Date-stamp loading
Version status: In force | Document consolidation status: Updated to reflect all known changes
Version date: 8 October 2014 - onwards
    Version 1 of 1    

Regulation 37 Exercise of supervisory powers and imposition of penalties

The Bank, when imposing a sanction in respect of a contravention of Regulation 648/2012 or a prescribed contravention, shall have regard to all the relevant circumstances including, where appropriate, the following:

(a) the gravity and duration of the contravention;

(b) the degree of responsibility of the person responsible for the contravention;

(c) the financial strength of the person responsible for the contravention, as indicated, for example, by the total turnover of a legal person or the annual income of a natural person;

(d) the importance of the profits gained or losses avoided by the person responsible for the contravention, insofar as they can be determined;

(e) the level of cooperation of the person responsible for the contravention with the Bank, without prejudice to the need to ensure disgorgement of profits gained or losses avoided by that person;

(f) previous contraventions by the person responsible for the breach;

(g) measures taken by the person responsible for the con

Comparing proposed amendment...