5.7.4

At the conclusion of an investigation, we may:

(a) take no further action;
(b) commence a settlement negotiation;
(c) accept a settlement;
(d) accept an enforceable undertaking;
(e) refer a matter for determination to a delegated decision-maker, e.g. for the
(i) imposition of a financial penalty;
(ii) imposition of a public censure;
(iii) variation or cancellation of a Financial Services Permission;
(iv) imposition of conditions on an Approved Person;
(v) suspension or withdrawal of an Approved Person's Approval; or
(vi) revocation of recognition of a Recognised Body;
(f) commence Court proceedings; or
(g) exercise a power on behalf of another regulator.