Enforcement Action Mini Assignment
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Question 1 of 3
1. Question
2 point(s)Describe the circumstances under which the Financial Sector Conduct Authority might consider suspension of an FSP license.
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Question 2 of 3
2. Question
2 point(s)Explain the key conditions that must be met for the reinstatement of a suspended license.
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Question 3 of 3
3. Question
6 point(s)Differentiate between the suspension of a license and the withdrawal of a license. How does the Financial Sector Conduct Authority’s process vary in each case, and what are the implications for an FSP in both scenarios?
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