12 C.F.R. § 19.240
(a) The maximum amount of each civil money penalty within the OCC's jurisdiction is set forth as follows:
U.S. Code citation Description and tier (if applicable) Maximum penalty amount (in dollars) 1 12 U.S.C. 93(b)Violation of Various Provisions of the National Bank Act: Tier 19,468 Tier 247,340 Tier 3 2 1,893,610 12 U.S.C. 164Violation of Reporting Requirements: Tier 13,787 Tier 237,872 Tier 3 2 1,893,610 12 U.S.C. 481Refusal of Affiliate to Cooperate in Examination (national bank)9,468 12 U.S.C. 504Violation of Various Provisions of the Federal Reserve Act: Tier 19,468 Tier 247,340 Tier 3 2 1,893,610 12 U.S.C. 1817(j)(16)Violation of Change in Bank Control Act: Tier 19,468 Tier 247,340 Tier 3 2 1,893,610 12 U.S.C. 1818(i)(2) 3Violation of Law, Unsafe or Unsound Practice, or Breach of Fiduciary Duty: Tier 19,468 Tier 247,340 Tier 3 2 1,893,610 12 U.S.C. 1820(k)(6)(A)(ii)Violation of Post-Employment Restrictions: Per violation311,470 12 U.S.C. 1832(c)Violation of Withdrawals by Negotiable or Transferable Instrument for Transfers to Third Parties: Per violation2,750 12 U.S.C. 1884Violation of the Bank Protection Act275 12 U.S.C. 1972(2)(F)Violation of Anti-Tying Provisions regarding Correspondent Accounts, Unsafe or Unsound Practices, or Breach of Fiduciary Duty: Tier 19,468 Tier 247,340 Tier 3 2 1,893,610 12 U.S.C. 3110(a)Violation of Various Provisions of the International Banking Act (Federal Branches and Agencies):43,275 12 U.S.C. 3110(c)Violation of Reporting Requirements of the International Banking Act (Federal Branches and Agencies): Tier 13,462 Tier 234,620 Tier 3 2 1,730,990 12 U.S.C. 3909(d)(1)Violation of International Lending Supervision Act2,355 15 U.S.C. 78u-2(b)Violation of Various Provisions of the Securities Act, the Securities Exchange Act, the Investment Company Act, or the Investment Advisers Act: Tier 1 (natural person) - Per violation8,908 Tier 1 (other person) - Per violation89,078 Tier 2 (natural person) - Per violation89,078 Tier 2 (other person) - Per violation445,390 Tier 3 (natural person) - Per violation178,156 Tier 3 (other person) - Per violation890,780 15 U.S.C. 1639e(k)Violation of Appraisal Independence Requirements: First violation10,875 Subsequent violations21,749 42 U.S.C. 4012a(f)(5)Flood Insurance: Per violation2,056 1 The maximum penalty amount is per day, unless otherwise indicated. 2 The maximum penalty amount for a national bank is the lesser of this amount or 1 percent of total assets. 3 These amounts also apply to CMPs in statutes that cross-reference 12 U.S.C. 1818, such as 12 U.S.C. 2804, 3108, 3349, 4309, and 4717 and 15 U.S.C. 1607, 1639e(k), 1693o, 1681s, 1691c, and 1692l.
[81 FR 43026, July 1, 2016]