Defendant Name: Barclays PLC

Defendant Type: Public Company

Document Reference: 34-87132-s

Document Details

Legal Case Name In the Matter of Barclays PLC
Document Name SEC Charges Barclays with FCPA Violations Related to Its Hiring Practices
Document Date 27-Sep-2019
Document Format Administrative Proceeding
File Number 3-19537
Allegation Type Foreign Corrupt Practices Act
Document Summary

Disgorgement & Penalty Information

Resolutions
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
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:    

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."