Deliberate or reckless
4.11 The Registration Authority has regard to the extent to which the contravention was deliberate or reckless. If the contravention was deliberate or reckless, the Registration Authority is likely to impose a larger fine on the person than would otherwise be the case.
4.12 In this regard, the Registration Authority considers the following:
a. whether the breach was intentional, in that the person concerned intended or foresaw that their actions would or might result in a contravention;
b. whether the person concerned knew that their actions were not in accordance with internal procedures;
c. whether any steps were taken in an attempt to conceal the misconduct;
d. whether the contravention was committed in such a way as to avoid or reduce the risk that the contravention would be discovered;
e. whether the decision to commit the contravention was influenced by a belief that it would be difficult to detect;
f. whether the contravention occurred more than once, and if so, how often; and
g. whether reasonable professional advice was obtained before or during the contravention and was not followed or responded to appropriately. Obtaining professional advice does not remove a person’s responsibility for compliance with relevant requirements.
4.13 Factors tending to show that a contravention was reckless include:
a. the person knowing that there was a risk that their actions or inaction could result in a contravention but failing to mitigate that risk adequately; and
b. the person knowing that there was a risk that their actions or inaction could result in a contravention but failing to check if they were acting in accordance with relevant internal procedures.