ABN Amro: 2004 Enforcement Action Reports

David Scantling filed this request with the Department of Financial Services of New York.
Tracking # OIL-2017-067569-002990
Est. Completion None
Status
Awaiting Appeal

Communications

From: David Scantling

To Whom It May Concern:

Pursuant to the New York State Freedom of Information Law (1977 N.Y. Laws ch. 933), I hereby request the following records:

The following documents that were delivered by ABN Amro Bank NV (including its New York Branch) (collectively "ABN Amro") to the New York State Banking Department (NYSBD) between July 12, 2004, and December 31, 2004; per the enforcement action and agreement between NYSBD and ABN Amro, dated July 12, 2004 (available online at http://www.dfs.ny.gov/about/ea/ea040726.pdf):

1. All ABN Amro monthly, interim and final reports; and,
2. All Consultant engagement letters, interim reports, and final reports (based on the Consultant's review, per the agreement, of ABN Amro's transactions between July 23, 2002, and April 30, 2004).

The requested documents will be made available to the general public, and this request is not being made for commercial purposes.

In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 5 business days, as the statute requires.

Sincerely,

David Scantling

From:

February10, 2017 DavidScantling MuckRock DEPTMR 33139, 411A Highland Ave SomervilleMA 02144-2516 DFS FOIL No. 2017-067569: The following documents that were delivered byABN Amro Bank NV (including its New York Branch) (collectively "ABNAmro") to the New York State Banking Department (NYSBD) between July 12,2004, and December 31, 2004; per the enforcement action and agreement betweenNYSBD and ABN Amro, dated July 12, 2004 DearDavid Scantling, The Department of Financial Services (Banking Division) iscurrently in the process of responding to your Freedom of Information Law(“FOIL”) request. Please note the number of your requestcaptioned above. Your request has beensubmitted to the appropriate department for retrieval of the requested records. It is anticipated that the response will be completedwithin 20 business days from the date of this acknowledgment letter. If you have any questions, please contactGeorge Bogdan at 212 – 480 – 4758 or George.Bogdan@dfs.ny.gov Sincerely, Ryan Condon Administrative Assistant
Tracking Number:FOIL-2017-067569-002990

From: Condon, Ryan L (DFS)

Dear David Scantling,

I have attached the NYS Department of Financial Services' response to numerous FOIL requests of yours regarding DFS investigation files related to the enforcement actions of the department.
Please see the attached PDF for further information about your FOIL requests.

Ryan Condon
Legal Assistant

  • DFS_FOIL_No._2017-067568_to_2017-067666_David_Scantling_rmsNAz9_7aL7xJ

From: Condon, Ryan L (DFS)

Dear David Scantling,

I have attached the NYS Department of Financial Services' response to numerous FOIL requests of yours regarding DFS investigation files related to the enforcement actions of the department.
Please see the attached PDF for further information about your FOIL requests.

Ryan Condon
Legal Assistant

  • DFS_FOIL_No._2017-067568_to_2017-067666_David_Scantling_rmsNAz9_7aL7xJ

From:

Dear David Scantling,
I have attached the NYS Department of Financial Services' response to numerous FOIL requests of yours regarding investigation files related to the enforcement actions for various dates.
Please see the attached PDF for further information about your FOIL requests.
Ryan Condon
Legal Assistant

Tracking Number:FOIL-2017-067666-003062

  • DFS_FOIL_No._2017_067568_to_2017_067666_David_Scantling_20170223140353

From:

Dear David Scantling,
I have attached the NYS Department of Financial Services' response to numerous FOIL requests of yours regarding investigation files related to the enforcement actions for various dates.
Please see the attached PDF for further information about your FOIL requests.
Ryan Condon
Legal Assistant

Tracking Number:FOIL-2017-067666-003062

  • DFS_FOIL_No._2017_067568_to_2017_067666_David_Scantling_20170223140353

From: Condon, Ryan L (DFS)

Dear David Scantling,

I have attached the NYS Department of Financial Services' response to numerous FOIL requests of yours regarding DFS investigation files related to the enforcement actions of the department.
Please see the attached PDF for further information about your FOIL requests.

Ryan Condon
Legal Assistant

  • DFS_FOIL_No._2017-067568_to_2017-067666_David_Scantling_KnwehRO_lrcCkK

From: Condon, Ryan L (DFS)

Dear David Scantling,

I have attached the NYS Department of Financial Services' response to numerous FOIL requests of yours regarding DFS investigation files related to the enforcement actions of the department.
Please see the attached PDF for further information about your FOIL requests.

Ryan Condon
Legal Assistant

  • DFS_FOIL_No._2017-067568_to_2017-067666_David_Scantling_KnwehRO_lrcCkK

From: David Scantling

Re: Freedom of Information Law (“FOIL”) Appeal for DFS FOIL Tracking Number 2017-067569

Dear Mr. Bogdan:

I hereby appeal the denial of access regarding my FOIL request, identified as DFS FOIL tracking number 2017-067569, which was made on February 8, 2017, and sent to the New York Department of Financial Services (“DFS”).

