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Persons/corporations subject to enforcement action
Quarter ended
Quarter ended
Quarter ended
Quarter ended
Prosecutions 49 47 47 47
Civil proceedings 205 207 193 193
Disciplinary proceedings 23 25 28 24
Market Misconduct Tribunal proceedings 36 15 15 14
Total 313 294 283 278

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.

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