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In deciding any given supervisory response, the CBB will nonetheless consistently assess the individual circumstance of each contravention against the principles set out in this Module. The CBB's overall approach is to take into account:

(a) The seriousness of the contravention concerned (including the risks posed to customersG and other market participants);
(b) The compliance track record of the authorised personG concerned (including the extent to which a contravention reflects systemic weaknesses or reckless behaviour); and
(c) Which measures are most likely to achieve the desired result of remedying the contravention.
Amended: January 2007
(2 Versions)
Up to Jun 30 2007Jul 1 2007 onwards
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