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    Disclosures

    Prime Derivatives Services Clearing Member Disclosures

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    CFTC Disclosures

    A paper copy will be provided upon request. Please contact CFTCDisclosures@barclays.com. Additional information regarding how Barclays Captial Inc invests and holds customer funds can be found on the NFA website. Financial information on all futures commission merchants is available from the CFTC.
     

    CFTC Prescribed Risk StatementCFTC Prescribed Risk Statement (PDF 17KB new window) Barclays Bespoke DisclosureBarclays Bespoke Disclosure (PDF new window) NFA Securities Futures DisclosureNFA Securities Futures Disclosure Part 190 Disclosure Regarding Separate AccountsPart 190 Disclosure Regarding Separate Accounts

    Daily Seg, Secured, Cleared Swap Statements

    Daily statementsDaily statements

    Month-end Capital Summary

    Barclays Capital Inc Capital Summary (March 2023 – February 2024) (XLS, 15KB)Barclays Capital Inc Capital Summary (March 2023 – February 2024) (XLS, 15KB)

    Month-end Seg, Secured, and Cleared Swap Focus Statements

    Month-End Seg, Secured, Cleared Swap FOCUS Statements (March 2023 – February 2024)Month-End Seg, Secured, Cleared Swap FOCUS Statements (March 2023 – February 2024)

    Year-end Certified Financial Statement, Seg, Secured, and Cleared Swap Statement 

    Financial documentsDaily statements Additional schedules for segregated and secured statements (PDF 600KB)Additional schedules for segregated and secured statements (PDF 600KB)

    Virtual Currency Disclosures

    CFTC Customer Advisory (PDF, 339KB)CFTC Customer Advisory NFA Investor Advisory (PDF, 68KB)NFA Investor Advisory

    Barclays Virtual Currency Disclosure

    BARCLAYS CAPITAL, INC. IS A MEMBER OF NFA AND IS SUBJECT TO NFA'S REGULATORY OVERSIGHT AND EXAMINATIONS. HOWEVER, YOU SHOULD BE AWARE THAT NFA DOES NOT HAVE REGULATORY OVERSIGHT AUTHORITY OVER UNDERLYING OR SPOT VIRTUAL CURRENCY PRODUCTS OR TRANSACTIONS OR VIRTUAL CURRENCY EXCHANGES, CUSTODIANS OR MARKETS.

     

    EMIR and MiFID II Disclosures

    Overview

    European Market Infrastructure Regulation (“EMIR”)

    EMIR came into force on 16 August 2012. As part of the regulation, the two principal concerns that regulators sought to address in respect to the protection of clients’ positions and collateral at an EEA central counterparty that has been authorised under EMIR (“EU CCP”) are:

    • to ensure that clients can successfully transfer positions away from a defaulting clearing member to a non-defaulting clearing member
    • to ensure that in effecting any such transfer, any collateral associated with such positions is transferred to such non-defaulting clearing member alongside such positions, with the aim of mitigating the risk that clients:
      • i. have to double collateralise their positions during the transfer period
      • ii. may suffer a loss in respect of the collateral that they had posted to their defaulting clearing member.

    EMIR requires that EU CCPs and their clearing members:

    • Offer clients the choice between omnibus client segregation and individual client segregation under Article 39;
    • Publicly disclose the levels of protection and costs associated with different levels of segregation; and
    • Disclose the prices and fees associated with the clearing services they provide

    The Markets in Financial Instruments Regulation (”MiFIR”) and Markets in Financial Instruments Directive (“MiFID”) (together, “MiFID II”)

    MiFID II places additional obligations on Clearing Members and their clients (“Direct Clients”) with respect to the indirect clearing of Exchange Traded Derivatives (“ETDs”) activity cleared at EU CCPs.

    An indirect clearing arrangement arises when there are more than three participants in the transactional chain, for example: CCP, Clearing Member, Direct Client and Indirect Client.

    When providing indirect clearing services, Clearing Members and Direct Clients must do so on reasonable commercial terms and publicly disclose the general terms and conditions under which it provides those services.

    Disclosures

    Please see:

    • Clearing Member disclosure (PDF, 569KB) in relation to clearing services provided by Barclays Bank PLC as Clearing Member
    • Clearing Member disclosure (PDF, 175KB) in relation to clearing services provided by Barclays Capital Inc as Clearing Member
    • Clearing Member disclosure (PDF, 520KB) in relation to clearing services provided by Barclays Bank Ireland PLC as Clearing Member
    • Direct Client disclosure (PDF, 518KB) in relation to clearing services provided by Barclays Bank PLC as a Direct Client
    • Direct Client disclosure in relation to clearing services provided by Barclays Capital Inc as a Direct Client
    • Direct Client disclosure (PDF, 408KB) in relation to clearing services provided by Barclays Bank Ireland PLC as a Direct Client
    • FRANDT Onboarding Procedure for Prime Derivatives Services in relation to the FRANDT requirement to publish a description of the process leading to the agreement of contractual terms and setting up operational processes for OTC clearing services for Barclays Bank PLC, Barclays Bank Ireland PLC or Barclays Capital Inc.
    • EU CCP Recovery and Resolution Regulation notification (PDF, 309KB) in relation to how measures in a CCP’s recovery plans may affect clients when we are providing clearing services on EU CCPs by Barclays Bank PLC, Barclays Bank Ireland PLC or Barclays Capital Inc.

    Fees & Charges

    Please click on the links below for details of the client clearing fees and charges that apply where we are providing clearing services at EU CCPs:

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