Mitigating Factors (M)

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....of them, subject to a maximum limit of five mitigating factors, namely: - (i) The settlement amount would affect the ability of the applicant to make restitution to investors; (ii) The applicant had minimal participation in the alleged default; (iii) Proactive and exceptional cooperation, including: a. Prompt and detailed self-identification of suspected or unco....

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....to investors; (viii) Disclosure made in the incorrect format; (ix) Applicant is a unit of governmental authority including a public-sector unit; (x) In non-disclosure (including incorrect or incomplete disclosure) matters, applicant has made related disclosure under any other regulation or is a body corporate with paid-up equity share capital (including reserves) below R....