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Various reporting, clearing and trading violations have piled up for the investment banking arm of Barclays.
Barclays Capital, the investment banking arm of the London-based banking multinational, has been hit with $2.1 million in fines for various reporting, clearing and trading violations, and for related supervision failures. Those penalties include an $800,000 fine from the CFTC and a $1.3 million fine from the Financial Industry Regulatory Authority (FINRA). FINRA fined BarCap,...
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