Enforcement

Persons/corporations subject to enforcement action
Quarter ended
30/06/2021
Quarter ended
31/03/2021
Quarter ended
31/12/2020
Quarter ended
30/09/2020
Prosecutions 16 23 21 21
Civil proceedings 184 203 173 167
Disciplinary proceedings 30 49 39 33
Market Misconduct Tribunal proceedings 23 42 42 42
Total 253 317 275 263

Note: 1. Ongoing enforcement proceedins 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.


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