Persons/corporations subject to enforcement action
Quarter ended
Quarter ended
Quarter ended
Quarter ended
Prosecutions 20 19 15 17
Civil proceedings 184 181 175 192
Disciplinary proceedings 40 32 27 56
Market Misconduct Tribunal proceedings 13 13 12 24
Total 257 245 229 289

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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