Standard Chartered’s lawyers also allegedly “outsource[ed] the entire OFAC compliance process for the New York branch to Chennai, India, with no evidence of any oversight or communication between the Chennai and the New York offices. Inadequately trained due diligence staff allegedly had simultaneous responsibility for both “repair procedures and “compliance. The regulators called this dual role “a paradoxical task to say the least. Allegedly, when staff in India found questionable disclosures, they contacted clients, who then sent “repaired wires stripped of any references to Iran. Even if that process proves to have been legal, it was due diligence in name only.
渣打律师团队还涉嫌“将纽约分行的整个OFAC合规流程外包到印度钦奈(Chennai),并且没有证据显示其曾履行过监督职责,或钦奈方面与纽约分行之间进行过任何沟通。报告称,渣打让未受过充分培训的尽职调查人员同时负责“修正流程和“合规。纽约州监管当局表示,这种双重角色“说得最轻也构成了职责冲突。报告还指出,当渣打驻印度员工发现有问题的信息后,他们与客户取得了联系,客户随后发出了剔除任何与伊朗有关语句的“修正版电文。即使这一流程被证明为合法,该行的尽职调查也不过空有其名而已。
As recent debacles at Barclays, HSBC and now Standard Chartered demonstrate, employees of big global banks increasingly lack a moral compass. Some general counsels and compliance officers do provide ethical guidance. But many are facilitators or loophole instructors, there to show employees the best way to avoid the law. Not even mafia lawyers go that far; unlike many bankers, mobsters understand the value of an impartial consigliere who will tell them when to stop.
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