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Capital markets & securities

Work Area: Capital markets & securities

FCA fines second company over cum-ex trades

The UK financial regulator has ordered London-based brokerage Sunrise Brokers to pay £642,000 for executing suspected cum-ex trades on behalf of its clients.

12 November 2021

FCA intelligence chief warns about cryptocurrency crime risk

03 November 2021

FCA hands life ban to ex-Barclays banker convicted of rigging Euribor rate

The FCA has issued a life ban to Colin Bermingham almost seven years after notifying him of its intention to bring an enforcement action against him.

02 November 2021

Barclays CEO steps down amid investigation of Epstein relationship

Jes Staley plans to challenge the findings of two UK regulators that are investigating whether the banker misrepresented historic ties to convicted sex offender Jeffrey Epstein.

01 November 2021

US prosecutors accuse NatWest of breaching non-prosecution deal

Connecticut federal prosecutors investigating NatWest for suspected market manipulation have uncovered alleged breaches of an agreement that the UK lender signed in 2017 to avoid fraud charges in a separate case.

29 October 2021

UK government announces new tax to fund anti-money laundering objectives

28 October 2021

SEC reportedly opened Archegos market manipulation probe

11 October 2021

SEC: anti-money laundering enforcement not FinCEN’ sole domain

07 October 2021

Ex-Goldman Sachs compliance executive charged with insider trading

The Securities and Exchange Commission has accused a former senior compliance analyst at US investment bank Goldman Sachs of committing fraud and insider trading.

30 September 2021

CFTC fines SocGen $1.5m for market disclosure breaches

30 September 2021