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處分合意書所列缺失重點
第1項缺失：內控不佳。
第2項缺失：兆豐巴拿馬分行涉及可疑活動，紐約分行與巴拿馬分行有著顯著金融活動，法令遵循失靈最為嚴重，但兆豐銀行表現卻是漠視，
第3項缺失：未能執行充分的客戶盡職調查。未提升對高風險客戶監督水平，未對通匯帳戶進行客戶盡職調查。
第4項缺失：不充分的風險評估政策和程序。紐約分行整體風險評估有嚴重瑕疵
第5項缺失：總行缺乏盡職監督。紐約分行法令遵循報告未陳報總行，
第6項缺失：紐約分行輕蔑DFS金融檢查意見
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