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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.
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Barclays fined £50m after Qatar funding labelled “reckless” by FCA
Barclays to face the Upper Tribunal after capital raising in 2008 called ‘reckless and lacked integrity’ by the FCA.
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Barclays Capital fined $2m over breach of Best Execution rule
FINRA fines Barclays Capital $2m for transgression of best execution rule.
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Barclays to pay $361m in penalties after unregistered offers and over-issuing of securities
Barclays PLC and Barclays Bank PLC (BBPLC) have agreed to a multimillion dollar settlement to resolve SEC charges.