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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).
Published 1 December 2016