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Transformations in Global HRNE: Enhanced Compliance and Control Structures

This presentation outlines significant changes to the HRNE organizational structure and business model globally. It highlights the establishment of a new global risk filter, strengthened compliance protocols, and enhanced information sharing across various regional geographies, including Europe, USA, Canada, and Asia Pacific. The new senior management team and the restructured compliance group aim to improve operational effectiveness within global banking, commercial banking, private banking, and retail segments. Key initiatives focus on compliance resource allocation and lessons learned for future growth in suspicious activity monitoring.

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Transformations in Global HRNE: Enhanced Compliance and Control Structures

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  1. Changes to HRNE Across the Globe New Control Structure New Global Risk Filter Enhanced Information Sharing Across the Group Move to High Global Group Standards Strengthened Group Compliance N16177-006-r14.pptx Page 2

  2. Changes to HRNE Organizational Structure and Business Model Global Businesses RegionalGeographies Global Functions Global Banking and Markets(GB&M) Europe Risk U.S.A Commercial Banking(CMB) Compliance [Canada] Latin America Private Banking(PB) Legal Asia Pacific Retail Banking and Wealth Management(RBWM) Audit Middle East N16177-006-r14.pptx Page 3

  3. Regional and Global Business Accountable to Group Compliance N16177-006-r14.pptx Page 5

  4. HBUS EBL Remediation Response • New senior management team • Restructured EBL Compliance Group • Increased EBL Compliance team to [880] BCE in [April 2010] • 660 monitoring and alert review staff • [90] Local Compliance Officers embedded in the lines of business Issue Issue EBL Compliance resourcing and structure EBL Compliance resourcing and structure N16177-005-r22.pptx Page 6

  5. Taking Lessons Learned Global HRNE Group Lessons Learned High Global Standards Information Sharing N16177-005-r22.pptx Page 12

  6. Enhanced Suspicious Activity Monitoring Growth in Monitoring Staff Distribution of Staff by Work Area 2009 – April 2012 2009 2010 2011 YTD (Apr) 2012 N16177-005-r22.pptx Page 30

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