バークレイズ・ピーエルシー 外国会社半期訂正報告書
提出書類 | 外国会社半期訂正報告書 |
---|---|
提出日 | |
提出者 | バークレイズ・ピーエルシー |
カテゴリ | 外国会社半期訂正報告書 |
EDINET提出書類
バークレイズ・ピーエルシー(E05762)
外国会社半期訂正報告書
【表紙】
【提出書類】 外国会社半期報告書の訂正報告書
【提出先】 関東財務局長
【提出日】 令和4年 10 月 13 日
【中間会計期間】 自 令和4年1月1日 至 令和4年6月 30 日
【会社名】 バークレイズ ・ピーエルシー
( Barclays PLC )
【代表者の役職氏名】 グループ財務担当取締役
(Group Finance Director)
アンナ・クロス
(Anna Cross)
【本店の所在の場所】 英国 ロンドン市 E14 5HP チャーチル・プレイス1
(1 Churchill Place, London E14 5HP, United Kingdom)
【代理人の氏名又は名称】 弁護士 芦 澤 千 尋
【代理人の住所又は所在地】 東京都千代田区丸の内1丁目1番1号パレスビル3階
クリフォードチャンス法律事務所外国法共同事業
【事務連絡者氏名】 弁護士 芦 澤 千 尋
【連絡場所】 東京都千代田区丸の内1丁目1番1号パレスビル3階
クリフォードチャンス法律事務所外国法共同事業
【電話番号】 03-6632-6600
【縦覧に供する場所】 該当事項なし
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EDINET提出書類
バークレイズ・ピーエルシー(E05762)
外国会社半期訂正報告書
1【外国会社半期報告書の訂正報告書の提出理由】
令和4 年 9 月 30 日付で提出いたしました外国会社 半期 報告書の補足書類(2)の一部を訂正するため、本訂正
報告書を提出いたします。
2【訂正事項】
外国会社 半期 報告書(開示府令第 十 号様式に代えて提出するもの)の補足書類(2)
PART I. CORPORATE INFORMATION
VI. FINANCIAL CONDITION
2. Other Matters
(1) Subsequent Events
3【訂正箇所】
(以下を令和4年9月 30 日に提出した外国会社半期報告書の補足書類(2)の "PART I., VI., 2. (1) Subsequent
Events" に加える。)
"Update on over-issuance under the Barclays Bank PLC U.S. Shelf
Settlement with the SEC
The U.S. Securities and Exchange Commission ("SEC") has announced the resolution of its investigation of the Company and
the Bank relating to the over-issuance of securities by the Bank under certain of its U.S. shelf registration statements. Pursuant
to the terms of the resolution and as reflected in the Company's and the Bank's Foreign Company Semi-Annual Securities
Reports dated 30 September 2022, the Company and the Bank will pay a combined penalty of U.S.$200 million, without
admitting or denying the SEC's findings. The SEC has confirmed that the Bank's independent rescission offer to noteholders
satisfies its requirements for disgorgement and related prejudgment interest.
Financial impact of the over-issuance
Further to the expiration of the rescission offer, the Company and the Bank confirm that the net cumulative attributable loss
after tax in relation to the over-issuance of securities in the U.S. is expected to remain materially in line with the financial
impact disclosed in the Company's and the Bank's Foreign Company Semi-Annual Securities Reports dated 30 September
2022.
Review led by external counsel
The previously announced review of the facts and circumstances relating to the over-issuance and the control environment
related to such issuances led by external counsel ("Review") is now complete. The over-issuance occurred because the
Company and the Bank did not put in place a mechanism to track issuances after the Bank became subject to a limit on
issuance. Among the principal causes of the over-issuance were, first, the failure to identify and escalate to senior executives
the consequences of the loss of well-known issuer status and, secondly, a decentralised ownership structure for securities
issuances.
The Review further concluded that the occurrence of the over-issuance was not the result of a general lack of attention to
controls by the Company and the Bank, and that the Company's and the Bank's management has consistently emphasised the
importance of maintaining effective controls.
The Review's findings will be used to consider individual accountabilities in relation to this matter and may include
adjustments to remuneration, including to past variable remuneration, the potential for disciplinary action and performance
management as appropriate."
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