Examples of Mitigating factors in a sentence
Mitigating factors are those which may reduce the severity of unprofessional conduct.
Mitigating factors include (1) whether the disclosure was made voluntarily; (2) whether this was a first offense; (3) whether the company had compliance procedures; (4) whether steps were taken to improve compliance after discovery of violations; and (5) whether the incident was due to inadvertence, mistake of fact, or good faith misapplication of the laws.
Mitigating factors may result in disposition or sentence range departures, or both, and shall be stated on the record by the court.
Mitigating factors relating to the offence will include: (a) an intention to cause grievous bodily harm, rather than to kill; (b) spontaneity and lack of pre-meditation.
Mitigating factors that may reasonably justify an inves- tigation taking longer than 12 months to complete include the complexity of the investigation, the number of firms or individuals involved as potential wrongdoers, the number of potential violations to be investigated, and the volume of documents and data to be ex- amined and analyzed by compliance staff.