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Changes to HRNE Across the Globe. New Control Structure. New Global Risk Filter. Enhanced Information Sharing Across the Group. Move to High Global Group Standards. Strengthened Group Compliance. N16177-006-r14.pptx Page 2. Changes to HRNE Organizational Structure and Business Model.

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Changes to hrne across the globe
Changes to HRNE Across the Globe

New Control Structure

New Global Risk Filter

Enhanced Information Sharing Across the Group

Move to High Global Group Standards

Strengthened Group Compliance

N16177-006-r14.pptx Page 2


Changes to hrne organizational structure and business model
Changes to HRNE Organizational Structure and Business Model

Global Businesses

RegionalGeographies

Global Functions

Global Banking and Markets(GB&M)

Europe

Risk

U.S.A

Commercial Banking(CMB)

Compliance

[Canada]

Latin America

Private Banking(PB)

Legal

Asia Pacific

Retail Banking and Wealth Management(RBWM)

Audit

Middle East

N16177-006-r14.pptx Page 3


Regional and global business accountable to group compliance
Regional and Global Business Accountable to Group Compliance

N16177-006-r14.pptx Page 5


Hbus ebl remediation
HBUS EBL Remediation

Response

  • New senior management team

  • Restructured EBL Compliance Group

  • Increased EBL Compliance team to [880] BCE in [April 2010]

    • 660 monitoring and alert review staff

    • [90] Local Compliance Officers embedded in the lines of business

Issue

Issue

EBL Compliance resourcing and structure

EBL Compliance resourcing and structure

N16177-005-r22.pptx Page 6


Taking lessons learned global
Taking Lessons Learned Global

HRNE Group

Lessons Learned

High

Global

Standards

Information Sharing

N16177-005-r22.pptx Page 12


Enhanced suspicious activity monitoring
Enhanced Suspicious Activity Monitoring

Growth in Monitoring Staff

Distribution of Staff by Work Area

2009 – April 2012

2009

2010

2011

YTD (Apr) 2012

N16177-005-r22.pptx Page 30


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