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SEC approves $200m Barclays distribution plan years after shelf control collapse
Three years after Barclays admitted to selling $17.7 billion in unregistered securities, the SEC has approved a long-awaited plan to return funds to harmed investors.
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FCA fines Barclays £42m for poor handling of financial crime risks
Incidents related to WealthTek and to Stunt & Co lead to huge fine.
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Barclays fined £40m over ‘reckless’ 2008 Qatar fundraising
Mark Taylor of Ibex Compliance identifies the key learning points from the FCA’s action against Barclays Bank.
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Barclays will pay $4m to settle CFTC charges over swap reporting
Significant cooperation and remediation resulted in a reduced civil fine for the firm.
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Barclays and Santander rapped by CMA for retail bank order breaches
UK competition watchdog warns banks their future conduct will be closely monitored.
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Texas bans Barclays from its bond market over bank’s ESG commitments
State has banned UK-based Barclays bank from serving as an underwriter in Texas’ muni bond market, following failure to respond to questions on its ESG policies.
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Barclays probed by UK regulator over anti-money-laundering systems
FCA review is latest problem for lender that has struggled with compliance missteps in recent years.
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Barclays’ hit with £8.4m fine after failing to provide information on fees
Bank failed to supply fee details, preventing retailers from comparing prices.