Securities & Futures Commission of Hong Kong

Persons subject to ongoing or concluded enforcement proceedings

See chart

Quarter ended
30/6/2018
Quarter ended
31/3/2018
Quarter ended
31/12/2017
Quarter ended
30/9/2017
Prosecutions13292420
Civil proceedings110131117126
Disciplinary proceedings42503535
Market Misconduct Tribunal proceedings19412929
Total184251205210

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.

3.5203 s