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+Article 38 9. |
Article 38 9.The Board shall apply the following adjustment coefficients linked to aggravating factors when calculating the fines:
(a)
if the infringement has been committed repeatedly, for every time it has been repeated, an additional coefficient of 1,1 shall apply;
(b)
if the infringement has been committed over a period exceeding three months, a coefficient of 1,5 shall apply;
(c)
if the infringement has revealed systemic weaknesses in the organisation of the entity, in particular in its procedures, management systems or internal controls, a coefficient of 2,2 shall apply;
(d)
if the infringement has been committed intentionally, a coefficient of 2 shall apply;
(e)
if no remedial action has been taken since the infringement was identified, a coefficient of 1,7 shall apply;
(f)
if the entity's senior management has not cooperated with the Board in carrying out its investigations, a coefficient of 1,5 shall apply. The Board shall apply the following adjustment coefficients linked to mitigating factors when calculating the fines:
(a)
if the infringement has been committed over a period of less than 10 working days, a coefficient of 0,9 shall apply;
(b)
if the entity's senior management can demonstrate that they have taken all measures necessary to prevent the infringement, a coefficient of 0,7 shall apply;
(c)
if the entity has brought quickly, effectively and completely the infringement to the Board's attention, a coefficient of 0,4 shall apply;
(d)
if the entity has voluntarily taken measures to ensure that a similar infringement cannot be committed in the future, a coefficient of 0,6 shall apply. 1. Übersicht
1.1 Referenzen1.2 Identifizierte Anforderungen1.3 Zugehörige Standards2. Identifizierte Anforderungen
3. Zugehörige Standards
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