早在2011年9月，就在瑞銀宣布交易員Kweku Adoboli因未授權(quán)交易虧損了20多億美元后不久，英國金融服務(wù)管理局和瑞士金融市場監(jiān)督管理局宣布對此展開聯(lián)合調(diào)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.
瑞銀集團在未來數(shù)日將為其管理失誤而導(dǎo)致23億美元(14億英鎊)的交易損失和瑞士及英國的監(jiān)管者達(dá)成協(xié)議，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，F(xiàn)inma，does not have the power to levy fines and will instead force UBS to accept strict new supervisory measures.
金融服務(wù)管理局和瑞銀集團正在最后商討這筆可能為2000萬至5000萬英鎊的罰款，預(yù)計本周會有一個聯(lián)合聲明。瑞士金融市場監(jiān)督管理局無權(quán)進(jìn)行罰款，但它將敦促瑞銀集團接受嚴(yán)格的新監(jiān)管措施。(英國《金融時報》)
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.
英國金融服務(wù)管理局和瑞士金融市場監(jiān)督管理局也調(diào)查了Adoboli的交易行為，在英國Southmark刑事法庭調(diào)查發(fā)現(xiàn)其在兩起欺詐案中有罪后，盡管Adoboli在另外四起調(diào)查中無罪，他仍于20日被監(jiān)禁。(英國《衛(wèi)報》)
In his defence，Adoboli argued that everything he did was for the benefit of the bank，which he loved “l(fā)ike family”，and that colleagues knew what he was doing.
Adoboli在為自己的辯護(hù)中表示，他做的每件事情都是為了銀行的利益，他愛銀行如同愛家，那些同事知道他在做什么。(英國《金融時報》)
據(jù)報道，這是英國銀行史上最大的欺詐案。Adoboli將面臨7年的監(jiān)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.
金融服務(wù)管理局在2月份時曾宣布，其調(diào)查已經(jīng)移交執(zhí)行機構(gòu)，意味著可能會有某種形式的懲處。Adoboli在一些交易中，利用一個秘密賬戶作為掩護(hù)使瑞銀集團損失了約15億英鎊。他的三個同事表示他們知道這個秘密賬戶。(英國《衛(wèi)報》)
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.
瑞銀爭辯稱這次的罰款應(yīng)該減少，因為沒有客戶受到傷害，這宗犯罪的受害者是瑞銀自身。瑞銀還建議罰款總額應(yīng)該考慮進(jìn)去為聘請普華永道全面調(diào)查此事而支付的2000萬美元，而這項調(diào)查是應(yīng)監(jiān)管當(dāng)局要求。(英國《金融時報》)
盡管英國金融服務(wù)管理局和瑞士金融市場監(jiān)督管理局的處理決議會為這起流氓交易員事件劃清界限，然而瑞銀仍因其在Libor操控丑聞中的不光彩角色而在三個大洲接受調(diào)查，盡管已經(jīng)從部分監(jiān)管當(dāng)局處獲得了部分豁免權(quán)，預(yù)計面臨的罰款也將不菲。上月瑞銀還宣布整頓投資銀行業(yè)務(wù)，尤其是固定收益部門，計劃未來數(shù)年裁員10000人。