Violation Tracker Individual Record

Company: 
Barclays Capital Inc.
Current Parent Company: 
Barclays
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 Parent: 
United Kingdom
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
banking
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.