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- Material Changes1801. SFCL – Additional Note Offering December 20, 2021
- AML Reports1802. Draft Policy Paper – Introduction of Administrative Fines for AML Breaches December 17, 2021
- Published Articles1803. Mutual Funds and the Christmas Season December 15, 2021
- Material Changes1804. GKC – Change to Board of Directors – Peter Moses December 14, 2021
- Material Changes1805. QIIoM – Change to Senior Officers – Quirk, Malin, Markland et al December 8, 2021
- Material Changes1806. QIIoM – Sale of Quilter International Holdings Limited and Quilter International Ireland dac December 8, 2021
- Published Articles1807. How to Avoid Becoming a Victim of Affinity Fraud December 8, 2021
- Material Changes1808. GKC – Change to Senior Officer – Tawana Gray December 6, 2021
- Material Changes1809. DFL – Change to Senior Officer – Gary Awai December 1, 2021
- Material Changes1810. AHL – Change to Senior Officer – Fabio Di Giammarco December 1, 2021
- Material Changes1811. TTUTC – Change to Senior Officer – Jo-Anne Julien December 1, 2021
- Published Articles1812. Impact of Changes in Interest Rates on Investment December 1, 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.