Capital One, National Association

Financial crime

United States. Named in 10 sanctions listings.

Sanctions and listings10

Effective
25 Jul 2012
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D); C&D or PC&D Requiring Restitution
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D and REST
Third Party Risk Management
Consumer Law
SCRA/Military Lending Act
Compliance Risk Management
Internal Audit
Audit
Reference AA-EC-12-100apps.occ.gov
Effective
5 Aug 2020
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
General IT Controls
GLBA (12 CFR 30, Appx B)
Information Technology
Compliance Risk Management
Internal Audit
Audit
Reference AA-EC-20-49apps.occ.gov
Effective
6 Nov 2014
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
SCRA/Military Lending Act
Consumer Law
Reference AA-EC-2014-71apps.occ.gov
Effective
10 Jul 2015
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
OFAC Compliance Issue
SAR/CTR Monitoring/Filing Issue
BSA/AML
BSA Violation Cited
BSA Internal Controls
BSA SAR Violation / 12 CFR 21.11 or 163.180
Customer/Enhanced Due Diligence (CDD/EDD)
BSA Training
BSA Program Violation / 12 CFR 21.21
BSA Independent Testing/Audit
BSA Risk Assessment
Reference AA-EC-2019-74apps.occ.gov
Listed
15 Jan 2021
Official designation
Financial Crimes Enforcement NetworkUS FinCEN Enforcement ActionsUnited States
Reference 2021-01fincen.gov
Effective
25 Apr 2014
GLBA Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
GLBA
apps.occ.gov
Effective
5 Aug 2020
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
General IT Controls
GLBA (12 CFR 30, Appx B)
Information Technology
Internal Audit
Audit
Reference AA-EC-20-51apps.occ.gov
Effective
30 Jul 1991
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
apps.occ.gov
Effective
23 Oct 2018
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
SAR/CTR Monitoring/Filing Issue
BSA/AML
Noncompliance with Enforcement Action
BSA Violation Cited
BSA Internal Controls
BSA SAR Violation / 12 CFR 21.11 or 163.180
Customer/Enhanced Due Diligence (CDD/EDD)
BSA Program Violation / 12 CFR 21.21
BSA Independent Testing/Audit
BSA Risk Assessment
Reference AA-EC-2018-62apps.occ.gov
Effective
25 Apr 2014
GLBA Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
GLBA
apps.occ.gov

Identifiers1

Identifier	Number
Registration number	13688

Other names1

Also known as1

Hibernia National Bank

Addresses2

New Orleans, LA
Mclean, VA

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