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Investigations Dataset


Investigation Name:    Investigation into Barclays' Activities in Unspecified Countries

Trend:    None

Type of investigation:    Internal, SEC, DOJ

Other Agencies Investigating/Assisting with SEC/DOJ Investigation:   

  • Financial Services Authority
  • U.K. Serious Fraud Office

Whistleblower:    Unknown


Barclays PLC (Barclays) was a bank holding company, headquartered in London, U.K. Through its subsidiaries, Barclays provides various financial services, including investment banking, wealth management, and the sale and offer of securities. Barclays' American Depositary Receipts were registered with the SEC and traded on the New York Stock Exchange.

According to its SEC filings, on October 2012 Barclays was informed by the DOJ and the SEC that they had each commenced an investigation into whether Barclays’ relationships with third parties who assist Barclays to win or retain business were compliant with the FCPA. Barclays commenced an internal investigation and has been cooperating with the DOJ and SEC.

In its 6-K filed on August 1, 2019, Barclays stated that it was in advanced negotiations to resolve the matter. Despite saying that the company was in advanced negotiations to resolve the matter, it appears that the August 1 filing contained the last disclosure with respect to this investigation. It is possible that whatever resolution was being negotiated occurred in coordination with the simultaneous investigations into Barclays' hiring practices in Asia, which resulted in an SEC enforcement action in September 2019.

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