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Directive 2004/109/EC of the European Parliament and of the Council of 15 December 2004 on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and amending Directive 2001/34/EC article 28c CELEX: 02004L0109-20240109 Exercise of sanctioning powers
1. Member States shall ensure that, when determining the type and level of administrative sanctions or measures, the competent authorities take into account all relevant circumstances, including where appropriate: (a) the gravity and the duration of the breach; (b) the degree of responsibility of the natural person or legal entity responsible; (c) the financial strength of the natural person or legal entity responsible, for example as indicated by the total turnover of the legal entity responsible or the annual income of the natural person responsible; (d) the importance of profits gained or losses avoided by the natural person or legal entity responsible, in so far as they can be determined; (e) the losses sustained by third parties as a result of the breach, in so far as they can be determined; (f) the level of cooperation of the natural person or legal entity responsible with the competent authority; (g) previous breaches by the natural person or legal entity responsible. |
Directive 2004/109/EC of the European Parliament and of the Council of 15 December 2004 on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market and amending Directive 2001/34/EC article 28c CELEX: 02004L0109-20240109 2. The processing of personal data collected in or for the exercise of the supervisory and investigatory powers in accordance with this Directive shall be carried out in accordance with Directive 95/46/EC and Regulation (EC) No 45/2001 where relevant. |