争议事件

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• 整改 — Citigroup

  We have fully cooperated with the SFC’s investigation and have implemented significant remedial measures to strengthen our compliance and internal controls

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• Citigroup employees sent clients false “indications of interest” about stocks to drum up interest, according to the SFC statement.

• Hong Kong’s securities regulator imposed a fine of HK$348.3 million ($44.6 million) on Citigroup for “serious regulatory failures” when executing stock trades for clients between 2008 and 2018, citing deficiencies in internal controls, compliance and management oversight for the “pervasive dishonest behaviour.”

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• Citi plans to appeal the decision.

• Because defendants in the case believed "in good faith and with ample justification" that the payments were for the full Revlon loan, "defendants' clients are entitled to keep the money," Judge Furman said in a 105-page ruling.

• NEW YORK (AFP, BLOOMBERG) - Citigroup unexpectedly lost a legal battle to recover half a billion dollars in mistaken payments it sent out, according to a US judgment that called the debacle "one of the biggest blunders in banking history."

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• 周二在曼哈顿联邦法院提起的集体诉讼称，这些银行自2006年8月以来违反了反垄断法，在“零股”交易中向投资者收取过高费用。

• 摩根大通和美国银行在内的10家全球最大银行，于当地周二在曼哈顿联邦法院被起诉，因其涉嫌在近14年时间里串谋操纵9.6万亿美元公司债市场的价格，令普通投资者损失数十亿美元。

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• 否认 — BlackRock

  Financial firms investing in them also denied wrongdoing.

• 澄清 — BlackRock

  We engage with companies on these and other ESG (environmental, social and governance) risks, and where they are not being appropriately managed or progress is not sufficient, we (as shareholders) take voting action against management

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• Financial firms investing in them also denied wrongdoing.

• We engage with companies on these and other ESG (environmental, social and governance) risks, and where they are not being appropriately managed or progress is not sufficient, we (as shareholders) take voting action against management

• Major US financial firms are helping fund environmental destruction and indigenous rights abuses in the Amazon with billions of dollars in investments in questionable companies, according to a report published on Tuesday.

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• 整改 — Citigroup

  “Citi has significant remediation projects underway to strengthen our controls, infrastructure and governance,” it said.

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• “The OCC took these actions based on the bank’s unsafe or unsound banking practices for its long-standing failure to establish effective risk management and data governance programs and internal controls,” the agency said in an official release.

• “Citi has significant remediation projects underway to strengthen our controls, infrastructure and governance,” it said.

• Federal banking regulators in the United States on Wednesday levied a $400 million fine on Citigroup for deficiencies in risk management and internal controls.

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• The Federal Reserve and Office of the Comptroller of the Currency, said in separate statements that the bank must overhaul its risk management, data governance and internal controls across the company, noting that it needs "comprehensive corrective actions."

• Citigroup has agreed to pay a $400 million penalty for failing to address "several longstanding deficiencies" across the company, U.S. banking regulators said on Wednesday.

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• A former Citigroup currencies trader is suing the bank for at least $112 million, alleging that the bank ‘framed’ him to protect itself in the throes of a market manipulation scandal.

• Rohan Ramchandani filed his suit on Wednesday (Thursday AEST) in federal court in Manhattan, seeking $US112 million ($167 million).

• claiming his former employer "fabricated" a baseless case against him to limit damage to the bank from a government antitrust investigation.

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• 整改 — Citi

  Citi has fully remediated the past regulatory reporting issues identified by the PRA, and settled this matter at the earliest possible opportunity.

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• The PRA said the bank’s systems were inadequate, that Citi had failed to have enough people working on regulatory accuracy, that it had inadequate documentation and that its oversight and governance “fell significantly below the standards expected”.

• The Bank of England has fined the US bank Citigroup a record £44m for submitting incomplete and inaccurate regulatory information to the Bank between 2014 and 2018.