早在2011年9月，就在瑞銀宣布交易員Kweku Adoboli因未授權交易虧損了20多億美元后不久，英國金融服務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)督管理局無權進行罰款，但它將敦促瑞銀集團接受嚴格的新監(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.
英國金融服務管理局和瑞士金融市場監(jiān)督管理局也調查了Adoboli的交易行為，在英國Southmark刑事法庭調查發(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.
金融服務管理局在2月份時曾宣布，其調查已經(jīng)移交執(zhí)行機構，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該考慮進去為聘請普華永道全面調查此事而支付的2000萬美元，而這項調查是應監(jiān)管當局要求。(英國《金融時報》)
盡管英國金融服務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查，盡管已經(jīng)從部分監(jiān)管當局處獲得了部分豁免權，預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，尤其是固定收益部門，計劃未來數(shù)年裁員10000人。