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- Published Articles1801. Principles Underpinning Corporate Governance February 17, 2021
- Published Articles1802. Market Conduct – What is expected from Registrants? February 10, 2021
- Material Changes1803. CTTL – Change of Senior Officer – Miguel Martinez February 9, 2021
- Material Changes1804. FCDSL- Change to Senior Officer – Brian Woo February 4, 2021
- Material Changes1805. AATT- Appointment of Board of Directors February 4, 2021
- Material Changes1806. AGL- Amendment to Company By-Law February 4, 2021
- Published Articles1807. The Importance of Ethics in the Securities Industry – The Role of Registrants Pt. 2 February 3, 2021
- Material Changes1808. NIPDEC – Change to Senior Officer – Raymond Hackett February 2, 2021
- Material Changes1809. FIRST – Change to branch operations January 29, 2021
- Material Changes1810. TCL – Closure of TCL Packaging Limited January 29, 2021
- Material Changes1811. NFM – Change to Senior Officer – Kelvin Mahabir January 29, 2021
- Material Changes1812. SCEF – Change to Senior Officer – Robert Lawrence January 29, 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.