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Barclays is set to pay a substantial fine to resolve allegations that it abused foreign exchange markets through its electronic trading platform by next month, presenting an early test for the bank’s incoming chief Jes Staley.
巴克萊銀行(Barclays)下月底前將支付巨額罰款，以了結(jié)對于其通過該行電子交易平臺操縱外匯市場的指控，這為即將到任的首席執(zhí)行官杰斯斯特利(Jes Staley，見上圖)帶來了一場早期考驗(yàn)。
The US Department of Financial Services is likely to impose a penalty of at least $100m for the alleged electronic trading abuses. This follows the $485m that the bank agreed to pay New York’s banking regulator in May over manipulation of forex spot trading, people familiar with the case said. The looming penalty comes as US agencies’ far-reaching forex probe also pursues fresh claims against Deutsche Bank.
紐約州金融服務(wù)局(Department of Financial Services，簡稱DFS)很可能會根據(jù)操縱電子交易指控向巴克萊罰款至少1億美元。知情人士稱，在此之前的今年5月，巴克萊已經(jīng)同意就操縱外匯現(xiàn)貨交易向紐約州的銀行監(jiān)管機(jī)構(gòu)支付4.85億美元罰款。在這項(xiàng)處罰即將實(shí)施之際，美國監(jiān)管機(jī)構(gòu)對外匯市場的深入調(diào)查還產(chǎn)生了針對德意志銀行(Deutsche Bank)的新指控。
Moody’s, the rating agency, calculated this week that banks’ litigation costs since the 2008 financial crisis have reached almost $219bn, with the bulk of the burden shouldered by US banks, led by Bank of America with provisions of about $70bn.
根據(jù)評級機(jī)構(gòu)穆迪(Moody's)本周的估算，自2008年金融危機(jī)以來，各大銀行的訴訟費(fèi)用已經(jīng)達(dá)到近2190億美元，其中大部分由美國的銀行承擔(dān)，繳納罰金最多的是美國銀行(Bank of America)，約700億美元。
The pain is now shifting to their European counterparts, Moody’s said. “We think that more is still to come,” said David Fanger, senior vice-president, who pointed to Deutsche Bank and RBS as being particularly exposed to foreign exchange and US mortgage litigation costs, respectively. “At this point probably European banks are more vulnerable because US banks have [already] taken more of the provisions.”
穆迪稱，痛苦如今正在轉(zhuǎn)向歐洲的銀行。“我們認(rèn)為未來還有更多處罰，”穆迪高級副總裁戴維范杰(David Fanger)表示。他指出，德意志銀行和蘇格蘭皇家銀行(RBS)在外匯交易和美國抵押貸款訴訟成本方面尤其脆弱。“眼下歐洲的銀行很可能更脆弱，因?yàn)槊绹你y行已經(jīng)繳了較多罰款。”
The latest fine facing Barclays is smaller than May’s penalty because there is a lower volume of trades at issue, according to people close to the negotiations. But Barclays’ alleged behaviour is still considered serious given that it seems the bank intentionally sought to gain unfair advantages over clients and counterparties through its forex trading platform, they said.
據(jù)知情人士透露，巴克萊的最新罰款之所以低于5月份的罰金，是因?yàn)橛袉栴}的交易量較少。但他們表示，巴克萊涉嫌犯下的行為仍被認(rèn)為是嚴(yán)重的，因?yàn)檫@家銀行似乎有意通過自己的外匯交易平臺，尋求獲得對客戶和競爭對手的不公平優(yōu)勢。
One focus of the DFS probe has been Barclays’ system for backing out of trades at the last minute if the market moves against the bank, known as “l(fā)ast look”, the people said. Barclays declined to comment. The bank has taken about $13bn of litigation provisions since the crisis. Mr Staley, a former JPMorgan Chase executive, takes over in early December with an objective to resolve swiftly remaining legal issues.
上述人士稱，紐約州金融服務(wù)局調(diào)查的一個(gè)重點(diǎn)是，如果市場波動對該行不利，巴克萊的系統(tǒng)會在最后一刻退出交易，這種操作被稱為“最后看一眼”。巴克萊拒絕置評。自金融危機(jī)爆發(fā)以來，這家銀行已為訴訟撥備了130億美元。摩根大通(JPMorgan Chase)前高管斯特利將在12月初上任，他的目標(biāo)是迅速解決剩余的法律問題。
Separately, the US Justice Department, DFS and other federal agencies have found evidence that Deutsche made money by using its knowledge of client forex orders in illegal front-running, people familiar with that case said.
此外，知情人士稱，美國司法部、紐約州金融服務(wù)局以及其他聯(lián)邦機(jī)構(gòu)已經(jīng)發(fā)現(xiàn)了德意志銀行利用獲悉的客戶外匯訂單進(jìn)行非法搶先交易獲利的證據(jù)。
