Securities & Futures Commission of Hong Kong

Persons subject to ongoing or concluded enforcement proceedings

See chart

Quarter ended
30/09/2018
Quarter ended
30/6/2018
Quarter ended
31/3/2018
Quarter ended
31/12/2017
Prosecutions12132924
Civil proceedings110110131117
Disciplinary proceedings43425035
Market Misconduct Tribunal proceedings20194129
Total185184251205

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.

3.4246 s