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February 12, 2016 9:12 AM ET

Capital Markets

Company Overview of Barclays Capital PLC

Company Overview

Barclays Capital PLC provides investment banking advisory services. The firm offers financing, risk management, and corporate finance advisory services. Additionally, it provides foreign exchange, securities lending, and loan syndication services. The firm also owns and operates Al Safi Trust Platform, which is an investment platform. Barclays Capital PLC was founded in 1997 and is headquartered in London, United Kingdom with additional offices in Chicago, Illinois; Boston, Massachusetts; Whippany, New Jersey; Johannesburg, South Africa; and Paris, France. Barclays Capital PLC operates as a subsidiary of Barclays Bank PLC.

5 The North Colonnade

Canary Wharf

London,  E14 4BB

United Kingdom

Founded in 1997


44 20 7623 2323

Key Executives for Barclays Capital PLC

Managing Director and Head of Equities Liquid Markets Distribution of Asia Pacific
Chief Executive Officer of Israel Operations
Chief Executive Officer of Japan and President of Japan
Head of Mexico and President of Barclays Bank Mexico SA
Age: 44
Director and President of Barclays Plc
Age: 64
Compensation as of Fiscal Year 2015.

Barclays Capital PLC Key Developments

Barclays Capital PLC Presents at Barclays Select Series: Chemical Experts Conference 2016, Jan-13-2016

Barclays Capital PLC Presents at Barclays Select Series: Chemical Experts Conference 2016, Jan-13-2016. Venue: 745 Seventh Avenue, New York, NY 10019, United States. Presentation Date & Speakers: Jan-13-2016, Dan Levy, Vice President, Equity Research ­ US Autos & Auto Parts, Duffy Fischer, Director, US Chemicals, Jayme Abrahamsen, Director, Equity Trading, John Coyle, Vice President, Equity Research ­ US Building Products &Homebuilding, Richard Gross, Managing Director, US MLPs and US Diversified Natural Gas, Scott Gaffner, Director, Equity Research ­ Paper & Packaging.

The Financial Industry Regulatory Authority Orders Barclays Capital, Inc. to Pay $13.75 Million for Unsuitable Mutual Fund Transactions and Related Supervisory Failures

The Financial Industry Regulatory Authority (FINRA) announced that it has ordered Barclays Capital, Inc. to pay more than $10 million in restitution, including interest, to affected customers for mutual fund-related suitability violations. These suitability violations relate to an array of mutual fund transactions including mutual fund switches. Additionally, the firm failed to provide applicable breakpoint discounts to certain customers. Barclays was also censured and fined $3.75 million. NASD Notices to Members 94-16 and 95-80 remind broker-dealers of their obligation to ensure that any recommendation to switch mutual funds be evaluated with regard to the net investment advantage to the investor. FINRA noted that ‘switching among certain fund types may be difficult to justify if the financial gain or investment objective to be achieved by the switch is undermined by the transaction fees associated with the switch.’ A ‘mutual fund switch’ involves one or more mutual fund redemption transactions coupled with one or more related mutual fund purchase transactions. FINRA found that from January 2010 through June 2015, Barclays’ supervisory systems were not sufficient to prevent unsuitable switching or to meet certain of the firm’s obligations regarding the sale of mutual funds to retail brokerage customers. In particular, the firm incorrectly defined a mutual fund switch in its supervisory procedures to require three separate transactions within a certain time frame. Based on this incorrect definition, Barclays failed to act on thousands of automated alerts for potentially unsuitable transactions, excluded transactions from review for suitability and failed to ensure that disclosure letters were sent to customers regarding the transaction costs. As a result, during the five-year period, there were more than 6,100 unsuitable mutual fund switches resulting in customer harm of approximately $8.63 million. Additionally, FINRA found that the firm failed to provide adequate guidance to supervisors to ensure that mutual fund transactions for its retail brokerage customers were suitable based upon customer investment objectives, risk tolerance and account holdings. During a six-month look back review, 1,723, or 39% of mutual fund transactions were found to be unsuitable, with 343 customers experiencing financial harm totaling more than $800,000, including realized losses. In addition, during the same five-year period, Barclays’ supervisory system failed to ensure that purchases were properly aggregated so that eligible customers could be provided with breakpoint discounts. A six-month look back review found that the firm failed to provide eligible customers discounts in 98 Class A share mutual fund transactions.

Barclays Capital PLC Presents at 11th Annual FIA Asia Derivatives Conference, Dec-08-2015

Barclays Capital PLC Presents at 11th Annual FIA Asia Derivatives Conference, Dec-08-2015 . Venue: The St. Regis Singapore00000, afasfsaf, Singapore, Singapore. Speakers: Tom Lodder, Managing Director, Head of Regulatory Policy, Barclays Legal, Asia Pacific.

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