作者：尼古拉·M·怀特。美国证券交易委员会对摩根大通及其证券业务部门予以谴责，指控该银行未能察觉到其旗下一名证券互换交易员此前曾被英国监管机构处以罚款，且未经特别许可本不得在美从事交易。
By Nicola M White The US Securities and Exchange Commission censured JPMorgan Chase & Co. and its securities unit, alleging the bank failed to flag that one of its security-backed swaps traders had been earlier fined by UK authorities and wasn’t supposed to trade in the US without special permission.
根据美国证监会周五发布的禁令，从2021年末至2024年初，该证券业务部门未能发现这一违规行为，也未能建立并维持相应的监管机制来管控这位被法律认定为不具备交易资格的人员。摩根大通并未承认这些指控。其发言人暂未对置评请求作出回应。
From late 2021 to early 2024, the securities unit of the firm failed to detect the alleged violation and didn’t establish and maintain a system to supervise what the regulator called a statutorily disqualified person, the SEC said in a cease-and-desist order issued Friday. The firm didn’t admit to the allegations. A spokesperson for JPMorgan didn’t immediately respond to a request for comment.
鉴于该银行积极采取整改措施并主动上报违规行为，美国证监会仅对其予以正式谴责，并未处以罚款。
The order formally censured the firm but didn’t impose a monetary penalty, citing the firm’s remedial efforts and its self-reporting of the apparent violation.
禁令中明确指出：“没有任何监管体系或流程能提醒摩根大通：这名依法被禁止交易的人员正在代表公司执行或监督相关交易。”
“No systems or supervisory procedures alerted JP Morgan to the fact that a statutorily disqualified person was effecting or supervising these transactions on its behalf,” the order states.
据美国证监会披露，这家现名为英国金融行为监管局的机构曾在2011年对该交易员处以罚款，理由是其未如实上报部分客户的潜在内幕交易行为。不过英国监管机构同时强调，该交易员的行为并非蓄意或罔顾后果，其个人品行也无可挑剔。
The regulator in the UK now known as the Financial Conduct Authority fined in 2011 the unnamed employee after alleging he failed to report some of his customers’ potential insider trading. The person’s conduct wasn’t deliberate or reckless, according to the UK authorities and his “integrity is not questioned in any way,” the authorities said, according to the SEC’s order.
美国证监会指出，由于该交易员曾受到境外监管处罚，除非获得特别许可，否则他本不应获准在美国开展交易。摩根大通虽于2024年3月成功取得相关许可，但在此之前却未告知该交易员及其上级不得开展任何交易。
A sanction from a foreign regulator meant the person shouldn’t have been authorized to trade in the US, the SEC said, unless the firm sought relief from the regulator. The firm secured the permission in March 2024, but no one at the firm told the person or his supervisor he couldn’t make transactions until then, the SEC said.
据美国证监会统计，在2024年3月获得许可前，该交易员已代表或协助美国交易对手方完成了100笔证券互换交易，还指导了其他销售交易员完成了至少700笔交易。
Prior to that March 2024 authorization, the trader effected 100 security-based swap transactions with or for US counterparties and supervised sales traders who executed at least 700 transactions, the SEC said.