Cum-ex trading
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FCA week in review March 18 – 22, 2024
The regulator published its annual business plan, warned on debt collection, and sought information on pensions advice.
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FCA fines and bans Nailesh Teraiya for alleged cum-ex trading
Sixth case brought by the FCA in relation to cum-ex trading with support of global law enforcement authorities.
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FCA week in review July 10 – 16, 2023
Two major enforcement actions, moves on mortgages and crypto ATMs.
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UK regulator fines ED&F Man £17m ($21.4m) for “serious failings” in oversight of cum-ex trading
Largest fine ever imposed on a UK financial institution for cum-ex trading sends clear message.