Defendant Name: Barclays PLC

Defendant Type: Public Company
SIC Code: 6029
CUSIP: 06738E20

Initial Case Details

Legal Case Name In the Matter of Barclays PLC
First Document Date 27-Sep-2019
Initial Filing Format Administrative Action
File Number 3-19537
Allegation Type Foreign Corrupt Practices Act

Violations Alleged

Exchange Act
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)

Resolutions

First Resolution Date 27-Sep-2019
Headline Total Penalty and Disgorgement $6,308,726

Related Documents:

34-87132 27-Sep-2019 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On September 27, 2019, the SEC instituted settled cease and desist proceedings against Barclays PLC ("Barclays"). The SEC stated: "These proceedings arise out of Respondent’s violations of the books and records, and internal accounting controls provisions of the Foreign Corrupt Practices Act of 1977."
34-87132-s 27-Sep-2019 Administrative Summary
SEC Charges Barclays with FCPA Violations Related to Its Hiring Practices