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The FCA said Sapien did not have 'adequate systems and controls'

People Correspondent

The Financial Conduct Authority has fined boutique investment bank Sapien Capital £178,000 for failing to identify financial crime relating to cum-ex trading. 

The case is the first by the regulator in relation to cum-ex trading, dividend arbitrage and withholding tax reclaim schemes. 

FCA fines boutique investment bank Sapien Capital in first cum-ex trading case

FCA hits boutique investment bank Sapien Capital with first cum-ex trading fine

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