6.8.1

It is our policy to encourage and recognise cooperation. A cooperative approach to dealing with us will be taken into consideration when assessing what type of enforcement action to pursue and/or what remedy we will seek. Cooperation can take many forms, including but not limited to:

(a) self-reporting any misconduct to us and disclosing all the relevant information;
(b) assisting us voluntarily during the investigation;
(c) admitting any misconduct that the person or firm had committed or was involved in committing.