Final suspension order.

CFR · 2024-01-01 · US · Title 12

(a) (1) The respondent engaged in covered misconduct; and (2) The covered misconduct is of a type that would be likely to cause significant financial or reputational harm to a regulated entity or otherwise threaten the safe and sound operation of a regulated entity. (b) (c) (1) The actual or potential harm or impact that results or may result from the covered misconduct; (2) The frequency of incidents or duration of the covered misconduct; (3) Whether there is a pattern of prior covered misconduct; (4) Whether and to what extent the respondent planned, initiated, or carried out the covered misconduct; (5) Whether the respondent has accepted responsibility for the covered misconduct and recognizes its seriousness; (6) Whether the respondent has paid or agreed to pay all criminal, civil and administrative penalties or liabilities for the covered misconduct, including any investigative or administrative costs incurred by the government, and has made or agreed to make full restitution; (7) Whether the covered misconduct was pervasive within the respondent's organization; (8) The kind of positions held by the individuals involved in the covered misconduct; (9) Whether the respondent's organization took appropriate corrective action or remedial measures, such as establishing ethics training and implementing programs to prevent recurrence of the covered misconduct; (10) Whether the respondent brought the covered misconduct to the attention of the appropriate government agency in a t

official document · source cfr-2024 · id 12:§ 1227.6