Securities & Futures Commission of Hong Kong

Persons subject to ongoing or concluded enforcement proceedings

See chart

Quarter ended
30/9/2016
Quarter ended
30/6/2016
Quarter ended
31/3/2016
Quarter ended
31/12/2015
Prosecutions1283122
Civil proceedings110104105104
Disciplinary proceedings54569173
Market Misconduct Tribunal proceedings39354130
Total215203268229

Note:
1. Ongoing enforcement proceedings may be accounted for and continue for more than one quarter. As a result, annual figures for these items are not the sums of figures of individual quarters but that of the number of persons subject to concluded proceedings during the year and the number of persons subject to ongoing proceedings at year-end.

3.4104 s