[PDF] [PDF] 16-308(L) United States v HSBC Bank USA NA - WLRK





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STATEMENT OF FACTS

11 déc. 2012 Deferred Prosecution Agreement between the New York County. District Attorney's Office (“DANY”) and HSBC Holdings. 2. HSBC Bank USA and HSBC ...



ATTACHMENT B CORPORATE COMPLIANCE MONITOR The

11 déc. 2012 of the Mandate of the Monitor under this Agreement. Any disclosure by HSBC Holdings to the Monitor concerning possible.





Restoring trust

17 févr. 2021 2012 HSBC failed to implement appropriate anti-money laundering ('AML') and ... agreement with the DoJ (the 'AML DPA')



HSBC Holdings plc - Expiration of 2012 deferred prosecution

11 déc. 2017 HSBC Holdings Plc (“HSBC”) today announced that its five-year Deferred Prosecution. Agreement (“DPA”) entered on 11 December 2012 with the ...



Case 1:12-cr-00763-ILG Document 3-2 Filed 12/11/12 Page 1 of 34

11 déc. 2012 Case 1:12-cr-00763-ILG Document 3-2 Filed 12/11/12 Page 1 of 34 PageID #: 20. Page 2. Case 1:12-cr-00763-ILG Document 3-2 Filed 12/11/12 ...



2012-12-11-hsbc-announces-settlements-with-authorities.pdf

11 déc. 2012 This includes a Deferred Prosecution Agreement (DPA) with the. US Department of Justice. HSBC has also reached agreement to achieve a global.



UNITED STATES COURT OF APPEALS FOR THE SECOND

16 juil. 2017 In December 2012 the government entered into a five-year deferred prosecution agreement (the “DPA”) with HSBC Holdings plc and HSBC Bank



HSBC ASSESSMENT

enter into a Deferred Prosecution Agreement (DPA) as a settlement agreement with HSBC Group is one of the world's largest banking and financial services.



U.S. Department of Justice United States Attorneys Office Eastern

11 déc. 2012 hereto as Exhibit B the government and defendants HSBC Bank USA



[PDF] STATEMENT OF FACTS - Department of Justice

11 déc 2012 · Deferred Prosecution Agreement between the New York County District Attorney's Office (“DANY”) and HSBC Holdings 2 HSBC Bank USA and HSBC 



Documents and Resources from the December 11 2012HSBC

28 fév 2017 · HSBC Deferred Prosecution Agreement Attachment - Statement of Facts Portable Document Format (PDF) files may be viewed with a free copy 



[PDF] HSBC Holdings plc - Expiration of 2012 deferred prosecution

11 déc 2017 · EXPIRATION OF 2012 DEFERRED PROSECUTION AGREEMENT HSBC Holdings Plc (“HSBC”) today announced that its five-year Deferred Prosecution



[PDF] Deferred prosecution agreement hsbc pdf - Squarespace

December 2012HSBC pays $1 9bn (£1 3bn) and signs a deferred prosecution agreement with the US Department of Justice after it was found to have violated US 



[PDF] Hsbc deferred prosecution agreement pdf - Squarespace

Under the DPA prosecution against the bank for conspiracy will be deferred for an initial period of three years to allow HSBC Switzerland to demonstrate good 



EX-101 - SECgov

11 déc 2012 · HSBC HOLDINGS PLC Defendants X DEFERRED PROSECUTION AGREEMENT Defendant HSBC Bank USA N A a federally chartered 



[PDF] 16-308(L) United States v HSBC Bank USA NA - WLRK

1 mar 2023 · In December 2012 the government entered into a five-year deferred prosecution agreement (the “DPA”) with HSBC Holdings plc and HSBC Bank



United States v HSBC Bank USA NA 12-CR-763 - Casetext

pdf ("A deferred prosecution agreement involves the filing of criminal charges that will be dismissed after an agreed term so long as the company fulfills all 



[PDF] 2012-1211-hsbc-settlementpdf

11 déc 2012 · This includes a Deferred Prosecution Agreement (DPA) with the US Department of Justice HSBC has also reached agreement to achieve a global



[PDF] who controls HSBC in the aftermath of its deferred prosecution

Sanctions Violations Forfeit $1 256 Billion in Deferred Prosecution Agreement' Press Release Washington DC 11 December 2012

11 déc. 2012 · Deferred Prosecution Agreement between the New York County. District Attorney's Office (“DANY”) and HSBC Holdings. 2. HSBC Bank USA and HSBC 

  • What is HSBC deferred prosecution agreement?

    In December 2012, HSBC admitted to US allegations and entered into a deferred prosecution agreement with the Justice Department. In settling the case, the bank agreed to pay a then-record $1.9 billion in penalties to US authorities. Five years later, the Justice Department ended the oversight agreement.

