Barclays Bank UK plc and Barclays Bank plc
Barclays
Barclays
1910
2019
20190704
financial offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA issued legally binding directions to Barclays to cease breaching undertakings agreed to in 2002 by requiring businesses to hold current accounts at Barclays before they were able to access other products. Barclays paid nearly £2,000 compensation to account holders for unnecessary charges.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/news/cma-directs-barclays-to-fix-banned-banking-practices
UK21-238
Barclays Bank UK plc
Barclays
Barclays
0
2018
20180806
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA issued legally binding directions to Barclays to put in place procedures to ensure accurate payment protection insurance reminders were sent, after finding no annual reminders were sent to some customers with PPI. The company was refunding customers with £336,000 returned so far.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/news/barclays-gets-legal-directions-for-ppi-breach
UK21-268
Barclays Bank UK plc
Barclays
Barclays
0
2016
20160428
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA issued a letter to Barclays stating it considered the company's failure to send accurate annual statements to customers with mortgage payment protection insurance to be a serious breach of the Payment Protection Insurance Market Investigation Order 2011, and taking note of the actions agreed to remedy the breach.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/publications/letter-from-the-cma-to-barclays-on-ppi-annual-review-statements
UK21-349
Barclays Bank UK plc
Barclays
Barclays
England and Wales
15010
2020
20200210
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Breach of Contract, Time Limits, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://assets.publishing.service.gov.uk/media/5ed115dde90e0754cef003b1/Mr_C_Kerins_-v-_Barclays_Bank_UK_Plc__-_Case_No._3200334_2019_-_Reconsideration_Judgment.pdf
UK21-3696
Barclays Bank Plc
Barclays
Barclays
England and Wales
9155
2019
20190607
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://assets.publishing.service.gov.uk/media/5e426bbe40f0b60912e21faf/Karen_Lewis_-V-_Barclays_Bank_Plc_-_1600192.2018_-__Judgment.pdf
UK21-6609
Barclays Services Ltd
Barclays
Barclays
England and Wales
947585
2019
20190124
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://assets.publishing.service.gov.uk/media/5c6fff8640f0b603dca6ef1e/Mr_D_Fotheringhame_v_Barclays_Services_Ltd_-_3200194_2018_-_Judgment.pdf
UK21-8385
Barclays Bank UK plc
Barclays
Barclays
England and Wales
9692
2021
20210323
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Disability Discrimination, Unfair Dismissal
agency action
UK-ET
Employment Tribunal
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://assets.publishing.service.gov.uk/media/606ec5b1e90e076f49019969/Mr_J_Kane_v_Barclays_Bank_UK_PLC_-_1403210.2019_-_Judgment___Reasons.pdf
UK21-13356
Barclays PLC
Barclays
Barclays
England
3000
2020
20201001
environment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays PLC agreed to an Enforcement Undertaking to register and comply with waste regulations and pay £3,000 to the Marine Conservation Society in settlement of failures to register activities and take reasonable steps to recover and recycle packaging waste.
agency action
Enforcement Undertaking
588
UK-EA
Environment Agency
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://web.archive.org/web/20210602182427/https://www.gov.uk/government/publications/environment-agencys-use-of-civil-sanctions/enforcement-undertakings-accepted-by-the-environment-agency-1-october-2020-to-31-march-2021
UK21-15980
Barclays Bank UK PLC and Barclays Bank PLC and Clydesdale Financial Services Ltd.
Barclays
Barclays
26056400
2020
20201215
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays paid a £26 million fine in settlement of a finding by the FCA that the company breached consumer credit regulations by failing to show forbearance and due consideration to business and retail loan customers in arrears or financial difficulties, affecting at least 1.5 million customers over several years.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/fca-fines-barclays-treatment-customers-financial-difficulty
UK21-16696
Barclays Bank plc
Barclays
Barclays
72069400
2015
20151125
financial offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays paid a £19,769,400 fine and made a £52,300,000 disgorgement in settlement of a finding by the FCA that the company did exercise due skill, care and diligence in managing the risk of financial crime when it decided that clients with large deposits and confidentiality demands required it to address the financial crime risks in an ad hoc way instead of through normal departments.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/fca-fines-barclays-%C2%A372-million-poor-handling-financial-crime-risks
UK21-16741
Barclays Bank plc
Barclays
Barclays
284432000
2015
20150520
competition-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays paid a £284 million fine in settlement of a finding by the FCA that the company failed to have adequate systems and controls over its foreign exchange business, allowing traders to engage in market abuse that put the firm's interests ahead of its clients, with inappropriately shared information and manipulation of spot FX currency rates.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/fca-fines-barclays-%C2%A3284432000-forex-failings
UK21-16748
Barclays Bank plc
Barclays
Barclays
37745000
2014
20140923
financial offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays paid a £37.7 million fine in settlement of a finding by the FCA that the Investment Banking Division of the company failed to properly protect client's assets worth £16.5 billion, data errors and failure to follow Client Asset Rules across countries meaning records did not correctly reflect which company in the Investment Banking Division was responsible for assets in the account and could suggest assets belonged to Barclays instead of its clients.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/barclays-fined-%C2%A338-million-putting-%C2%A3165-billion-client-assets-risk
UK21-16767
Barclays Bank plc
Barclays
Barclays
26033500
2014
20140523
financial offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays paid a £26 million fine in settlement of a finding by the FCA that the company failed to adequately manage conflicts of interest in relation to inappropriate conduct by a trader participating in options products dependent on the price of gold and also participating in the Gold Fixing, the market's price setting mechanism.
