Securities & Futures Commission of Hong Kong

Persons subject to ongoing or concluded enforcement proceedings

See chart

Quarter ended
31/3/2017
Quarter ended
31/12/2016
Quarter ended
30/9/2016
Quarter ended
30/6/2016
Prosecutions2212128
Civil proceedings136114110104
Disciplinary proceedings75615456
Market Misconduct Tribunal proceedings41413935
Total274228215203

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.

3.4287 s