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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
FSA is consulting on guidance in the form of two proposed “Dear CEO” letters to banks, building societies and investment firms subject to the Capital Adequacy Directive
FSA is consulting on a draft code of practice on which it has worked with the Bank of England to enhance the dialogue between supervisors and external auditors of firms
