BNP Paribas: 2014 Enforcement Action
| Submitted | Feb. 16, 2017 |
| Est. Completion | None |
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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 that were delivered by BNP Paribas SA (including its New York Branch) (collectively "BNPP") to the New York Department of Financial Services ("NYDFS") between August 19, 2013, and December 31, 2015; per the Enforcement Action and Agreement between NYDFS and BNPP, dated June 29, 2014 (available online at http://www.dfs.ny.gov/about/ea/ea140630.pdf):
1. The 2004 Memorandum of Understanding ("MOU") between BNPP, NYSBD and the Federal Reserve Bank of New York ("FRB–NY");
2. The 2008 Termination Letter sent by NYSBD and FRB–NY to BNPP, dated March 3, 2008;
3. The 2013 Memorandum of Understanding ("MOU") between BNPP and NYDFS, dated August 19, 2013;
4. All BNPP program, plans, policies & procedures, and/or audit documents;
5. All BNPP reports (including progress, monthly, interim and/or final report documents); and,
6. All Independent Consultant engagement letters, findings, interim reports, progress reports, and/or final reports involving BNPP's New York Branch (as required by the Agreement and/or the 2013 MOU).
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: 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
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
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
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
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
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