Remedial and regulatory terms guide settlement conditions through applicant conduct, market harm, deterrence, compliance, and investor claims.

Remedial and regulatory terms may be determined by considering applicant conduct, the gravity and market impact of alleged defaults, market integrity, investor harm, gains from non-compliance, prior proceedings, corrective measures, compliance schedules, deterrence, and investor claims. Settlement may be considered where market, integrity, or investor effects can be adequately remedied through monetary and remedial or regulatory terms. Allegations may be modified where facts disclose a different default, and applicable defaults may be categorised according to the facts and circumstances.

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