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DRA-2.2.2

If the analysis of the known facts and potential evidence indicates contraventions, the SRO shall consider whether a sufficient, credible source of facts and evidence suggests contravention of the CBB Law, rules and regulations or business rules of the SRO. Some of the factors that could be considered by the SRO include, but are not limited to:

(a) The laws or rules or regulations that could potentially be considered as having been contravened or violated;
(b) The severity and/or seriousness of such contravention or violation;
(c) The potential magnitude of such contravention or violation;
(d) The potential losses involved or harm to an investor or investors;
(e) Whether the affected group is particularly vulnerable or at risk; and
(f) Whether the conduct is ongoing.
July 2010