October 25, 2016 11:14 PM ET

Capital Markets

Company Overview of Barclays Capital Inc.

Company Overview

Barclays Capital Inc. provides securities brokerage and financial advisory services. The company is based in New York, New York. Barclays Capital Inc. operates as a subsidiary of Barclays Group US, Inc.

745 7th Avenue

New York, NY 10019

United States





Key Executives for Barclays Capital Inc.

Chief Executive Officer
Managing Director
Managing Director
Head of Asset Management Solutions
Managing Director and Head of Cash Equities Trading - Non Japan Asia
Compensation as of Fiscal Year 2016.

Barclays Capital Inc. Key Developments

Financial Industry Regulatory Authority Fines $1.3 Million on Barclays Capital Inc. for Extensive Oats Reporting Violations and Related Supervisory Failures

The Financial Industry Regulatory Authority announced that it has fined Barclays Capital Inc. $1.3 million for systemic Order Audit Trail System (OATS) reporting violations and related supervisory failures. INRA rules require firms to transmit to OATS complete and accurate data relating to events in the lifecycle of an order, called Reportable Order Events (ROEs). FINRA found 15 system issues at Barclays Capital that gave rise to OATS reporting violations. Barclays Capital transmitted more than 3 billion inaccurate or incomplete ROEs to OATS, including omitted special handling codes; inaccurate timestamps, execution quantities and member type codes; and duplicate or erroneous reports. In addition, Barclays Capital failed to transmit millions of ROEs to OATS. FINRA also found that Barclays Capital's supervisory system was not reasonably designed to achieve compliance with its OATS reporting obligations. In concluding this settlement, Barclays Capital neither admitted nor denied the charges, but consented to the entry of FINRA's findings.

Barclays to Shutter Boston Wealth Division, Cut Employees

Barclays Capital Inc. will lay off 25 employees in Boston after the company agreed to sell off its U.S. wealth and investment management division to Stifel Financial Corp.

MagnaChip Semiconductor Considers Strategic Alternatives

The Board of Directors of MagnaChip Semiconductor Corporation (NYSE:MX) has established a strategic review committee to assist the Board in reviewing, considering and evaluating strategic alternatives that may be available to MagnaChip. MagnaChip has engaged Barclays Capital Inc. to serve as its financial adviser in connection with the strategic review process. No decision has been made to enter into a transaction at this time and MagnaChip can offer no assurance that it will enter into any transaction in the future.

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Recent Private Companies Transactions

No transactions available in the past 12 months.

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