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FSA loses supervision test case
www.investmentweek.co.uk
The FSA was seeking to fine John Pottage, the former chief executive of UBS's UK wealth management division, £100,000 for misconduct after uncovering a ... › ...
Fined UBS Wealth chief missed warning signs, says FSA
www.professionaladviser.com
John Pottage did not heed warning signs that risk controls in his division were ineffective after he became CEO, lawyers for the FSA said yesterday. › ...
FSA "did not establish misconduct" from alleged CEO compliance...
www.pinsentmasons.com
— The Upper Tribunal (Tax and Chancery Chamber) overturned a £100,000 fine imposed on John Pottage, the former head of UBS' UK wealth ... › f...
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