Reprimand for using company resources for own gain

A bank employee in his private time founded a company that aimed to find jobs for the long-term unemployed. With this aim, the employee used the email address of his bank for communication and drafted a declaration of intent using the bank’s stationery. The Disciplinary Commission ruled that this raised the appearance of a conflict of interest, and reprimanded the employee.

Reprimand for not reporting big loss

Two bank employees were responsible for covering risks (hedging). When losses on a trading day piled up to approximately €1,3 million, they neglected to inform superiors of this fact, in violation of the company’s internal rules. The next trading day, the employees tried to repair the losses. They failed, resulting in the net loss to increase to more than €2 million. Only then did they report what happened. Both employees were subsequently fired. The Disciplinary Commission reprimanded both former employees.

Access to credit files 2; reprimand

The case relates to an earlier complaint which was dismissed by the Prosecutor’s Office. Complainant filed for redress, which was granted, after which the case was brought before the Disciplinary Commission. It is related to case ‘Access to credit files 1’ as it involves the same complainant.

Complainant accuses defendant of negligence in  providing complainant with information related to complainant’s repeated requests for access to papers in connection with complainant’s credit files at the bank. In all, the Disciplinary Commission found that defendant had not been pro-active enough in both searching for information within the bank and also not forthcoming enough in providing information to complainant. The Commission ruled that defendant had not made the customer’s interests central, a tenet of the Banker’s Oath. Thus, defendant breached the Disciplinary Code and was sanctioned with a reprimand.

Unwarranted viewing of private customer data; reprimand

Defendant viewed the private data of 10 customers for a total of 20 times without cause between November 18, 2016 and January 7, 2017. By doing this, defendant violated the Disciplinary Code of the Banker’s Oath. Because of the limited nature of the violation and because defendant understood that her actions were wrong and she showed remorse, sanctions were limited to a reprimand.

Private expenditures with corporate credit card; reprimand

Defendant used a corporate credit card of her employer, a bank, for private expenditures. She then tried to cover up these expenditures by marking the expenditures down as corporate. She then asked her manager to declare the expenditures as legitimate, which he did not knowing that the spending was for personal purposes. The Disciplinary Commission ruled that defendant breached the Banker’s oath and sanctioned her with an official reprimand. The Commission took into account defendant’s personal situation and the fact that defendant came to an accommodation with her former employer to pay back the corporate expenditures.

Filing a false insurance claim and viewing private information without business cause

TRB-2018-3950.

A certified individual filed a false insurance claim concerning car damage with an insurance company. The individual acted as the instigator, an investigation by the Prosecutor’s Office revealed following a complaint. Damage to the car was caused by a colleague, who rammed a shopping cart against the car. The certified individual also viewed private information of clients without business cause. The individual agreed to a settlement and was handed a reprimand by the Prosecutor’s Office. The name of the certified individual was added to the names registry.

Office computer used for private means

TRB 2018-3862.

A bank employee used an internet search machine on his office computer to search for pornographic material. The employee also visited websites for private use, such as news websites about football. The Disciplinary Commission ruled that the conduct was in breach of the Banker’s Oath and imposed a reprimand. The employee’s name was added to the names registry.

Viewing private financial records without cause

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 and sharing private financiel records without proper cause

TRB-2018-3771.

A bank employee viewed financial records of clients without proper cause and shared the information with a third party, 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.

Several conduct violations alleviated by personal circumstance

TRB-2018-3876. 

A certified individual agreed to a settlement with reprimand after the General Director’s investigation following several complaints showed that the individual violated proper conduct rules. The individual made hotel reservations for private use in the employer’s name without the employer’s consent, that the individual falsified emails from colleagues, that she used her company’s email address for private matters and that she shared confidential information with a third party. The investigation, including testimony, showed that severe personal circumstances drove the certified individual to commit the violations. She agreed to a settlement, including a reprimand. The individual’s name was added to the names registry.