The records that were denied include:

“The following documents that were delivered by ABN Amro Bank NV (including its New York Branch) (collectively "ABN Amro") to the New York State Banking Department (NYSBD) between July 12, 2004, and December 31, 2004; per the enforcement action and agreement between NYSBD and ABN Amro, dated July 12, 2004 (available online at http://www.dfs.ny.gov/about/ea/ea040726.pdf):
1. All ABN Amro monthly, interim and final reports; and,
2. All Consultant engagement letters, interim reports, and final reports (based on the Consultant's review, per the agreement, of ABN Amro's transactions between July 23, 2002, and April 30, 2004).”

You noted in your denial letter, dated February 23, 2017, that:

“New York’s Banking Law § 36.10 provides that reports of examinations and investigations and correspondence and memoranda concerning or arising out of such examinations and investigations are confidential and shall not be made public.”

However, § 36.10 also provides DFS with the following flexibility:

“[U]nless, in the judgment of the superintendent, the ends of justice and the public advantage will be subserved by the publication thereof, in which event the superintendent may publish or authorize the publication of a copy of any such report or any part thereof in such manner as may be deemed proper…”.

Based on this, I disagree with the denial and request a reconsideration based on the following reasons:

1. The requested records were delivered to DFS over twelve (12) years ago. Because of their age, the public interest outweighs the confidential nature of these documents and they should be released. For example, the U.S. Department of Defense routinely declassifies "Secret" documents after ten (10) years and releases them to the public.
2. However, if DFS determines that portions of the requested records still contain confidential information, I request that DFS redact those portions and release the remainder of the requested records to the public. For example, agencies within the U.S. Intelligence Community routinely redact highly classified documents and release them to the public (including documents classified "Top Secret/TS" and/or "Sensitive Compartmented Information/SCI").
3. Alternatively, if for some reason DFS determines that it is unable to release the requested records (in either full or redacted versions), I request that DFS release a listing of the denied records (including each respective document’s title, date, author, and how its disclosure would damage DFS’s interests).

As required by the Freedom of Information Law, the head or governing body of an agency, or whomever is designated to determine appeals, is required to respond within ten (10) business days of the receipt of an appeal. If the records are denied on appeal, please explain the reasons for the denial fully in writing as required by law.

In addition, please be advised that the Freedom of Information Law directs that all appeals and the determinations that follow be sent to the Committee on Open Government, Department of State, One Commerce Plaza, 99 Washington Ave., Suite 650, Albany, New York 12231.

Regards,

David Scantling

From: Condon, Ryan L (DFS)

March 8, 2017

David Scantling
MuckRock
DEPT MR 33139, 411A Highland Ave
Somerville MA 02144-2516

Re: Appeal of New York Freedom of Information Law (“FOIL”): Appeals of Eleven (11) requests in the table below requesting investigation files related to the enforcement actions listed below for various dates

Mr. Scantling,

The Department of Financial Services (Banking Division) has received the 11 appeals listed in the table below regarding your Freedom of Information Law (“FOIL”) requests.

Date Received

FOIL Tracking #

Topic

2/16/2017

2017-067659
Appealed

Standard Chartered 2012 Enforcement Action

2/10/2017

2017-067592
Appealed

Standard Chartered: 2012 Enforcement Action

2/10/2017

2017-067581
Appealed

Barclays: 2010 Enforcement Action

2/10/2017

2017-067580
Appealed

Dresdner Bank: 2008 Enforcement Action

2/10/2017

2017-067579
Appealed

Sumitomo Mitsui: 2007 Enforcement Action

2/10/2017

2017-067578
Appealed

Mitsubishi UFJ Financial Group: 2006 Enforcement Action

2/10/2017

2017-067577 Appealed

Deutsche Bank 2005 Enforcement Action

2/10/2017

2017-067575 Appealed

Standard Chartered Bank 2004 Enforcement Action

2/8/2017

2017-067569
Appealed

ABN AMRO Bank NV 2004 Enforcement Action

2/8/2017

2017-067568
Appealed

HSBC Bank USA 2003 Enforcement Action

2/8/2017

2017-067530
Appealed

Promontory Financial Group action involving SCB 2010 – 2011

Sincerely,
Ryan Condon
Administrative Assistant

  • Various_Scantling_Appeals_DFS_FOIL_No._2017-067569_-_067581_5C5FGIv_Vn

From: Condon, Ryan L (DFS)

March 8, 2017

David Scantling
MuckRock
DEPT MR 33139, 411A Highland Ave
Somerville MA 02144-2516

Re: Appeal of New York Freedom of Information Law (“FOIL”): Appeals of Eleven (11) requests in the table below requesting investigation files related to the enforcement actions listed below for various dates

Mr. Scantling,

The Department of Financial Services (Banking Division) has received the 11 appeals listed in the table below regarding your Freedom of Information Law (“FOIL”) requests.