  • What happened to HSBC in 2012?

    In 2012, allegations emerged that HSBC had been involved in money laundering and other financial crimes. The allegations were made by U.S. authorities, who accused the bank of failing to implement proper controls to prevent money laundering and other financial crimes.

  • What was the penalty for HSBC bank?

    The bank agreed to pay a then-record $1.92 billion in fines and abide by a business improvement order after acknowledging it failed to maintain an effective program against money laundering and conduct basic due diligence on some of its account holders.
  • HSBC Bank plc fined ?.9 million by FCA for deficient transaction monitoring controls. The FCA has fined HSBC ?,946,800 for failings in its anti-money laundering processes. HSBC used automated processes to monitor hundreds of millions of transactions a month to identify possible financial crime.

16Ȭ308(L)ȱ

FORȱTHEȱSECONDȱCIRCUITȱ

_________________________ȱ

AugustȱTerm,ȱ2016ȱ

_________________________ȱ U

NITEDȱSTATESȱOFȱAMERICA,ȱ

ȱPlaintiffȬAppellant,ȱ

ȬȬȱv.ȱȬȬȱ

HSBC

ȱDefendantsȬAppellants,ȱ

H

UBERTȱDEANȱMOORE,ȱJR.,ȱ

ȱAppellee.ȱ

_________________________ȱ

Before:ȱȱȱ ȱ ȱ

K _________________________ȱ 2ȱ rejectȱtheȱDPAȱ publicȱenjoyedȱaȱ pendingȱappeal.ȱȱ

ȱbeȱ

3ȱ toȱtheȱ J

ȱ_________________________ȱ

J

Solomonȱ(onȱtheȱbrief

P

ȱ),ȱSullivanȱ&ȱ

ȱ),ȱSullivanȱ&ȱ

D

ȱAppellee.ȱ

4ȱ

ȱMediaȱWorks,ȱInc.,ȱ

supportȱofȱAppellee.ȱ _________________________ȱ K

ATZMANN,ȱChiefȱJudge:ȱ

Holdingsȱplcȱ

5ȱ "approve"ȱtheȱDPAȱonȱ

ȱappelleeȱ

appealȱ 6ȱ implementationȱofȱtheȱDPA.ȱ

entitledȱtoȱaȱpresumptionȱofȱregularity - thatȱis,ȱaȱpresumptionȱthatȱitȱisȱlawfullyȱ

courseȱbeȱrebuttedȱinȱ

ȱtheȱDPAȱ

reverse.ȱ 7ȱ

BACKGROUNDȱ

A. TheȱDPAȱ

subsidiaryȱ ofȱHSBCȱHoldings.ȱȱ

ȱfilingȱofȱ

pursueȱtheȱprosecution.ȱȱ 8ȱ

ȱbyȱfailingȱtoȱconductȱ

willfullyȱ addition,ȱHSBCȱadmittedȱtoȱa 9ȱ

ȱ.ȱasȱ

TheȱDPAȱ

nonȬpublic.ȱ

Finally,

(a)ȱcommittedȱ

10ȱ

B. ProceedingsȱBeforeȱtheȱDistrictȱCourtȱ

ForȱaȱDPAȱtoȱfunctionȱas

Absentȱsuchȱanȱexemption,

sectionȱ

11ȱ

theȱproceedingsȱasȱtheyȱ prosecutionȱagreement."ȱId.ȱThe id.,ȱand

12ȱ

applyȱandȱthatȱtheȱdistrict

1. TheȱJulyȱ1,ȱ2013ȱApprovalȱOrderȱ

ȱSpeedyȱ

ȱofȱguiltyȱ

13ȱ

approveȱorȱreject transgressesȱtheȱboundsȱofȱ powerȱwasȱplainlyȱ chargesȱinȱfederalȱcourt:ȱ

14ȱ

imprimaturȱtoȱtheȱDPA, [theȱcourt's]ȱcontinuedȱ

ȱtheȱ

2. TheȱMonitor'sȱReportȱ

15ȱ

compliance

HSBCȱ

Reportȱunderȱseal,ȱ

Reportȱunder

16ȱ

ȱReport.ȱBothȱ

3. TheȱJanuaryȱ28,ȱ2016ȱUnsealingȱOrderȱȱ

aȱ

17ȱ

would districtȱcourtȱ

Report."ȱId.ȱ

targeted

18ȱ

interveneȱasȱappellee.ȱ D

ISCUSSIONȱ

I. 1

ȱOrdinarily,ȱ

disputed 1

19ȱ

whetherȱtheȱMonitor'sȱReport

273ȱF.3dȱ222,ȱ228ȱ(2d

ȱreleaseȱtapesȱtoȱ

media). 2 2

20ȱ

ȱII.

