Barclays Bank UK plc and Barclays Bank plc Barclays Barclays 1910 2019 20190704 financial offences
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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