Viewing private financial records without cause

Written by

TRB-2018-3770. 

A bank employee viewed financial records of clients without proper cause, the General Director found after an investigation based on a complaint. The bank employee admitted the transgressions and agreed to a settlement with reprimand. The employee’s name was added to the names registry.

Viewing private financial data of clients without proper cause

Written by

TRB-2018-3880. 

A bank employee viewed private financial data of a number of people, including family members, colleagues and neighbours, without proper cause. His bank filed a complaint against him. The Disciplinary Commission ruled the transgressions a serious breach of the Banker’s Oath and imposed a professional ban of 4 months. The individual’s name was added to the names registry.

Uploading confidential data to a personal cloud outside the bank

Written by

TRB-2018-3868.  

An individual was caught uploading confidential data to a personal private cloud server. His employer filed a complaint. The Disciplinary Commission ruled the trangression a serious breach of the Banker’s Oath and imposed a professional ban of 12 months. The individual’s name was added to the names registry.

Copying and taking home private financial data of a client

Written by

TRB-2018-3866. 

A bank employee copied private financial data about a client’s pension plans onto two USB memory sticks and took them home. Later, one of the sticks was lost inside the bank’s office building and found by a colleague, who reported the individual to management. Management then filed a complaint with the Foundation for Banking Ethics Enforcement. The Disciplinary Commission ruled that the incident constituted a serious breach of the Banker’s Oath and imposed a professonial ban of 9 months. The individual’s name was added to the names registry.