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\u65b0\u95fb\u6765\u6e90\uff1a<\/b>www.bloomberg.com
\u539f\u6587\u5730\u5740\uff1a<\/b>Citi\u2019s China Expansion Plan Put on Hold by US Regulators Over Data Management<\/a>
\u65b0\u95fb\u65e5\u671f\uff1a<\/b>2024-09-23
\u539f\u6587\u6458\u8981\uff1a<\/b><\/font><\/p>\n

\u2019s expansion plan in China has hit a roadblock with US regulators after the  imposed a penalty on the bank for its data management and risk controls, according to people familiar with the matter.The bank is facing delays in setting up a standalone securities firm because it hasn\u2019t yet received a clearance letter from the Fed verifying its regulatory standing, which is required by Chinese authorities. Citi was instructed to resolve its data management problems at home, after being hit with a combined $136 million in fines in July, the people said, asking not to be identified because the matter is private.The prolonged process comes as global banks including  and  have seen their China securities operations hampered in recent years by rising geopolitical tension, slowing economic growth and a slump in fund-raising activities.Citigroup is continuing its discussions with China\u2019s securities regulator to set up the business, and has no plans to pull its application, the people said. The situation is fluid and could change, the people added.\u201cWe are unable to comment on our conversations with regulators regarding the ongoing process to obtain a securities license in China,\u201d the New York-based bank said in a statement. \u201cWe remain fully committed to supporting clients in this country.\u201dThe Office of the Comptroller of the Currency declined to comment and the Fed didn\u2019t respond to a request for comment. Chinese companies raised a total of 76.4 billion yuan ($10.8 billion) in onshore listings this year, down 88% from a peak in 2022, and hundreds of firms have scrapped their initial public offerings.Even so, the delay is a blow to Citigroup, which is among the few big Wall Street firms without a securities business in China. The expansion has also been delayed by the country\u2019s new security laws requiring banks to segregate domestic data before obtaining licenses onshore. Citigroup had initially aimed to get the investment-banking business up and running by mid-2023, and then to the end of this year, people familiar with the matter said earlier.Under Chinese law, foreign banks must meet several conditions to establish onshore operations, including having no major regulatory fines in the past three years; proven experience in managing securities operations and adequate capital. Officials at the China Securities Regulatory Commission have reiterated their support for the bank\u2019s expansion, the people said.The Fed in  imposed a penalty on Citigroup for violating enforcement actions. The bank was ordered to pay $61 million to the Fed and about $75 million to OCC. The fines stemmed from  in 2020 when the OCC levied a $400 million penalty for shortcomings in the bank\u2019s risk management, data-governance programs and internal controls. Citigroup didn\u2019t admit or deny the allegations. The bank is \u201ctaking steps to correct the violations\u201d and come into compliance, the Fed said at the time.The bank initial documents to Chinese regulators in late 2021 to set up the new business after announcing it would exit retail banking. It had aimed to build its onshore headcount to , focusing on yuan-denominated stock underwriting and futures trading initially. The firm has already recruited a chief executive officer, a chief financial officer and a chief compliance officer for the securities company.A late entrant into China\u2019s securities market, Citigroup dissolved its investment-banking joint venture with Orient Securities Co. and sought to start its own business after China allowed full foreign ownership of financial services companies starting in 2020. Still, Citi has a wide ranging business in China, with licenses for bond clearing, corporate bond underwriting, and for domestic fund custody. It has provided custody services to qualified foreign institutional investors for over 20 years and also provides such services for interbank bond market direct investments. The US bank closed its consumer-banking network in China as part of a global restructuring, and sold its retail wealth management  to HSBC Holdings Plc last year. Still, the bank\u2019s head of wealth, Andy Sieg, said earlier this week that it plans to add talent in Hong Kong as it\u2019s bullish on the city and its links with the surrounding Greater Bay Area in mainland China.  <\/pre>\n
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