FSMT Variation of Part IV Permission – Failure to submit Retail Mediation Activities Return on time – Failure to obtain professional indemnity insurance – whether failure showed that Applicant not conducting business soundly and prudently – Condition 5 – whether failure to respond to Authority in relation to Retail Mediation Activities Return involved a breach of Principle 11 (Relations with Regulators)
Citations:
[2008] UKFSM FSM055
Links:
Financial Services
Updated: 15 July 2022; Ref: scu.268189