Securities & Futures Commission of Hong Kong

Persons subject to ongoing or concluded enforcement proceedings

See chart

Quarter ended
30/09/2019
Quarter ended
30/06/2019
Quarter ended
31/03/2019
Quarter ended
31/12/2018
Prosecutions14121413
Civil proceedings147100103108
Disciplinary proceedings40285453
Market Misconduct Tribunal proceedings32303131
Total233170202205

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.

3.6945 s