This database includes criminal enforcement actions brought by the U.S. Department of Justice against global banks and related actions by U.S. regulatory agencies and foreign governments during the period 2008-2016.
The tables below list the fields that appear in the database, and their meaning or source.
| Field | Meaning |
|---|---|
| Institution | Financial institution targeted by the enforcement action |
| Date | Date the enforcement action was resolved or disclosed |
| Agency | Agency that brought the enforcement action |
| Category | Subject matter of the enforcement action |
| Details | Description of the enforcement action and its resolution |
| Related Actions | Links to related enforcement actions in the database. "Related actions" are actions against the same bank for the same conduct by different agencies resulting from a joint investigation, usually announced together. |
| Monetary Penalty | U.S. dollar amount of the monetary penalties imposed as a result of the enforcement action |
| Details of Penalty | Additional details regarding the monetary penalties, where applicable |
| Press Release | URL for the agency's press release. This can refer to either the URL where the press release was found or the URL where a copy of the press release is saved. |
| Source | URL for the non-prosecution agreement, deferred prosecution agreement, plea agreement, order, or other agency document(s) describing the enforcement action. This can refer to either the URL where the file was found or the URL where a copy of the file is saved. |
| Code | Unique ID composed of an abbreviation for the agency, institution, and date (DD-MM-YYYY). Where two IDs would be identical, a letter is appended to create a unique code. |
| Field | Meaning |
|---|---|
| Institution | Financial institution targeted by the enforcement action |
| Date | Date the enforcement action was resolved or disclosed |
| Agency | Agency that brought the enforcement action |
| Jurisdiction | Country or other jurisdiction of the relevant agency |
| Category | Subject matter of the enforcement action |
| Details | Description of the enforcement action and its resolution |
| Related Actions | Links to related enforcement actions in the database. "Related actions" are actions against the same bank for the same conduct by different agencies resulting from a joint investigation, usually announced together. |
| Monetary Penalty | U.S. dollar amount of the monetary penalties imposed as a result of the enforcement action |
| Bank Source | Reference to the bank's annual report or other disclosure of the enforcement action. Note that bank sources are reported systematically only for enforcement actions for which the bank's disclosure is the only source. |
| Agency Source | URL for the non-prosecution agreement, deferred prosecution agreement, plea agreement, order, or other agency document(s) describing the enforcement action on the agency's website |
| Agency Source Filename | URL where a copy of the non-prosecution agreement, deferred prosecution agreement, plea agreement, order, or other agency document(s) describing the enforcement action is saved |
| Press Release | URL for the agency's press release on the agency's website |
| Press Release Filename | URL where a copy of the press release is saved |
| Code | Unique ID composed of an abbreviation for the country, agency, institution, and date (DD-MM-YYYY). Where two IDs would be identical, a letter is appended to create a unique code. |