Enforcement

Persons subject to ongoing or concluded enforcement proceedings
Quarter ended
31/12/2020
Quarter ended
30/09/2020
Quarter ended
30/06/2020
Quarter ended
31/03/2020
Prosecutions 21 21 16 14
Civil proceedings 173 167 170 163
Disciplinary proceedings 39 33 62 53
Market Misconduct Tribunal proceedings 42 42 39 39
Total 275 263 287 269

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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