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- Draft Policy1441. Draft Policy Paper – Introduction of Administrative Fines for AML Breaches December 17, 2021
- Published Articles1442. Mutual Funds and the Christmas Season December 15, 2021
- Material Changes1443. GKC – Change to Board of Directors – Peter Moses December 14, 2021
- Material Changes1444. QIIoM – Change to Senior Officers – Quirk, Malin, Markland et al December 8, 2021
- Material Changes1445. QIIoM – Sale of Quilter International Holdings Limited and Quilter International Ireland dac December 8, 2021
- Published Articles1446. How to Avoid Becoming a Victim of Affinity Fraud December 8, 2021
- Material Changes1447. GKC – Change to Senior Officer – Tawana Gray December 6, 2021
- Material Changes1448. DFL – Change to Senior Officer – Gary Awai December 1, 2021
- Material Changes1449. AHL – Change to Senior Officer – Fabio Di Giammarco December 1, 2021
- Material Changes1450. TTUTC – Change to Senior Officer – Jo-Anne Julien December 1, 2021
- Published Articles1451. Impact of Changes in Interest Rates on Investment December 1, 2021
- Published Articles1452. Indicators of a Viable Investment Opportunity November 24, 2021
This section compiles written decisions and settlement outcomes issued by the Commission under its legal authority. These entries document the resolution of enforcement matters, rule-change applications, delisting decisions, and other regulatory actions arising from referrals and formal hearings.