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Barclays fined for poor books and records retention

Last Thursday, the Financial Industry Regulatory Authority (FINRA) fined Barclays Capital Inc. $3.75 million for failing to preserve electronic records and certain emails and instant messages for at least a decade.

According to FINRA, Barclays did not preserve order and trade ticket data, trade confirmations, blotters, account records and similar records from at least 2002 to 2012. It also failed to properly preserve about 3.3 million Bloomberg instant messages from October 2008 to May 2010 and certain attachments to Bloomberg emails from May 2007 to May 2010.

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