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Enhancing Global Compliance: New Control Structures and Risk Management Across Regions

This report outlines significant changes in global business structures, emphasizing a new control framework for enhanced compliance and information sharing. It highlights the transition to high global standards within various regional businesses, including Global Banking and Markets, Commercial Banking, and Retail Banking. The document discusses strengthened compliance mechanisms, lessons learned, and growth in monitoring staff to effectively manage suspicious activity across multiple geographies, such as Europe, U.S.A., Canada, Latin America, and Asia Pacific.

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Enhancing Global Compliance: New Control Structures and Risk Management Across Regions

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  1. Changes to 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

  2. Changes to 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

  3. Regional and Global Business Accountable to Group Compliance

  4. Taking Lessons Learned Global Group Lessons Learned High Global Standards Information Sharing

  5. Enhanced Suspicious Activity Monitoring Growth in Monitoring Staff Distribution of Staff by Work Area 2009 – April 2012 2009 2010 2011 YTD (Apr) 2012 Source: AML Weekly Report; December Monthly Staffing Information Deck

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