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Administrative Sanction - annual statistics

 

Types of Personel or Professionals / Year 2017 2016 2015 2014 2013
Business Operator Personnel
Director & Executive 0 7 ​4 ​0 ​3
Fund manager 0 0 0​ 1 ​0
Investment Consultant /1​ 1 33 41 43 44
Other Professionals
Auditor​ /2 0 0 0​ 0​ 0
Financial advisor 0 2 1 0​ 0
Supervisor of financial advisor 0 2 ​2 ​0 ​3
Grand Total 1 44 48 44 50
 

 

/1 Including investment analyst

/2 Excluding the cases where the SEC Office issued warning letters which are not deemed administrative sanction

As of 28 February 2017

Last updated on 28 February 2017
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