Suggested Searches
Referral
No |
|
2022 |
2023 |
2024 |
2025 (Jan-Sep) |
|---|---|---|---|---|---|
1.
|
Cases referred for Enforcement |
|
|
|
|
Investigation
No |
|
2022 |
2023 |
2024 |
2025 (Jan-Sep) |
|---|---|---|---|---|---|
1. |
Investigations initiated (No. of cases) |
|
|
|
|
| 2. | Active investigations (No. of cases) |
|
|
|
|
Breakdown of active investigation cases
2022
2023
2024
2025
(Jan-Sep)
Criminal Action
No |
|
2022 |
2023 |
2024 |
2025 (Jan-Sep) |
|---|---|---|---|---|---|
1.
|
Number of persons charged |
|
|
|
|
| 2. | Criminal charges preferred | 47 | 12 | 53 | 35 |
| 3. | Outcome of successful criminal proceedings | 10 | 5 | 1 | 9 |
Breakdown by criminal charges preferred
2022
2023
2024
2025
(Jan-Sep)
Compound
No |
|
2022 |
2023 |
2024 |
2025 (Jan-Sep) |
|---|---|---|---|---|---|
1.
|
Number of compound issued |
|
|
|
|
Civil Action
No |
|
2022 |
2023 |
2024 |
2025 (Jan-Sep) |
|---|---|---|---|---|---|
1.
|
Number of civil action initiated |
|
|
|
|
| 2. | Outcome of successful civil actions |
|
|
|
|
| 3. | Number of persons who entered into regulatory settlements | 2 | 4 | 3 | 2 |
| 4. | Number of regulatory settlements entered |
|
|
|
|
| 5. | Type of breach for regulatory settlement entered (By percentage %) | ||||
i. Insider trading |
100% | 100% | 100% | 0% | |
ii. Market manipulation |
0% | 0% | 0% | 100% | |
Breakdown by offence of the civil action initated
2022
2023
2024
2025
(Jan-Sep)
Administrative Action
No |
|
2022 |
2023 |
2024 |
2025 (Jan-Sep) |
|---|---|---|---|---|---|
1.
|
Number of sanctions imposed |
|
|
|
|
| 2. | Number of sanctions imposed against persons in breach: |
||||
|
- | - | - | - | |
|
- | 22 | 16 | - | |
|
- | 8 | - | - | |
|
- | - | 8 | - | |
|
26 | 27 | 52 | 54 | |
|
2 | - | - | - | |
|
25 | - | - | - | |
|
2 | - | - | - | |
|
1 | - | - | - | |
|
11 | 13 | - | - | |
|
51 | 70 | 49 | 31 | |
Breakdown of breaches of the securities law
2022
2023
2024
2025
(Jan-Sep)
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 |
