Securities & Futures Commission of Hong Kong

Persons subject to ongoing or concluded enforcement proceedings

See chart

Quarter ended
31/03/2020
Quarter ended
31/12/2019
Quarter ended
30/09/2019
Quarter ended
30/06/2019
Prosecutions16141412
Civil proceedings170163147100
Disciplinary proceedings62534028
Market Misconduct Tribunal proceedings39393230
Total287269233170

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.

3.5817 s