Enforcement

Persons/corporations subject to enforcement action
Quarter ended
31/03/2021
Quarter ended
31/12/2020
Quarter ended
30/09/2020
Quarter ended
30/06/2020
Prosecutions 23 21 21 16
Civil proceedings 203 173 167 170
Disciplinary proceedings 49 39 33 62
Market Misconduct Tribunal proceedings 42 42 42 39
Total 317 275 263 287

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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