Persons/corporations subject to enforcement action
Quarter ended
Quarter ended
Quarter ended
Quarter ended
Prosecutions 16 16 23 21
Civil proceedings 192 184 203 173
Disciplinary proceedings 45 30 49 39
Market Misconduct Tribunal proceedings 23 23 42 42
Total 276 253 317 275

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.

We use cookies to improve the website performance and user experience. If you continue to use this website, you are agreeing to their uses. Learn more about our privacy policy.