西班牙桑坦德银行一雇员涉嫌内幕交易

英国《金融时报》 维克托•马莱 马德里, 吉恩•伊格尔沙姆 纽约报道

Santander, the Spanish bank, yesterday said it had suspended a derivatives analyst charged by the US Securities and Exchange Commission with insider trading related to the $39bn BHP Billiton bid for PotashCorp.

西班牙桑坦德银行(Banco Santander)昨日表示,它已对本行一名衍生品分析师作出停职处理。美国证交会(SEC)指控这位分析师从事了与必和必拓(BHP Billiton)开价390亿美元收购加拿大钾肥(PotashCorp)相关的内幕交易。

Juan José Fernández García, the analyst, was charged together with Luis Martín Caro Sánchez after the SEC accused them of making nearly $1.1m in illegal profits by buying “out of the money” call options in PotashCorp, the fertiliser producer, and then selling them after the bid by BHP Billiton, the mining company, was announced on August 17.

这位名叫胡安•何塞•费尔南德斯•加西亚(Juan José Fernández García)的分析师,是与一位名叫路易斯•马丁•卡洛•桑切斯(Luis Martín Caro Sánchez)的男士一起受到指控的。证交会指控他们:先买入了肥料生产商加拿大钾肥的“价外”看涨期权,而后在矿业公司必和必拓8月17日宣布收购消息后抛售了这些期权,最终赚取近110万美元非法利润。

“The bank has acted at all times following the appropriate procedures,” Santander said, adding that it would co-operate with investigators and was awaiting results of its own probe as well as the SEC’s. “Provisionally, while the investigation is completed, the employee concerned has been suspended from his job.”

桑坦德称:“本行一向遵纪守法。”它补充表示,将配合调查人员的行动,并等待该行自身以及证交会两方面的调查得出结果。“涉案雇员已被暂停职务,直至调查完成。”

On his details with LinkedIn, an online business networking service, Mr Fernández García calls himself head of European equity derivatives research at Banco Santander, but an employee of Santander described him as an analyst and said he was not in charge of Europe.

根据费尔南德斯•加西亚在商务社交服务网站LinkedIn上列出的详细信息,他自称是桑坦德银行欧洲股票衍生品研究主管。但据一位桑坦德雇员称,费尔南德斯•加西亚只是一位分析师,并不主管任何欧洲业务。

No details had emerged by last night about Mr Caro Sánchez, although both men were described by the SEC as residents of Madrid. Neither could be reached for comment.

截至周三晚,卡洛•桑切斯的详细背景尚不得而知。但据证交会称,涉案二人均为马德里居民。记者无法联系到这二人就此事置评。

Santander was among a group of banks that helped BHP pull together a $45bn loan facility for the PotashCorp bid.

有多家银行共同向必和必拓提供了一项450亿美元的贷款安排,助其收购加拿大钾肥,桑坦德便是其中之一。

The bank declined to comment on how any inside information might have been leaked to one of its employees.

该行拒绝评论内幕信息可能以何种方式泄露给了它的一位雇员。

“That’s exactly what our internal investigation is trying to find out,” said one person familiar with the discussions over the allegations. Mr Fernández García was on holiday when the SEC charges were announced on Tuesday and had been informed by Santander of his suspension, the person said.

“那正是我们内部调查试图查明的,”一位了解该行就上述指控所展开的讨论的人士称。该人士表示,本周二证交会宣布上述指控时,费尔南德斯•加西亚正在度假,桑坦德随即告之其已被停职。

The SEC has moved fast in the case, the first brought by a new specialised market abuse unit in its enforcement division.

证交会在此案中的行动可谓迅速。此案是其执法部新组建的一个专门应对市场违规行为的部门提起的首个案件。

A court order to freeze the duo’s assets was obtained on Friday, only three days after the BHP bid was announced. The regulator is understood to believe that speed was of the essence, given the men charged are both Spanish residents and had been seeking to move their allegedly illegal profits out of the US.

证交会在上周五(必和必拓宣布收购消息仅仅三天之后)就争取到了冻结涉案二人资产的法庭命令。据悉,这家监管机构认为,最重要的是迅速展开行动,因为涉案的二人均是西班牙居民,而且已在设法将其被控的非法利润转移出美国。

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