FSMT REGULATED ACTIVITIES – Performance – Prohibition Order – Fit and proper person – Failure to reply to enquiries from Regulator – Trading while not authorised on account of dissolution of partnership – Failure to conduct proper pensions review – Non-payment of redress to customers – Trading without professional indemnity cover – Failure to make proper disclosure in application for approval – Whether applicant not a fit and proper person to perform functions relating to regulated activities – Reference dismissed – FSMA 2000 s 32 – FSMA 2000 s 56 PRACTICE – guidance on form of chronology – guidance on core bundle
Citations:
[2006] UKFSM FSM025
Links:
Financial Services
Updated: 15 July 2022; Ref: scu.268206