美国最大银行之一富国银行(Well Fargo)周四盘中一度大跌逾6%,引发市场广泛关注。此前,美国货币监理署(OCC)宣布对富国银行采取执法行动,要求其加强反洗钱与制裁风险管控措施。
根据OCC发布的相关文件,在监管机构检查发现富国银行在金融犯罪风险管理方面存在重大缺陷后,OCC对该银行提出了执法要求。主要问题包括可疑活动报告不力、客户尽职调查不到位等。为推动问题整改,协议明确富国银行未经OCC批准,不得在洗钱或受制裁相关的中高风险领域开展新业务。
作为美国第三大银行,富国银行反洗钱内控不力引发监管处罚,不仅给其长期发展带来压力,也令市场对其合规经营产生了疑虑。分析人士认为,该行要想摆脱监管制裁,切实加强风险管控尤为关键。富国银行方面表示将积极落实整改措施,妥善应对监管要求。
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