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Showing 11 to 17 of 17 search results for barclays.

  1. FCA Final Notice 2014: Barclays Bank PLC - September 2014 [pdf]

    Final notices Published: 23/09/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3, PRIN 10, and CASS related to client money/assets in the investment banks sector. We imposed a fine.
  2. FCA Final Notice 2014: Barclays Bank PLC [pdf]

    Final notices Published: 23/05/2014 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 8 related to benchmarks and conflicts of interest in the investment banks sector. We imposed a fine.
  3. FSA Final Notice 2012: Barclays Bank Plc [pdf]

    Final notices Published: 27/06/2012 Last modified: 31/05/2013
    For the reasons set out in this Final Notice, the FSA is taking action against Barclays Bank Plc
  4. FSA Final Notice 2011: Barclays Capital Securities Limited (Barclays Capital or the Firm) [pdf]

    Final notices Published: 26/01/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Barclays Capital Securities Limited (Barclays Capital or the Firm)
  5. FSA Final Notice 2011: Barclays Bank Plc (Barclays or the firm) [pdf]

    Final notices Published: 18/01/2011 Last modified: 14/06/2014
    For the reasons set out in this Final Notice, the FSA is taking action against Barclays Bank Plc (Barclays or the firm)
  6. FSA Final Notice 2010: Richard Barclay [pdf]

    Final notices Published: 13/04/2010 Last modified: 14/06/2014
    FSA Final Notice 2010: Richard Barclay
  7. FSA Final Notice 2009: Barclays Capital Securities Limited and Barclays Bank plc [pdf]

    Final notices Published: 19/08/2009 Last modified: 11/06/2015