6. Penalty Guidance
- 6.1 Approach to imposing a penalty
- 6.2 Deciding to take action
- 6.3 Financial penalty, public censure or other enforcement action
- 6.4 Determining the appropriate level of financial penalty
- 6.5 Financial penalties imposed on a firm
- 6.6 Financial penalties imposed on an individual
- 6.7 Serious financial hardship
- 6.8 Adjustment for cooperation/early settlement