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Enforcement

Persons/corporations subject to enforcement action
Quarter ended
30/09/2023
Quarter ended
30/06/2023
Quarter ended
31/03/2023
Quarter ended
31/12/2022
Prosecutions 47 47 23 20
Civil proceedings 193 193 197 184
Disciplinary proceedings 28 24 47 40
Market Misconduct Tribunal proceedings 15 14 13 13
Total 283 278 280 257

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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