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FACTBOX-Fines to non-U.S. financial institutions by U.S. regulators

Wednesday, 25 Dec 2013 | 2:00 AM ET

DUBAI, Dec 25 (Reuters) - As the financial system becomes increasingly interconnected, banks around the world are finding their activities scrutinised by an increasing number of regulators. The reach of U.S. regulators has also increased and banks are finding themselves in trouble for contravening American sanctions - sometimes even when they don't have operations in the United States. Below is a list of fines handed out to non-U.S.-based financial institutions between Dec. 1, 2012 and Dec. 23, 2013 by U.S. regulators.

Bank Fine Date Regulato As % of FY r 2012 pre-tax pre-tax profit/l profit oss in $

million

HSBC $1.92 Dec. DOJ 9.3% 20,649 Holdings bln 2012 Standard $667 mln Dec. OFAC, 8.9% 7,486 Chartere 2012 DOJ, d others Bank of $250 mln June NYDFS 3.02% 8,278 Tokyo-Mi 2013

tsubishi UFJ

Royal $100 mln Dec. OFAC N/A -8,494 Bank of 2013

Scotland

Bank of $8.57 Dec. OFAC 0.1%# 8,278 Tokyo-Mi mln 2012

tsubishi UFJ

Intesa $2.95 June OFAC 0.07% 4,067 Sanpaolo mln 2013 Alma $1.5 mln Oct. OFAC N/A N/A Investme 2013

nts

Bank of $27,000 Feb. OFAC 0.2%* 12.04 Guam 2013

DOJ - U.S. Department of Justice 5/8 OFAC - U.S. Office of Foreign Assets Control 5/8 NYDFS - New York state Department of Financial Services

Note: Currency conversions based on exchange rates on Dec. 24, 2013.

* Based on 2012 results for BankGuam Holding Company, which owns 100 percent of Bank Guam - its principal asset.

# Financial year ending March 31, 2013.

Sources: Thomson Reuters; OFAC; DOJ; NYDFS; companies

(Reporting by David French; Editing by Giles Elgood)