November 19, 2017 12:16 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

Phone:

212-526-7000

Fax:

212-412-7300

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 2017.

Barclays Capital Inc. Key Developments

Biocryst Pharmaceuticals, Inc. Enters into Underwriting Agreement with J.P. Morgan Securities LLC and Barclays Capital Inc

On September 12, 2017, BioCryst Pharmaceuticals Inc. entered into an underwriting agreement with J.P. Morgan Securities LLC and Barclays Capital Inc., as representatives of the underwriters named in Schedule 1 thereto, with respect to the issuance and sale in an underwritten public offering by the Company of 15,533,981 shares of the Company's common stock at a price to the public of $5.15 per share. Pursuant to the Underwriting Agreement, the company also granted the underwriters a 30-day option to purchase up to an additional 2,330,097 shares of the company's common stock. On September 13, 2017, the Underwriters exercised the Underwriters' Option in full. Total gross proceeds from the Offering to the Company, including from the exercise of the Underwriters' Option, are expected to be $92 million, before deducting underwriting discounts and commissions and other estimated offering expenses payable by the company.

Barclays Capital Inc. Announces Launch of Algorithmic Trading Feature

Barclays Capital Inc. announced the launch of an algorithmic trading feature in the US that allows users to post block interest in Barclays DirectEx, the firm’s block ATS that disseminates actionable IOIs to its subscribers to find the other side of an order. All posted order flow in DirectEx is natural block liquidity sent through Barclays’ liquidity-seeking algorithm, Hydra®. Barclays DirectEx was first launched in 2012 as the firm’s first actionable IOI platform for both natural and non-natural liquidity. Since the launch of its TradePx (“Trade Price”) actionable IOIs for targeted markets representing internal desk liquidity, Barclays has refocused DirectEx on crossing natural block liquidity between clients. DirectEx connects block interest between electronic and high-touch trading clients through its integration with conditional orders and IOIs. Electronic trading clients can post conditionally to DirectEx from Barclays’ algorithms1, while clients can respond to actionable IOIs linked to those orders. Using a “Smart Post” IOI dissemination method, the IOIs generated from electronic orders are sent to DirectEx subscribers who are most likely to be on the other side of the trade, based on factors such as subscribers’ activity in a particular security. Clients can view and interact with Barclays’ actionable IOIs through one of several third-party order management systems integrated with Barclays IOIs, many with click-to-trade functionality. When an execution occurs in DirectEx between two clients, whether they are a high touch or an algorithmic trading client, they may be offered a follow-on, high-touch block trade if the opportunity presents itself.

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.

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