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The SEC alleged that Barclays PLC and Barclays Bank PLC with selling “an unprecedented amount” of unregistered securities due to a lack of internal controls.
The Securities and Exchange Commission has charged that Barclays PLC and Barclays Bank PLC offered and sold “an unprecedented amount” of unregistered securities because of a “failure to implement any internal control to track such transactions in real time.” One result of that alleged failure is that both Barclays PLC and Barclays Bank PLC had...
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