+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. Visão geral

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1.1 Referências

1.2 Requisitos identificados

1.3 Normas relacionadas

2. Requisitos identificados

Requisitos

3. Normas relacionadas

Normas