Article 73 › 2

When taking the decisions referred to in paragraph 1, ESMA shall take into account the nature and seriousness of the infringement, having regard to the following criteria: (a) the duration and frequency of the infringement; (b) whether the infringement has revealed serious or systemic weaknesses in the undertaking’s procedures or in its management systems or internal controls; (c) whether financial crime has been occasioned, facilitated or otherwise attributable to the infringement; (d) whether the infringement has been committed intentionally or negligently.

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Source: EUR-Lex CELLAR · retrieved 2026-09-04