Key highlights of the 2011 Enforcement Report:
- 66 of the concluded cases involved illegal distributions, which represented the largest category of concluded cases.
- 124 concluded cases involved a total of 237 individual and 128 companies that resulted in:
-Fines and administrative penalties of more than $52 million
-Nearly $50 million in restitution, compensation and disgorgement
-Jail sentences against eight individuals
- 63 interim orders restricting trading and/or freezing the assets against 109 individuals and 108 companies.
- 126 matters commenced against a total of 231 individuals and 121 companies.
- 47 of the 124 concluded cases were concluded by a contested hearing before a tribunal.
- 31 appealed cases, an increasing number.
The 2011 Enforcement Report is now available.
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