Royal Bank of Scotland: 2013 Enforcement Action

David Scantling filed this request with the Department of Financial Services of New York.


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 the Royal Bank of Scotland Plc (including its New York Branch) (collectively "RBS") to the New York Department of Financial Services ("NYDFS"), including its predecessor the New York State Banking Department ("NYSBD"), between January 1, 2010, and December 11, 2013; per the Enforcement Action and Agreement between NYSBD and RBS, dated December 11, 2013 (available online at

1. All RBS reports and findings (including progress, monthly, interim and/or final report documents); and,
2. All RBS, Independent Firm and/or Consultant engagement letters, findings, progress reports, interim reports, and/or final reports involving the historical review of RBS's transactions that "appeared to violate OFAC sanctions regulations or that involved apparent non-transparency" between 2002 and 2011.

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.


David Scantling

From: Bogdan, George (DFS)

See attached letter.

George Bogdan
Senior Attorney
Department of Financial Services
One State Street
New York, New York 10004-1417
FAX: (212) 709-1655
(212) 480-4758<>