October 22, 2014 3:23 AM 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.

200 Park Avenue

New York, NY 10166

United States

Phone:

212-412-4000

Fax:

212-412-7300

Key Executives for Barclays Capital Inc.

Chief Executive Officer
Chief Executive Officer of Corporate & Investment Banking & Wealth Management and President of Barclays PLC
Age: 63
Chairman of Asia Pacific Region - Barclays Plc and Chief Executive of Asia Pacific Region - Barclays PLC
Managing Director
Managing Director
Compensation as of Fiscal Year 2014.

Barclays Capital Inc. Key Developments

New York REIT, Inc. Engages Barclays Capital Inc. and RCS Capital as Financial Advisors

New York REIT Inc. announced that it has engaged Barclays Capital Inc. and RCS Capital as financial advisors to assist the board of NYRT in evaluating strategic options to enhance long-term shareholder value.

Barclays And RCS Capital To Assist In Evaluating Strategic Options

New York REIT, Inc. (NYSE:NYRT) announced that it has engaged Barclays Capital Inc. and RCS Capital as financial advisors to assist the board of NYRT in evaluating strategic options to enhance long-term shareholder value.

SEC Charges Barclays Capital with Systemic Compliance Failures After Acquiring Lehman's Advisory Business

The Securities and Exchange Commission charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to ensure the firm did not run afoul of any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008. Investment advisers are required to adopt and implement written compliance policies and procedures reasonably designed to prevent violations of the Investment Advisers Act and its rules. An SEC examination and subsequent investigation found that Barclays failed to enhance its compliance infrastructure to integrate and support the acquisition and rapid growth of the advisory business from Lehman. The deficiencies in its compliance systems contributed to other securities law violations by Barclays. To settle the SECs case, Barclays agreed to pay a $15 million penalty and to undertake remedial measures, including engaging an independent compliance consultant to conduct an internal review.

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Recent Private Companies Transactions

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