Defendant Name:
Barclays PLC
Defendant Type:
Public Company
SIC Code:
6029
CUSIP:
06738E20
Document Reference:
34-87132
Document Details
Legal Case Name
In the Matter of Barclays PLC
Document Name
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
Document Date
27-Sep-2019
Document Format
Administrative Proceeding
Allegation Type
Foreign Corrupt Practices Act
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Self Reporting to SEC
Monetary Penalties:
Disgorgement
Individual:
$3,824,686.00
Shared:
Civil Penalty
Individual:
$1,500,000.00
Shared:
Pre-Judgment Interest
Individual:
$984,040.00
Shared:
Total Penalty
Individual:
$6,308,726.00
Shared:
