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FCA decides on £5.95m fine and industry ban for Nailesh Teraiya in latest cum-ex case
Mr Teraiya has referred his Decision Notice to the Upper Tribunal. Any findings in the Decision Notice are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers his behaviour should be characterised. -
Investing in outcomes: a regulatory approach to deliver for consumers, markets and competitiveness
Speech by Nikhil Rathi, FCA Chief Executive delivered at the Morgan Stanley European Financials Conference. -
FCA censures NMC Health Plc (in Administration) for market abuse
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FCA and PSR Boards appoint new members to decision-making committees
Ulrike Hotopp and Claire Whyley have been appointed to the FCA’s and PSR’s Competition Decisions Committees (CDCs) -
Two individuals guilty of making £3m worth of fraudulent mortgage applications
Larry Barreto, based in the East Midlands, has been found guilty today of 11 charges of fraud by false representation following a prosecution brought by the FCA. -
FCA fines Bastion Capital London Limited £2.5m for serious financial control failings
The FCA has fined Bastion Capital London Limited (in liquidation) £2,452,700 for serious financial crime control failings in relation to cum-ex trading. -
The Financial Conduct Authority continues crackdown on unregistered crypto ATMs in the UK
Since the start of 2023, the Financial Conduct Authority (FCA) has visited and inspected 34 locations across the UK suspected of hosting crypto ATMs. -
FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims
The FCA has fined ED&F Man Capital Markets Ltd (‘MCM’) £17,219,300 for serious failings in its oversight of cum-ex trading. These failings allowed MCM to collect fees for trading strategies designed to enable its clients to illegitimately -
FCA continues action against unregistered crypto ATMs across the UK
The FCA has inspected sites in Exeter, Nottingham and Sheffield as part of a continued crackdown on this sector. -
FCA sets out steps to improve whistleblower confidence
The FCA sets out actions to improve the confidence of whistleblowers – including sharing further information with whistleblowers on how it’s acted on their information; improving the use of information provided by whistleblowers; and improving