Know your client well. Interact with
the right person and try to understand
their nature of business, needs and
demands. You have to be patient with
It is quite possible that they might
not understand you on the first attempt
but that does not mean you can be
angry with them. Relax, have a cup of
coffee and discuss once again with a
fresh and calm mind. Never use abusive
language at workplace. Believe me; you
will lose your job.
No manager accepts bad behaviour
against any client. If your client has
confided something in you, please do
not disclose it to your team members
and fellow workers. Such a behaviour
is unethical and not at all acceptable.
Do not try to misuse your client s infor-
mation or tamper any data. If your
client complaints and decides to take
legal action against you, you might find
yourself behind the bars.
Never forget to greet your clients
with a smile. Try to know them on a
personal level as well. It helps. Enquire
about their health, family and so on.
Make sure you do not try to interfere
too much in their personal lives.
Never spread baseless rumours
against anyone. You should only be
concerned with your work and nothing
else. How would it affect your work if
your client goes out for movie or dinner
after 6.30 pm with his girlfriend or
friend etc? Believe me, it is none of
your business. Do not try to be over-
friendly with your client and share your
team s internal strategies or policies.
Never speak ill of your clients.
Never ignore their phone calls or e-
mails. Some individuals have a tendency
not to pick their client s calls once the
deal is done. If you have missed their
call, please give them a call back as
soon as possible.
Not answering emails would lead to
no solution. Guide them whenever they
need your assistance. Find out the root
causes of their problems and resolve
immediately. Do not take any major
decision without intimating the clients.
Keep them in the loop as well.
Avoid making fake promises and
telling lies. Do not commit anything
which you yourself know is not possible
Impact on external clients
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