[双语阅读]瑞银集团因交易员Adoboli欺诈将被罚款
2012-11-27   作者:周武英/编译  来源:经济参考报
 
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    早在2011年9月,就在瑞银宣布交易员Kweku Adoboli因未授权交易亏损了20多亿美元后不久,英国金融服务管理局和瑞士金融市场监督管理局宣布对此展开联合调查。

  UBS is nearing a settlement in the coming days with regulators in Switzerland and Britain for control failures that led to a $2.3 billion (1.4 billion pounds)rogue trading loss,a person familiar with the matter said on Thursday. 
  瑞银集团在未来数日将为其管理失误而导致23亿美元(14亿英镑)的交易损失和瑞士及英国的监管者达成协议,知情人士在11月22日透露。(路透社)

  The Financial Services Authority and UBS are finalising the details of a settlement penalty that will probably be between£20m and£50m,with a joint announcement expected as soon as next week. Switzerland’s financial regulator,Finma,does not have the power to levy fines and will instead force UBS to accept strict new supervisory measures.
  金融服务管理局和瑞银集团正在最后商讨这笔可能为2000万至5000万英镑的罚款,预计本周会有一个联合声明。瑞士金融市场监督管理局无权进行罚款,但它将敦促瑞银集团接受严格的新监管措施。(英国《金融时报》)

  The UK’s Financial Services Authority and the Swiss financial market supervisory authorityare also investigating the trading activities of Adoboli,who was jailed on Tuesday after a jury at Southwark crown court found him guilty of two counts of fraud,although he was cleared on four other charges.
  英国金融服务管理局和瑞士金融市场监督管理局也调查了Adoboli的交易行为,在英国Southmark刑事法庭调查发现其在两起欺诈案中有罪后,尽管Adoboli在另外四起调查中无罪,他仍于20日被监禁。(英国《卫报》)

  In his defence,Adoboli argued that everything he did was for the benefit of the bank,which he loved “like family”,and that colleagues knew what he was doing.
  Adoboli在为自己的辩护中表示,他做的每件事情都是为了银行的利益,他爱银行如同爱家,那些同事知道他在做什么。(英国《金融时报》) 
  据报道,这是英国银行史上最大的欺诈案。Adoboli将面临7年的监禁。

  The FSA announced in February that its investigation had been passed to its enforcement arm,signalling that some form of reprimand was likely. Adoboli,who lost UBS£1.5bn,had used a secret account,known as his “umbrella”,for some of his trading activities. Three colleagues told the court that they knew of the secret account. 
  金融服务管理局在2月份时曾宣布,其调查已经移交执行机构,意味着可能会有某种形式的惩处。Adoboli在一些交易中,利用一个秘密账户作为掩护使瑞银集团损失了约15亿英镑。他的三个同事表示他们知道这个秘密账户。(英国《卫报》)

  UBS has argued that its penalty should be reduced because no clients were harmed and the bank itself was a victim of a crime. It has also suggested that the total ought to take into account about $20m it had paid to fund a comprehensive investigation by KPMG that was ordered by the regulators.
  瑞银争辩称这次的罚款应该减少,因为没有客户受到伤害,这宗犯罪的受害者是瑞银自身。瑞银还建议罚款总额应该考虑进去为聘请普华永道全面调查此事而支付的2000万美元,而这项调查是应监管当局要求。(英国《金融时报》) 
  尽管英国金融服务管理局和瑞士金融市场监督管理局的处理决议会为这起流氓交易员事件划清界限,然而瑞银仍因其在Libor操控丑闻中的不光彩角色而在三个大洲接受调查,尽管已经从部分监管当局处获得了部分豁免权,预计面临的罚款也将不菲。上月瑞银还宣布整顿投资银行业务,尤其是固定收益部门,计划未来数年裁员10000人。

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