时寒冰说:未来二十年,经济大趋势(未来篇) 第361页
作者: 时间:2020-08-24 11:06 浏览(899)
[42]Patrick Jenkins. StanChart hits back at Iran claims[N].The Financial Times,2012-08-07.[43]Sam Ro. Report:Standard Chartered Is Looking Into Suing A US Regulator[OL].Business Insider, http://www.bu

[42]patrick jenkins. stanchart hits back at iran claims[n].the financial times,2012-08-07.[43]sam ro. report:standard chartered is looking into suing a us regulator[ol].business insider, http://www.businessinsider.com/standard-chartered-suing-us-regulator-2012-8,2012-08-09.[44]jim pickard. british mps accuse us of anti-city agenda[n].the financial times,2012-08-07.[45]liz rappaport. bank settles iran money case[n].the wall street journal,2012-08-15.[46]karen freifeld, carrick mollenkamp. standard chartered reaches$340 million settlement over iran[ol].the reuters, http://www.reuters.com/article/2012/08/14/us-standard-chartered-probe-idusbre87d0b520120814,2012-08-14.[47]margot patrick. standard chartered to pay additional$330 million in iran settlement[n].the wall street journal,2012-12-06.[48]zachary a. goldfarb, standard chartered to pay$340 million to settle with n.y.over iran charges[n].the washington post,2012-08-15.[49]cora currier. hsbc's money laundering lapses, by the numbers[ol].pro publica, http://www.propublica.org/article/hsbcs-money-laundering-lapses-by-the-numbers,2012-07-20.[50]sharlene goff. hsbc braced for$1bn us penalty[n].the financial times,2012-07-11.[51]合规官一般负责协调、指导、协助涉及海外机构的法律诉讼、仲裁、法律咨询、合同审查、反洗钱等工作,督促海外机构按照当地监管要求开展合规工作,完善其反洗钱规章制度,规避合规风险。

根据《新巴塞尔协议》的定义,“合规风险”指的是:银行因未能遵循法律法规,监管要求、规则,自律性组织制定的有关准则,已经适用于银行自身业务活动的行为准则,而可能遭受法律制裁或监管处罚、重大财务损失或声誉损失的风险。

[52]shahien nasiripour. hsbc compliance boss quits in hearing[n].the financial times,2012-07-17.[53]shahien nasiripour. hsbc's mexico nightmare on money laundering[n].the financial times,2012-07-18.[54]james o'toole, charles riley. hsbc pays$1.9 billion to settle us probe[ol].the cnn news, http://money.cnn.com/2012/12/10/news/companies/hsbc-money-laundering/,2012-12-11.

相关专题