The Securities and Exchange Commission has charged Barclays PLC and Barclays Bank PLC (BBPLC) with failing to control and track an unprecedented amount of unregistered offers and sales of securities in real time. As a result of the over-issuances and internal control failure, both firms have restated their year-end 2021
Barclays to pay $361m in penalties after unregistered offers and over-issuing of securities
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Barclays PLC and Barclays Bank PLC (BBPLC) have agreed to a multimillion dollar settlement to resolve SEC charges.