agency action
settlement of FCA Decision
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/barclays-fined-%C2%A326m-failings-surrounding-london-gold-fixing-and-former-barclays
UK21-16774
Barclays Bank plc
Barclays
Barclays
59500000
2012
20120627
competition-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays paid a £59.5 million fine in settlement of a finding by the FSA that the company's employees colluded with individuals both inside and outside the bank, and with other businesses, to influence the LIBOR and EURIBOR rates for their benefit.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://webarchive.nationalarchives.gov.uk/20130402202450/http://www.fsa.gov.uk/library/communication/pr/2012/070.shtml
UK21-16858
Barclays Capital Securities Limited
Barclays
Barclays
1127559
2011
20110126
financial offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays Capital paid a £1.1 million fine in settlement of a finding by the FSA that the company failed to maintain adequate records to distinguish client assets accurately, risking loss to the client if the company became insolvent.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://webarchive.nationalarchives.gov.uk/20130202071602/http://www.fsa.gov.uk/pages/library/communication/pr/2011/014.shtml
UK21-16890
Barclays Bank plc
Barclays
Barclays
7700000
2011
20110114
financial offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays paid a £7.7 million fine in settlement of a finding by the FSA that the company failed to ensure that suitability of its investment advice to customers when selling Aviva's Global Balanced Income Fund and Global Cautious Income Fund.
agency action
settlement of FSA Decision
UK-FSA
Financial Services Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://webarchive.nationalarchives.gov.uk/20130202071605/http://www.fsa.gov.uk/pages/library/communication/pr/2011/006.shtml
UK21-16894
Barclays Bank plc
Barclays
Barclays
0
2011
20110120
competition-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
RBS paid a £28.5 million fine in settlement of a decision by the OFT that it and Barclays engaged in anti-competitive actions by sharing confidential future pricing information for their loan products offered to large professional services firms. Barclays brought the matter to the OFT's attention and was granted immunity to a fine under the leniency policy.
agency action
Settlement and Leniency agreement with OFT
UK-OFT
Office of Fair Trading
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/cma-cases/loan-products-to-professional-service-firms-investigation-into-anti-competitive-practices
UK21-51904
Barclays Bank
Barclays
Barclays
0
2017
20170119
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Pension Plan Violation
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.pensions-ombudsman.org.uk/decision/2017/po-9253/barclays-bank-uk-retirement-fund-po-9253
no amount specified
UK21-52882
Barclays Wealth Management
Barclays
Barclays
1000
2016
20161118
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Administration
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.pensions-ombudsman.org.uk/decision/2016/po-8348/burlaw-retirement-benefits-scheme-po-8348
UK21-52898
Barclays Stockbrokers Limited
Barclays
Barclays
750
2016
20161111
employment-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Failure to provide information/act on instructions
agency action
UK-TPO
The Pensions Ombudsman
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.pensions-ombudsman.org.uk/sites/default/files/decisions/PO-12355-2.pdf
UK21-52901
Barclays Bank UK plc
Barclays
Barclays
0
2022
20220321
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA informed Barclays Bank of 13 breaches of the Retail Banking Order through inaccurate publication of information through Open Banking Application Programming Interface
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/publications/cma-letter-to-barclays-about-13-breaches-of-the-retail-banking-order
UK21-68567
Barclays Bank UK plc
Barclays
Barclays
0
2022
20220211
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA informed Barclays that it had broken the Retail Banking Market Investigation Order by not updating its Service Quality Indicators.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/publications/cma-letter-to-barclays-about-one-breach-of-the-retail-banking-order
UK21-68590
Barclays Bank Plc
Barclays
Barclays
10860743
2022
20220228
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
Barclays was fined £783,800 following a finding by the FCA that it failed to conduct business with due skill, care and diligence in providing banking services to Premier FX without checking for deficiencies in the company's activities. Barclays also made a voluntary payment of £10,076,943 to refund the customers who lost money when Premier FX went bankrupt.
agency action
UK-FCA
Financial Conduct Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.fca.org.uk/news/press-releases/barclays-fined-agrees-voluntary-payment-premierfx-customers
UK21-69592
Barclays
Barclays
Barclays
0
2022
20220722
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The CMA informed Barclays that it had breached the Retail Banking Market Investigation Order 2017 by failing to publish an accurate business overdraft rate.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/publications/cma-takes-action-against-barclays-for-breaching-part-8-of-the-retail-banking-order
UK21-75013
Barclays
Barclays
Barclays
1000000
2022
20221109
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
After the CMA informed Barclays that it had breached the CMA PP order by failing to send reminders to its former Mortgage Payment Protection Insurance policy holders, the company decided to pay an estimated £1 million in refunds and goodwill payments to customers that may have kept their policies for longer than necessary or stopped checking for cheaper alternatives.
agency action
UK-CMA
Competition and Markets Authority
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.gov.uk/government/news/barclays-customers-to-receive-up-to-1m-for-ppi-breaches
UK21-83133
Barclays
Barclays
Barclays
8400000
2022
20221201
consumer-protection-related offences
Warning: Undefined array key "offence_type" in /usr/home/goodjobsfirst/public_html/Live-UK-ViolationTracker/function.php on line 348
The Payment Systems Regulator fined Barclays for failing to comply with the Interchange Fee Regulation (IFR) because it did not provide retailers with full information about the costs of card services it supplied.
agency action
UK-PSR
Payment Systems Regulator
United Kingdom
publicly traded
financial services
banking
GB0031348658
https://www.psr.org.uk/news-updates/latest-news/news/psr-fines-barclays-bank-8-4m-for-breaking-interchange-fee-rule/
UK21-83193
26