AF-2026-0001

Workflow

Administrative Fine (v1)

Started

22 Jul 2026 10:13

Current Step

Step 6 — Cross-Functional Confirmation

Step 1 — Fine Referral & Initial Assessment

Supervisory Division

Completed 22 Jul 2026 10:16

Licensee / Registrant *

Supervisory Division *


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Date of Suspected Breach *

Nature of Breach *

Breach Seriousness *

Investigation Team Members

No document uploaded.

Referral Form

Step 2 — Legal Review (Sufficient Information)

Legal Team

ApprovedCompleted 22 Jul 2026 10:19

Sufficient information to proceed

Insufficient — return to division

Legal Decision *

Endorsed By *


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Review Date *

Comments

Step 3 — Legal Confirmation to Proceed

Legal Team

ApprovedCompleted 22 Jul 2026 10:28

Confirm — proceed with fine process

Do not proceed — return to division

Confirmation Decision *

Endorsed By *


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Confirmation Date *

Comments

Step 4 — Investigation & Evidence Pack

Legal Team

Completed 22 Jul 2026 16:24


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Investigation Completed Date *

Findings Summary *

No document uploaded.

Evidence Pack

Step 5 — Committee Review & Recommendation

Fines Committee

Completed 23 Jul 2026 13:56


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Final Review Date *

Committee Members *

Conclusions *

Recommendations *

Proposed Fine Amount (CI$) *

Step 6 — Cross-Functional Confirmation

Legal Team

Open

This step is waiting for input.

Step 7 — Notice of Intention

Legal Team

Pending

Step 8 — Representations

Legal Team

Pending

Step 9 — Final Decision (Governance)

Governance Body

Pending

Step 10 — Issue Fine & Publication

Legal Team

Pending

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Case AF-2026-0001

Step 1 — Fine Referral & Initial Assessment

Step 2 — Legal Review (Sufficient Information)

Step 3 — Legal Confirmation to Proceed

Step 4 — Investigation & Evidence Pack

Step 5 — Committee Review & Recommendation

Step 6 — Cross-Functional Confirmation

Step 7 — Notice of Intention

Step 8 — Representations

Step 9 — Final Decision (Governance)

Step 10 — Issue Fine & Publication