Confidentiality in settlement applications: criteria for protected cooperation and reduced charges under settlement regime guidance procedures Assurance of confidentiality in settlement applications under Chapter IX depends on the nature and value of assistance in examination proceedings: whether cooperation preceded knowledge of proceedings or related action, whether the applicant first reported the misconduct, voluntariness and completeness of disclosures, provision of non privileged or original information that prompts or expands an inquiry, the conservation of regulatory resources, inducement of others to cooperate, and whether cooperation led to successful enforcement; adverse factors such as prior violations, managerial responsibility, tolerance of illegality, delay in reporting, interference with compliance, inadequate remediation, or other sanctions may negate confidentiality.