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Administrative Sanction - annual statistics

 

Types of Personel or Professionals/ Year 2018 2017 2016 2015 2014 2013
Business Operator Personnel            
Director & Executive - 6 7 ​4 - ​3
Fund manager - 1 - - 1 -
Investment Consultant /1 5 12 33 41 43 44
Other Professionals            
Auditor​ /2 - - - - - -
Financial advisor - - 2 1 - -
Supervisor of financial advisor - - 2 ​2 - ​3
Valuation Company - 1 - - - -
Principal Valuer - 1 - - - -
Grand Total 5 21 44 42 44 44

/1 Including investment analyst
/2 Excluding the cases where the SEC Office issued warning letters which are not deemed administrative sanction

As of 31 May 2018

Last updated on 13 June 2018
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