又来一起！高盛前合规分析师遭SEC指控内幕交易

智通财经2021-09-30

智通财经APP获悉，美国证券交易委员会(SEC)指控高盛集团(GS.US)一位前合规分析师涉嫌内幕交易。SEC周三起诉Jose Luis Casero Sanchez，称其利用在高盛华沙控制室的职位进入了一个控制室，该控制室储存着“高盛参与并为客户提供咨询的所有未完成和潜在的交易”的机密信息。监管机构称，Casero Sanchez至少从非法交易中获利47.17万美元。 SEC指出，Casero ...

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knymok
2021-09-30
knymok
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Former Goldman Sachs Compliance Analyst Accused of Insider Trading by SEC","themeId":null,"isJumpTheme":false,"ttsUrl":"https://static.tigerbbs.com/1a432c745417a38b3b32eeb45be40c8d","symbols_score_info":{"GS":0.9},"content_text":"智通财经APP获悉，美国证券交易委员会(SEC)指控高盛集团(GS.US)一位前合规分析师涉嫌内幕交易。SEC周三起诉Jose Luis Casero\nSanchez，称其利用在高盛华沙控制室的职位进入了一个控制室，该控制室储存着“高盛参与并为客户提供咨询的所有未完成和潜在的交易”的机密信息。监管机构称，Casero\nSanchez至少从非法交易中获利47.17万美元。\nSEC指出，Casero Sanchez的工作是防止内幕交易的发生。高盛表示，Casero\nSanchez负责“执行投资银行的政策和程序，这些政策和程序的目的之一是确保其员工不利用重要的非公开信息进行交易”。\n但SEC称，从2020年9月至2021年5月，Casero Sanchez利用涉及至少45个高盛客户的信息进行交易，包括Equitable Holdings\nInc.、Cooper Tire and Rubber Co.、Norwegian Cruise Line Holdings Ltd.和Petco Health\nand Wellness Co.。\n据了解，Casero\nSanchez用其父母的名义进行了四个账户的交易。根据诉状，该行在2021年5月就“某些可疑活动”讯问了他，一天后他辞职了。高盛要求法官冻结他们在美国的所有资产，包括非法内幕交易的利润。但美国证券交易委员会表示，Casero\nSanchez及其父母是居住在西班牙的西班牙公民。\n据悉，Casero Sanchez进入的华沙控制室也是高盛打击内幕交易努力的一部分。SEC称，高盛在全球有8个这样的控制室，负责维护所有潜在并购和融资的内部数据库，并管理高盛投资银行业务与销售、交易、研究和投资管理业务之间的机密信息流动。\n高盛发言人Patrick\nScanlan在一份声明中表示：“我们谴责这种恶劣的行为，它违反了我们的行为标准和商业原则。我们正全力配合SEC调查。”SEC的起诉书中没有指认高盛，但高盛证实，Casero\nSanchez在相关时间段曾在高盛工作。\n但是，过去两年，高盛就有多名员工被控进行内幕交易。前投资银行部门副总裁Bryan Cohen于2020年1月承认泄露交易内幕。前研究分析师Brian\nMaguire今年4月被禁止进入证券业，因为得知一位同事正在加仓股票后，两次买进了该股票。前商业冲突分析师Mohammed\nZina今年6月对英国内幕交易指控提出无罪抗辩。","kind":null,"is_publish_news":true,"is_publish_highlight":true,"is_publish_live":null,"is_publish_wemedia":null,"editions":null,"column":"","sentiment":"0","news_tag":"","news_rank":0,"symbols":[],"gpt_button":1},"commentList":[{"id":865826042,"gmtCreate":1632968669322,"gmtModify":1632968669504,"author":{"id":"3576674020101075","authorId":"3576674020101075","name":"knymok","avatar":"https://static.tigerbbs.com/1135a1af1c59b41f02e54753fc4c1845","vip":1,"crmLevel":2,"crmLevelSwitch":0},"htmlText":"😓😥","listText":"😓😥","text":"😓😥","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":1,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/865826042","repostId":2171805936,"repostType":4,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"}],"isCommentEnd":false,"newsSizeData":{"likeSize":8,"commentSize":1,"repostSize":0,"favoriteSize":0,"likeStatus":false,"favoriteStatus":false},"APP":{"userAgent":"Mozilla/5.0 AppleWebKit/537.36 (KHTML, like Gecko; compatible; ClaudeBot/1.0; +claudebot@anthropic.com)","isDev":false,"isTTM":false,"deviceId":"web-server-community-laohu8-v3","version":"4.25.1","shortVersion":"4.25.1","platform":"web","vendor":"web","appName":"laohu8","isIOS":false,"isAndroid":false,"isTiger":false,"isTHS":false,"isWeiXin":false,"isWeiXinMini":false,"isWeiBo":false,"isQQ":false,"isBaiduSwan":false,"isBaiduBox":false,"isDingTalk":false,"isToutiao":false,"isOnePlus":false,"isHuaWei":false,"isXiaomi":false,"isXiaomiWebView":false,"isOppo":false,"isVivo":false,"isSamsung":false,"isMobile":false},"href":"/m/news/2171805936"}