3

ȱInȱthisȱCircuit,ȱtoȱ

1995)ȱ("AmodeoȱI").

3

21ȱ

toȱtheȱfaithfulȱ courtȱlackedȱthe (1)ȱtheȱdistrictȱ

22ȱ

A. TheȱDistrictȱCourt'sȱAssertedȱSupervisoryȱPowerȱ theȱDPAȱandȱtoȱcondition Thus, itsȱ showingȱofȱimpropriety.ȱ

23ȱ

areȱthreefold:ȱto

ȱalsoȱ

excluded,ȱevenȱ

24ȱ

ȱtheȱdefendantȱ

25ȱ

prosecutorial

ȱtheȱdistrictȱcourtȱ

26ȱ

evidenceȱtoȱthe

supervisoryȱpower - andȱencroachedȱonȱtheȱExecutive'sȱprerogative - basedȱonȱ

Toȱbe

justifiedȱinȱ 4 4 theȱkindȱincludedȱinȱtheȱ

27ȱ

Inȱsum,ȱbecauseȱtheȱ

F.3dȱatȱ119.

B. TheȱDistrictȱCourt'sȱRoleȱunderȱtheȱSpeedyȱTrialȱActȱ trialȱclockȱ"[a]nyȱperiodȱof

28ȱ

hand,ȱtheȱtextȱ

demonstrateȱhisȱgoodȱconduct" - thatȱis,ȱtoȱtheȱissueȱofȱwhetherȱtheȱpartiesȱareȱ

virtuallyȱanyȱreason. 5

ȱ(D.C.ȱCir.ȱ2016),ȱtheȱ

5

29ȱ

"[n]othing indicationȱthatȱCongressȱ exclusiveȱauthority whetherȱto

30ȱ

ȱenforcementȱpriorities,ȱ

ȱexerciseȱofȱcoreȱ

(2001).ȱButȱCongressȱdidȱnotȱspeakȱclearlyȱinȱ§ȱ3161(h)(2) - farȱfromȱit - andȱweȱ

thusȱdecline

31ȱ

waiver - thatȱis,ȱthatȱtheȱDPAȱinȱquestionȱisȱgenuinelyȱintendedȱtoȱ"allow[]ȱtheȱ

prosecution. 6

pending - andȱthatȱtheȱMonitor'sȱReportȱwasȱrelevantȱtoȱthisȱfunction - weȱareȱ

6

ȱN.A.,ȱ2013ȱWLȱ

ProfessorȱGarrett'sȱview.ȱȱ

32ȱ

C. TheȱDistrictȱCourt'sȱRoleȱwhenȱConsideringȱaȱRuleȱ48(a)ȱMotionȱȱ

ȱCritically,ȱasȱweȱheldȱ

theȱMonitor'sȱReport - forȱ

purposesȱofȱtheȱpublicȱaccessȱdoctrine - isȱnotȱunlikeȱaȱdocumentȱexchangedȱbyȱ

33ȱ

lightȱofȱtheirȱ

34ȱ

onȱsuchȱanȱ

35ȱ

DPAȱdoes

ȱnoȱsuchȱthing.ȱ

omitted).ȱNotingȱ public

36ȱ

ȱDistrictȱ

government.ȱȱ

37ȱ

dismissalȱisȱ"clearlyȱ aȱdismissal

toȱattendȱaȱsocialȱeventȱratherȱthanȱtrial" - inȱotherȱwords,ȱbadȱfaith.ȱInȱreȱ

38ȱ

doubt,ȱ

ȱbreachȱ

inȱadjudicatingȱaȱ

39ȱ

treatingȱtheȱMonitor'sȱ documentsȱuponȱfiling - whichȱisȱeminentlyȱsensibleȱgivenȱthat

ȱsuchȱdocuments,ȱ

thatȱitȱwillȱ 7 7

40ȱ

CONCLUSIONȱ

exemptionsȱwouldȱapply.ȱ

POOLER,ȱCircuitȱJudge:ȱ

inȱtheȱAct:ȱ attorneysȱtoȱallowȱforȱ defendantȱsucceedsȱ 2

ȱtoȱsuchȱ

fromȱitsȱ court."ȱȱ

ȱtoȱavoidȱtheȱ

speedyȱtrialȱtimeȱlimits.ȱ 3 supervisedȱ severeȱcollateralȱ theȱcourts.ȱȱ 4

Ȭrangingȱcorporateȱ

appropriate.").ȱ atȱ§ȱ7(b).ȱ 5quotesdbs_dbs14.pdfusesText_20
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