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The Financial Services and Markets Tribunal (Legal Assistance) Regulations 2001

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36.—(1) Where, on determining a reference, the Tribunal directs the Authority to:

(a)take no action against the assisted person;

(b)impose a penalty on the assisted person of a lesser amount than that stated in the decision notice; or

(c)instead of imposing a penalty on the assisted person, publish a statement to the effect that he has engaged in market abuse

the Tribunal may, at the hearing of the reference, order the refund of some or all of any contribution made by the assisted person.

(2) In making a decision under paragraph (1), the Tribunal shall have regard to all the circumstances of the case, including the conduct of the parties.

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