Persons/corporations subject to enforcement action
Quarter ended
Quarter ended
Quarter ended
Quarter ended
Prosecutions 19 15 17 16
Civil proceedings 181 175 192 192
Disciplinary proceedings 32 27 56 51
Market Misconduct Tribunal proceedings 13 12 24 23
Total 245 229 289 282

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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