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FINRA settles with Barclays Capital over fingerprinting, screening issues

Image of a fingerprint looming as an image on a black screen with a silhouette of a person in front of it.
Photo: Leon Neal/Getty Images

FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.

FINRA settled alleged rule violations with Barclays Capital Inc for what the agency called its “failure to fingerprint and screen for statutory disqualification a number of its non-registered associated persons” for more than a decade.

FINRA notes that Barclays voluntarily began remediation efforts – even prior to FINRA’s investigation. And

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