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Enforcement

Enforcement statistics

Combating misconduct and criminal acts in the securities and futures markets is one of the most visible aspects of our regulatory functions. This section shows a few measurable aspects of our enforcement work, including, investigations by nature of misconduct, prosecutions, civil versus criminal proceedings, and disciplinary actions.

› Investigations by nature

› Persons subject to ongoing or concluded enforcement proceedings

Last update: 25 Aug 2021

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