FHDDS51450 - PENALTIES, SANCTIONS AND OFFENCES: PENALTIES – POLICY: TRADING WITHOUT APPROVAL - BEFORE CALCULATING THE PENALTY You need to have established: * the underlying behaviour that

gave rise to the failure, for example deliberate and concealed * whether the disclosure was unprompted or prompted, see FHDDS51525 * the quality of disclosure, see FHDDS51540. For detailed

guidance on how to calculate the penalty please see FHDDS51600. Previous page Next page Print this page