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 |
Regulated Activity | Total number of licensees |
---|---|
|
10 |
|
1 |
|
7 |
|
131 |
|
1 |
Dealing in securities restricted to unit trust (standalone) | 5 |
DEALING IN DERIVATIVES | 7 |
FUND MANAGEMENT: | |
|
40 |
|
18 |
|
5 |
|
23 |
|
6 |
|
8 |
CORPORATE FINANCE COMPANIES | 41 |
INVESTMENT ADVISORY COMPANIES | 182 |
FINANCIAL PLANNING COMPANIES | 373 |
CMSRL | |
Dealing in securities (include dual licence holder) | 6,442 |
Dealing in derivatives | 443 |
Fund management | 815 |
Advising on corporate finance | 744 |
Investment advice | 291 |
Financial planning | 1,204 |