Barclays Wealth Management Fined For Unauthorized Client TradesMark Melin
Just five days after the research arm of Barclays PLC (ADR) (NYSE:BCS) (LON:BARC) indicated that its regulatory problems in the U.S. may be in the rear view mirror come new charges by the Security and Exchange Commission against the London-based bank.
SEC charges Barclays with failing to maintain an adequate internal compliance system
The SEC today charged Barclays with “failing to maintain an adequate internal . . .
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