Date Received

FOIL Tracking #

Topic

2/16/2017

2017-067659
Appealed

Standard Chartered 2012 Enforcement Action

2/10/2017

2017-067592
Appealed

Standard Chartered: 2012 Enforcement Action

2/10/2017

2017-067581
Appealed

Barclays: 2010 Enforcement Action

2/10/2017

2017-067580
Appealed

Dresdner Bank: 2008 Enforcement Action

2/10/2017

2017-067579
Appealed

Sumitomo Mitsui: 2007 Enforcement Action

2/10/2017

2017-067578
Appealed

Mitsubishi UFJ Financial Group: 2006 Enforcement Action

2/10/2017

2017-067577 Appealed

Deutsche Bank 2005 Enforcement Action

2/10/2017

2017-067575 Appealed

Standard Chartered Bank 2004 Enforcement Action

2/8/2017

2017-067569
Appealed

ABN AMRO Bank NV 2004 Enforcement Action

2/8/2017

2017-067568
Appealed

HSBC Bank USA 2003 Enforcement Action

2/8/2017

2017-067530
Appealed

Promontory Financial Group action involving SCB 2010 – 2011

Sincerely,
Ryan Condon
Administrative Assistant

  • Various_Scantling_Appeals_DFS_FOIL_No._2017-067569_-_067581_5C5FGIv_Vn

From: Condon, Ryan L (DFS)

March 8, 2017

David Scantling
MuckRock
DEPT MR 33139, 411A Highland Ave
Somerville MA 02144-2516

Re: Appeal of New York Freedom of Information Law (“FOIL”): Appeals of Eleven (11) requests in the table below requesting investigation files related to the enforcement actions listed below for various dates

Mr. Scantling,

The Department of Financial Services (Banking Division) has received the 11 appeals listed in the table below regarding your Freedom of Information Law (“FOIL”) requests.

Date Received

FOIL Tracking #

Topic

2/16/2017

2017-067659
Appealed

Standard Chartered 2012 Enforcement Action

2/10/2017

2017-067592
Appealed

Standard Chartered: 2012 Enforcement Action

2/10/2017

2017-067581
Appealed

Barclays: 2010 Enforcement Action

2/10/2017

2017-067580
Appealed

Dresdner Bank: 2008 Enforcement Action

2/10/2017

2017-067579
Appealed

Sumitomo Mitsui: 2007 Enforcement Action

2/10/2017

2017-067578
Appealed

Mitsubishi UFJ Financial Group: 2006 Enforcement Action

2/10/2017

2017-067577 Appealed

Deutsche Bank 2005 Enforcement Action

2/10/2017

2017-067575 Appealed

Standard Chartered Bank 2004 Enforcement Action

2/8/2017

2017-067569
Appealed

ABN AMRO Bank NV 2004 Enforcement Action

2/8/2017

2017-067568
Appealed

HSBC Bank USA 2003 Enforcement Action

2/8/2017

2017-067530
Appealed

Promontory Financial Group action involving SCB 2010 – 2011

Sincerely,
Ryan Condon
Administrative Assistant

  • Various_Scantling_Appeals_DFS_FOIL_No._2017-067569_-_067581_MvZITWH_me

From: Condon, Ryan L (DFS)

March 8, 2017

David Scantling
MuckRock
DEPT MR 33139, 411A Highland Ave
Somerville MA 02144-2516

Re: Appeal of New York Freedom of Information Law (“FOIL”): Appeals of Eleven (11) requests in the table below requesting investigation files related to the enforcement actions listed below for various dates

Mr. Scantling,

The Department of Financial Services (Banking Division) has received the 11 appeals listed in the table below regarding your Freedom of Information Law (“FOIL”) requests.

Date Received

FOIL Tracking #

Topic

2/16/2017

2017-067659
Appealed

Standard Chartered 2012 Enforcement Action

2/10/2017

2017-067592
Appealed

Standard Chartered: 2012 Enforcement Action

2/10/2017

2017-067581
Appealed

Barclays: 2010 Enforcement Action

2/10/2017

2017-067580
Appealed

Dresdner Bank: 2008 Enforcement Action

2/10/2017

2017-067579
Appealed

Sumitomo Mitsui: 2007 Enforcement Action

2/10/2017

2017-067578
Appealed

Mitsubishi UFJ Financial Group: 2006 Enforcement Action

2/10/2017

2017-067577 Appealed

Deutsche Bank 2005 Enforcement Action

2/10/2017

2017-067575 Appealed

Standard Chartered Bank 2004 Enforcement Action

2/8/2017

2017-067569
Appealed

ABN AMRO Bank NV 2004 Enforcement Action

2/8/2017

2017-067568
Appealed

HSBC Bank USA 2003 Enforcement Action

2/8/2017

2017-067530
Appealed

Promontory Financial Group action involving SCB 2010 – 2011

Sincerely,
Ryan Condon
Administrative Assistant

  • Various_Scantling_Appeals_DFS_FOIL_No._2017-067569_-_067581_MvZITWH_me

From: Bogdan, George (DFS)

Dear Mr. Scantling:

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