Deutsche Bank: 2015 Enforcement Action

David Scantling filed this request with the Department of Financial Services of New York.
Tracking # FOIL-2017-067664-003031
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 that were delivered by Deutsche Bank AG (including its New York Branch) (collectively "Deutsche Bank") to the New York Department of Financial Services ("NYDFS") between April 23, 2015, and December 31, 2015; per the Enforcement Action and Agreement between NYDFS and Deutsche Bank, dated April 23, 2015 (available online at http://www.dfs.ny.gov/about/ea/ea150423.pdf):

1. All Deutsche Bank program, plans, policies & procedures, and/or audit documents;
2. All Deutsche Bank reports and findings (including progress, monthly, interim and/or final report documents); and,
3. All Independent Monitor engagement letters, action plans, findings, interim reports, and/or final reports involving the Compliance Review of Deutsche Bank's New York Branch (as required by the Agreement).

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:

February17, 2017 DavidScantling MuckRock DEPTMR 33139, 411A Highland Ave SomervilleMA 02144-2516 DFS FOIL No. 2017-067664: Records that were delivered by Deutsche BankAG (including its New York Branch) to the New York Department of FinancialServices ("NYDFS") between April 23, 2015, and December 31, 2015; perthe Enforcement Action and Agreement between NYDFS and Deutsche Bank, datedApril 23, 2015 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 request captionedabove. Your request has been submittedto 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-2017-067664-003031

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

  • 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

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

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

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  • DFS_FOIL_No._2017_067664_201702171140443178

  • DFS_FOIL_No._2017-067568_to_2017-067666_David_Scantling

  • DFS_FOIL_No._2017_067568_to_2017_067666_David_Scantling_20170223140353

  • DFS_FOIL_No._2017-067568_to_2017-067666_David_Scantling_KnwehRO

  • Various_Scantling_Appeals_DFS_FOIL_No._2017-067569_-_067581

  • Various_Scantling_Appeals_DFS_FOIL_No._2017-067569_-_067581_MvZITWH