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Barclays Pays $361M to Settle Unregistered Securities Case

October 12, 2022 by Louis Chunovic

Barclays Pays $361M to Settle Unregistered Securities Case

The Securities and Exchange Commission has charged that Barclays PLC and Barclays Bank PLC offered and sold “an unprecedented amount” of unregistered securities because of a “failure to implement any internal control to track such transactions in real time.” One result of that alleged failure is that both Barclays PLC and Barclays Bank PLC had… Read More >>

Filed Under: Securities Operations, Data Management, Industry News, Operational Risk, Ops Automation, Governance, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Reporting, Industry News Tagged With: automation, back office, Barclays, Barclays Bank, compliance, data management, SEC, Securities Operations

Barclays Signs Up for DTCC’s New Liquidity Data Service

October 24, 2016 by Eugene Grygo

New Offering from DTCC Data Products DTCC Data Products, a centralized data provisioning service supporting DTCC’s offerings, is launching the Liquidity Coverage Ratio (LCR) Data Service, which has gotten the thumb’s up from Barclays Bank, officials say. The new LCR Data Service has been designed to “help firms manage their buffer requirements for liquidity facilities”… Read More >>

Filed Under: Data Management, FinTech Trends, Industry News Tagged With: ALPHA8, Barclays, Barclays Bank, Chung Sok Chon, data management, data service, DTCC, DTCC Data Products, Eikon, EU, EU Council, Gabriele Columbro, Liquidity Coverage Ratio (LCR), messaging, Navneet Kaur, Open Developer Platform, RIMES, Ron Jordan, Santa Clara Convention Center, Steve Cheng, Symphony Software Foundation, Thomson Reuters

Barclays Board Dismisses CEO Antony Jenkins

July 10, 2015 by Eugene Grygo

Barclays’ board is parting company with Antony Jenkins, who is being dismissed from the post of chief executive after three years to make way for a CEO that can “accelerate the pace of execution going forward,” according to bank officials. While a search for Jenkins’ successor is underway, his temporary replacement is John McFarlane who… Read More >>

Filed Under: Industry News, People Moves Tagged With: Antony Jenkins, Barclays, Barclays Bank, compliance, Dodd-Frank, FCA, great recession, SEC

The Fed Hits Six Banks with Record Fines

May 20, 2015 by Eugene Grygo

The Federal Reserve has imposed $1.8 billion in fines, “among the largest ever assessed,” against UBS, Barclays Bank, Citigroup, JPMorgan Chase & Co., the Royal Bank of Scotland (RBS) and Bank of America Corp. (BofA) for what Fed officials call “their unsafe and unsound practices in the foreign exchange (FX) markets.” The dollar amounts for… Read More >>

Filed Under: General Interest, Regulation & Compliance, Industry News Tagged With: Bank of America, Barclays Bank, CFTC, Citi, compliance, data management, Dodd-Frank, EMIR, FCA, FX, JPMorgan Chase, LIBOR, RBS, SEC, structured products, The Federal Reserve, UBS

Barclays Exec Joins Capco’s UK Team

October 9, 2014 by Ryan Boysen

Business and technology consultancy Capco has appointed Jonathan Rose, a former Barclays executive, as a partner for its UK team. Rose has previously worked as a managing director, chief operating officer (COO) and chief investment officer (CIO) at Barclays bank, according to Capco’s statement. At Barclays, Rose’s managed IT service delivery, transformation, management and strategy… Read More >>

Filed Under: Industry News, People Moves Tagged With: Barclays Bank, Capco, CIO, consulting, COO, IT, Jonathan Rose, UK

Douglas Jeffrey Leaves Information Mosaic as SWIFT Plans to Hire in Asia-Pacific

October 4, 2012 by Eugene Grygo

Jeffrey Leaves Information Mosaic Industry veteran Douglas Jeffrey has left his post as president for the Americas for Information Mosaic and is working with Recondo Technology, a software as a service (Saas) provider for the healthcare industry. Jeffrey confirms that he is the New York-based vice president for strategic accounts at Recondo, which provides Web-based,… Read More >>

Filed Under: Industry News, People Moves Tagged With: Barclays Bank, BI-SAM, Information Mosaic, Perseus Telecom, SS&C Technologies, SWIFT

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