Violation Tracker UK Individual Case

Company: Barclays Capital Securities Limited
Current Parent Company: Barclays
Penalty: £1,127,559
Year: 2011
Date: 26 January, 2011
Offence Group: financial offences
Offence Type: investor protection violation
Violation Description: 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.
Action Type: agency action
Settlement Type: settlement of FSA Decision
Agency: Financial Services Authority
HQ Country of Parent: United Kingdom
Ownership Structure of Parent: publicly traded
Major Industry of Parent: financial services
Specific Industry of Parent: banking
Source of Data: (click here)