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Barclays CEO Under Fire for Whistleblower Search

April 13, 2017 by Eugene Grygo

U.K. regulatory authorities are investigating why James E. “Jes” Staley, group CEO of Barclays, was hunting for the identity of a whistleblower, and Barclays officials say they are making “a very significant compensation adjustment” to Staley’s salary. For now, Staley still has the backing of the Barclays board and will be reappointed this coming May…. Read More >>

Filed Under: AML/Fraud/Financial Crime, Regulation & Compliance Tagged With: Barclays, Financial Conduct Authority (FCA), James E. Staley, Prudential Regulation Authority (PRA), whistleblower

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

Blockchain Project Tests Post-Trade Ops for Swaps

October 19, 2016 by Eugene Grygo

Barclays, Citi, Credit Suisse and JPMorgan with the help of Axoni and other vendors have been successfully testing since June post-trade processes based on blockchain/distributed ledger technologies and smart contracts that support over-the-counter (OTC) equity swaps. “Industry collaboration is key in driving blockchain innovation and Barclays is keen to remain at the forefront of this,”… Read More >>

Filed Under: Securities Operations, Ops Automation, Settlement, FinTech Trends, Back-Office, Blockchain/DLT Tagged With: Axoni, Barclays, blockchain, Capco, Citi, Credit Suisse, distributed ledger technology (DLT), IHS Markit, JPMorgan, OTC derivatives, post-trade operations, Post-Trade Processing, settlement, swaps, Thomson Reuters

Barclays Penalized for EFRP Records Violations

September 27, 2016 by Eugene Grygo

A U.S. regulator has cited Barclays Bank on charges of record-keeping violations and is imposing a $500,000 civil monetary penalty upon the bank, months after the U.K. banking giant was cited for problems with its submissions of large trader reports (LTRs) on physical commodity swap positions. The CFTC, the regulator in both cases, is now… Read More >>

Filed Under: Clearing, General Interest, Regulation & Compliance, Industry News Tagged With: BarCap, Barclays, Barclays Capital, CFTC, CFTC Regulations, clearinghouses, commodities, EFRP Records, Exchange for Related Position, Financial Industry Regulatory Authority, FINRA, large trader reports, order audit trail system, UK banking

Barclays Names CEO for its Investment Bank

September 13, 2016 by Louis Chunovic

Senior Appointments at Barclays Barclays reports that Tim Throsby has been named president of Barclays Corporate and International and chief executive of Barclays Corporate and Investment Bank. Throsby is expected to join the Barclays executive committee in January 2017, following regulatory approvals, and will report to Jes Staley, Barclays CEO. Throsby joins Barclays from JPMorgan,… Read More >>

Filed Under: Industry News, People Moves Tagged With: Barclays, IDC Financial Insights, Jes Staley, Jonathan Sorrell, Man Group, Pierre-Henri Flamand, Robyn Grew, Sandy Rattray, Thomas Zink, Tim Throsby

Barclays to Pay $100M to Settle U.S. Libor Case

August 11, 2016 by Eugene Grygo

Barclays Bank and its investment banking arm Barclays Capital Inc. have agreed to a $100 million, 44-state settlement in the bank’s latest chapter of the alleged fraud stemming from the rigging of the London Interbank Offered Rate (Libor) and other benchmark interest rates, according to the office of Eric T. Schneiderman, the state attorney general… Read More >>

Filed Under: AML/Fraud/Financial Crime, Regulation & Compliance Tagged With: Barclays, fines, LIBOR

Barclays Pushes to Keep its Blockchain/DLT Edge

July 21, 2016 by Lynn Strongin Dodds

Although there have been a host of reports questioning the viability of blockchain, banks are still forging ahead, reviewing different ways to deploy cutting-edge, systems that exploit distributed ledger technology (DLT), if the recent Smart Contract Templates Summit is anything to go by. Barclays, for example, is striking partnerships with start-ups and testing its own… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Ops Automation, Settlement, FinTech Trends, Back-Office, Blockchain/DLT Tagged With: Barclays, bitcoin, blockchain, cryptocurrency, derivatives, disruptive technology, distributed ledger technology (DLT), interest rate swaps, isda

SEC Whistleblower Chief to Leave

July 18, 2016 by Louis Chunovic

More than $85M Awarded to 32 Whistleblowers SEC officials report that Sean McKessy, chief of the SEC’s office of the whistleblower, is planning to leave the agency later this month. McKessy became the first head of SEC’s whistleblower program in February 2011, the SEC notes in a statement, and he “helped establish the whistleblower office… Read More >>

Filed Under: Industry News, People Moves Tagged With: Barclays, R.J. O'Brien, SEC, whistleblower

Libor Convictions Give U.K. Regulator a Reprieve

July 13, 2016 by Lynn Strongin Dodds

The recent sentencing of four former Barclays traders over Libor has given a much needed boost to the U.K.’s Serious Fraud Office (SFO) whose future has been in doubt due to a mixed set of results over the last few years. Among the four men, Jay Merchant, a former trader at Barclays in New York,… Read More >>

Filed Under: General Interest, AML/Fraud/Financial Crime, Regulation & Compliance, Industry News Tagged With: Alex Pabon, Andreas Hauschild, Ardalan Gharagozlou, Barclays, Christian Bittar Joerg Vogt, Citigroup, Deutsche Bank, Euribor, Jack Flader, James Sutherland, Jay Merchant, Jonathan Mathew, Kai-Uwe Kappauf, LIBOR, Peter Johnson, Serious Fraud Office, Societe Generale, Stephane Esper, Tom Hayes, UBS

CFTC Fines Barclays $650K for Wrong LTR Data

July 13, 2016 by Louis Chunovic

The CFTC has fined London, U.K.-based Barclays Bank PLC $650,000 for “failing to submit accurate large trader reports (LTRs) for physical commodity swap positions,” a violation of the Commodity Exchange Act and CFTC regulations. Barclays has been provisionally registered with the CFTC as a swap dealer since December 12, 2012, and the commission requires dealers… Read More >>

Filed Under: AML/Fraud/Financial Crime, Regulation & Compliance Tagged With: Barclays, CFTC, fines, trade reporting

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