Subject: Joseph Noto

Subject of Interest

Joseph Noto: Depository Trust & Clearing Corporation (DTCC) member of the board.  He is a Managing Director and the Americas Treasurer for Barclays. He is the Treasurer of the U.S. Intermediate Holding Company (IHC) and is responsible for key financial resources including capital, leverage, funding and liquidity, as well asset & liability management for both the IHC and Consolidated US Operations (CUSO). Noto provides oversight for liquidity and capital adequacy for the IHC and CUSO including the annual CCAR process and is responsible for ensuring that interest rate and FX risks are appropriately managed within risk appetite. He also manages the legal entity treasury functions for Barclays Bank of Delaware and Barclays Bank Mexico, SA.

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Article: Hedge fund billionaire Cohen settles with SEC after years of being investigated

Article - Media, Publications

Hedge fund billionaire Cohen settles with SEC after years of being investigated

Anthony Noto, 08 January 2016

Authorities have spent almost a decade trying to corner Steven Cohen on insider trading charges. Today, the hedge-fund billionaire settled the long-standing case with the U.S. Securities and Exchange Commission.

The result: Cohen has been barred from managing client money until 2018. The settlement determined that the hedge fund manager failed to supervise an employee, Mathew Martoma, who was convicted of insider trading. The SEC ruled that Cohen’s family office must bring on an independent consultant to review their activity to make sure they remain compliant with securities laws. Continue reading “Article: Hedge fund billionaire Cohen settles with SEC after years of being investigated”