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Overview of Key U.S. Compliance Issues for International Banks 2014  IIB/CSBS  U.S.  Regulatory/Compliance  Orienta3on  Program   ScoZ  A.  Anenberg   Partner   202-­‐263-­‐3303  
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Document Date: 2014-11-10 10:18:25

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Company

UBS / Brown LLP / Standard Chartered / Barclays / Deutsche Bank / Credit Suisse / HSBC / /

Continent

Asia / /

Country

United States / United Kingdom / Wales / /

Currency

USD / /

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IndustryTerm

investment advisory services / internal audit / foreign bank / law partnership / unregistered brokerage / banking / large banking organiza3ons / wide compliance risk management / energy trading markets / legal services / law/regula3on / /

Organization

FinCEN / US Federal Reserve / FSA / OFAC / DOJ / U.S. Securities and Exchange Commission / OCC / /

Position

FRBNY President / Head of compliance / CEO / FRB Governor / Compliance Risk Management / Deputy Comptroller / FRB Governor / /

RadioStation

5 What / /

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