Capital One Bank (USA), National Association

Financial crime

United States. Named in 9 sanctions listings.

Sanctions and listings9

Effective
25 Jul 2012
C&D or PC&D Requiring Restitution; 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 and REST
Third Party Risk Management
Consumer Law
SCRA/Military Lending Act
Compliance Risk Management
Internal Audit
Audit
Reference AA-EC-2012-101apps.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
Audit
Information Technology
Compliance Risk Management
Internal Audit
GLBA (12 CFR 30, Appx B)
Reference AA-EC-20-49apps.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
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
Customer/Enhanced Due Diligence (CDD/EDD)
BSA Program Violation / 12 CFR 21.21
BSA Independent Testing/Audit
BSA Risk Assessment
BSA SAR Violation / 12 CFR 21.11 or 163.180
Reference AA-EC-2018-62apps.occ.gov
Effective
18 Feb 2010
Formal Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
FA
apps.occ.gov
Effective
17 Jul 2012
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Unfair or Deceptive (UDAP)
Compliance Risk Management
Violation Cited (Other)
Consumer Law
Reference AA-EC-12-63apps.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
Customer/Enhanced Due Diligence (CDD/EDD)
BSA Training
BSA Program Violation / 12 CFR 21.21
BSA Independent Testing/Audit
BSA Risk Assessment
BSA SAR Violation / 12 CFR 21.11 or 163.180
Reference AA-EC-2019-74apps.occ.gov
Effective
17 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
Sales Practices
Enterprise Governance / Internal Controls / General Risk Management
Unsafe or Unsound Practices (Other)
Unfair or Deceptive (UDAP)
Compliance Risk Management
Internal Audit
Audit
Reference AA-EC-12-62apps.occ.gov

Identifiers1

Identifier	Number
Registration number	24828

Addresses1

Glen Allen, VA

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