Suggested Searches
Referral
No |
|
2022 |
2023 |
2024 |
2025 |
2026 |
|---|---|---|---|---|---|---|
1.
|
Cases referred for Enforcement |
29 |
41 |
39 |
47 |
8 |
Investigation
No |
|
2022 |
2023 |
2024 |
2025 |
2026 |
|---|---|---|---|---|---|---|
1. |
Investigations initiated (No. of cases) |
13 |
19 |
16 |
13 |
4 |
| 2. | Active investigations (No. of cases) |
49 |
55 |
62 |
64 |
63 |
Breakdown of active investigation cases
2022
2023
2024
2025
2026
Criminal Action
No |
|
2022 |
2023 |
2024 |
2025 |
2026 |
|---|---|---|---|---|---|---|
1. |
Number of persons charged |
8 |
2 |
17 |
16 |
9 |
| 2. | Criminal charges preferred |
47 | 12 | 53 | 96 | 18 |
| 3. | Outcome of successful criminal proceedings |
10 | 5 | 1 | 9 | 1 |
Breakdown by criminal charges preferred
2022
2023
2024
2025
2026
Compound
No |
|
2022 |
2023 |
2024 |
2025 |
2026 |
|---|---|---|---|---|---|---|
1.
|
Number of compound issued |
6 |
2 |
1 |
0 |
0 |
Civil Action
No |
|
2022 |
2023 |
2024 |
2025 |
2026 |
|---|---|---|---|---|---|---|
1.
|
Number of civil action initiated |
8 |
15 |
12 |
1 |
0 |
| 2. | Outcome of successful civil actions |
8 |
7 |
4 |
3 |
0 |
| 3. | Number of persons who entered into regulatory settlements | 6 | 6 | 6 | 9 | 1 |
| 4. | Number of regulatory settlements entered |
2 |
4 |
3 |
2 |
1 |
| 5. | Type of breach for regulatory settlement entered (By percentage %) | |||||
|
100% | 100% | 100% | 0% | 0% | |
|
0% | 0% | 0% | 100% | 0% | |
Breakdown by offence of the civil action initated
2022
2023
2024
2025
Administrative Action
No |
|
2022 |
2023 |
2024 |
2025 |
2026 |
|---|---|---|---|---|---|---|
1.
|
Number of sanctions imposed |
118 |
140 |
125 |
101 |
56 |
| 2. | Number of sanctions imposed against persons in breach: |
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Breakdown of breaches of the securities law
2022
2023
2024
2025
2026
ENFORCEMENT ACTIVITIES | 2015 | 2016 | 2017 | 2018 |
|---|---|---|---|---|
| Cases referred to Enforcement | 22 | 27 | 20 | 16 |
| Investigations initiated (no. of cases)
| 10 | 13 | 8 | 6 |
| Investigations completed (no. of cases)
| 13 | 10 | 10 | 12 |
| Persons charged in criminal proceedings
| 17 | 17 | 10 | 8 |
| Criminal charges laid
| 220 | 61 | 39 | 14 |
| Persons against whom civil actions initiated
| 5 | 2 | 20 | - |
| Person involved in regulatory settlements
| 6 | 2 | 7 | 3 |
| Administrative actions
| 41 | 37 | 32 | 80 |
