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John Pottage, formerly holder of both the CF3 and CF8 controlled functions for UBS AG and for UBS Wealth Management (UK) appealed to the Tribunal about FSA’s decision to fine him for breach of the Principles for Approved Persons
The Supreme Court has upheld the Court of Appeal's decision on three appealed issues relating to the statutory trust over client moneys under FSA's Client Assets Sourcebook
An individual client (Ms Wachner) alleged Bank Leumi (UK) (BLUK) had misclassified her as an intermediate customer (under the FSA's Conduct of Business Rules that applied at the time) in relation to certain foreign exchange options and had made misrepresentations and given her negligent advice
