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Violation Tracker Individual Record

Company: Barclays Capital Inc.
Current Parent Company: Barclays
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $800,000
Year: 2016
Date: August 4, 2016
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: The U.S. Commodity Futures Trading Commission issued an Order filing and simultaneously settling charges against Barclays Capital, Inc. for failing to diligently supervise its officers', employees' and agents' processing of exchange and clearing fees it charged customers for trading and clearing Chicago Mercantile Exchange products from January 2011 to April 2015.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: United Kingdom
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.