AGREEMENT BY AND BETWEEN HSBC BANK USA, N.A. McLEAN, VIRGINIA AND THE OFFICE OF THE COMPTROLLER OF THE CURRENCYCompliance Agreement • December 12th, 2012 • HSBC Holdings PLC • Savings institution, federally chartered
HSBC Bank USA, N.A., McLean, Virginia (“Bank”) is a national bank subject to the limitations on controlling or holding an interest in financial subsidiaries set forth in 12 U.S.C. § 24a and 12 C.F.R. § 5.39.
UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NEW YORK UNITED STATES OF AMERICA -against- Cr. No. 12-763 HSBC BANK USA, N.A. and HSBC HOLDINGS PLC, Defendants.Deferred Prosecution Agreement • December 12th, 2012 • HSBC Holdings PLC • Savings institution, federally chartered
Defendant HSBC Bank USA, N.A., a federally chartered banking institution and subsidiary of HSBC North America Holdings, Inc., and defendant HSBC Holdings plc, a financial institution holding company organized under the laws of England and Wales (collectively, “the HSBC Parties”), by their undersigned representatives, pursuant to authority granted by the HSBC Parties’ Boards of Directors, and the United States Department of Justice, Criminal Division, Asset Forfeiture and Money Laundering Section, the United States Attorney’s Office for the Eastern District of New York, and the United States Attorney’s Office for the Northern District of West Virginia (collectively, the “Department”), enter into this deferred prosecution agreement (the “Agreement”). The terms and conditions of this Agreement are as follows:
SETTLEMENT AGREEMENTSettlement Agreement • December 12th, 2012 • HSBC Holdings PLC • Savings institution, federally chartered
This Settlement Agreement (the “Agreement”) is made by and between the U.S. Department of the Treasury’s Office of Foreign Assets Control and HSBC Holdings plc (“HSBC Holdings”).
DEFERRED PROSECUTION AGREEMENTDeferred Prosecution Agreement • December 12th, 2012 • HSBC Holdings PLC • Savings institution, federally chartered
HSBC Holdings plc (“HSBC Holdings”) is a financial institution holding company registered and organized under the laws of England and Wales. HSBC Holdings, by and through its undersigned representatives pursuant to authority granted by HSBC Holdings’ Board of Directors, and the District Attorney of the County of New York (“DANY”), enter into this Deferred Prosecution Agreement (the “Agreement”). HSBC Holdings agrees to enter into a separate Deferred Prosecution Agreement with the United States Department of Justice (the “Department”).
