According to the British "Financial Times" message, the British financial regulators proposed financial company executives fault of his tenure, the imposition of penalties, but the effort suffered a defeat in the UBS case.
UK Financial Services Authority (FSA) originally intended to impose a fine of £ 100,000 on former Rui Yinying country wealth management business CEO John portage on the grounds that the portage handled properly found a series of the UBS serious violations (these issues has nothing to do with the portage personal). Ineffective oversight of the reasons for the imposition of penalties in an executive, rather than he actually committed a fault, the United Kingdom Financial Services Authority, is the first time.
Seen by the British "Financial Times", a judgment, a London court has determined that the portage without fault. The Court dismissed the penalty of the UK Financial Services Authority, said portage to take some measures to strengthen the system and control of UBS.
Some other bank of the City of London has been closely following the case. In September last year, UBS some alleged unauthorized transactions resulting in a loss of $ 2.3 billion, the UK Financial Services Authority is also investigating the matter.
UBS appear in court in November last year as the stakeholders and support portage. Portage is still UBS employees.
UBS said: "John • portage and UBS received the appeal tribunal's ruling and we are satisfied with the results. The matter has come to an end."
UK Financial Services Authority punishment portage reason is that he should be a "thorough" review earlier, UBS's operations and compliance procedures. Portage began in September 2006 as Ruiyin Ying nation's wealth management business CEO
UK Financial Services Authority (FSA) originally intended to impose a fine of £ 100,000 on former Rui Yinying country wealth management business CEO John portage on the grounds that the portage handled properly found a series of the UBS serious violations (these issues has nothing to do with the portage personal). Ineffective oversight of the reasons for the imposition of penalties in an executive, rather than he actually committed a fault, the United Kingdom Financial Services Authority, is the first time.
Seen by the British "Financial Times", a judgment, a London court has determined that the portage without fault. The Court dismissed the penalty of the UK Financial Services Authority, said portage to take some measures to strengthen the system and control of UBS.
Some other bank of the City of London has been closely following the case. In September last year, UBS some alleged unauthorized transactions resulting in a loss of $ 2.3 billion, the UK Financial Services Authority is also investigating the matter.
UBS appear in court in November last year as the stakeholders and support portage. Portage is still UBS employees.
UBS said: "John • portage and UBS received the appeal tribunal's ruling and we are satisfied with the results. The matter has come to an end."
UK Financial Services Authority punishment portage reason is that he should be a "thorough" review earlier, UBS's operations and compliance procedures. Portage began in September 2006 as Ruiyin Ying nation's wealth management business CEO
2012-04-23
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