Sanction Payment Status Report (the Report)
The list below in this Sanction Payment Status Report sets out the names of the respondents who have been ordered to pay to the Commission administrative penalties disgorgement orders and/or costs imposed in enforcement proceedings before the Commission; the original amount owing under the order; and whether the amount owing is paid, partially paid or unpaid.
Some respondents may also be subject to conduct prohibition orders imposed by the Commission, such as trading bans and bans on acting as a director or officer of a public company. For more information about specific sanctions, including conduct orders, click on the respondent’s name to view the order.
The list was initially created as of September 30, 2014, and will be updated quarterly on March 31, June 30, September 30 and December 31 of each year.
The Report (last updated September 30, 2019)