英國監管部門放棄倫敦鯨調查

The UK financial watchdog has dropped its investigation of Bruno Iksil, the former JPMorgan

英國金融監管機構放棄了對摩根大通(JPMorgan)前交易員、被稱爲“倫敦鯨”的布魯諾•伊克希爾(Bruno Iksil)的調查，使他擺脫了爲期3年的調查，他的交易曾導致62億美元虧損。

trader known as the “London Whale” whose trades led to $6.2bn in losses, clearing him in the three-year probe.

英國金融市場行爲監管局(Financial Conduct Authority，FCA)執法部門曾試圖對伊克希爾提起民事訴訟，罪名是未能防範或發現摩根大通首席投資辦公室內部的錯誤。

The Financial Conduct Authority’s enforcement division sought to bring a civil action against Mr Iksil for failing to prevent or detect mismarking within JPMorgan’s chief investment office.

但FCA內部的獨立專家小組——監管決定委員會(Regulatory Decisions Committee)裁決稱，該監管機構沒有提出有足夠說服力的理由，難以訴訟成功。

But its internal panel of independent experts, the Regulatory Decisions Committee, ruled that the watchdog did not have a strong enough case to proceed.

英國金融市場行爲監管局表示：“我們可以證實，FCA不會採取任何進一步的措施。”

“We can confirm that the FCA will not be taking any further action,” the authority said.

伊克希爾現居住在法國，他通過與美國司法部合作，獲得一份豁免協議，避免了面對美國的刑事訴訟。

Mr Iksil, who lives in France, has avoided criminal charges in the US by striking an immunity deal there in exchange for his co-operation. “It is rare for the RDC to dismiss an FCA enforcement case at this very initial stage of the disciplinary process,” Mr Iksil’s lawyer, Michael Potts at Byrne and Partners, said. “Mr Iksil has fully co-operated throughout the FCA investigation and will continue to co-operate as a witness in the ongoing criminal and civil proceedings in the USA.”

“監管決定委員會很少在紀律程序的初期否決FCA的執法案件，”伊克希爾的律師、Byrne and Partners律所的邁克爾•波茨(Michael Potts)表示，“在FCA的整個調查中，伊克希爾一直全力合作，他將繼續作爲美國正在進行的刑事和民事訴訟的證人展開合作。”

Julien Grout, a junior derivatives trader on the desk, and Javier Martin-Artajo, Mr Iksil’s former boss who was a managing director at the bank, are both being prosecuted in the US for their roles in the affair. They deny wrong-doing. The FCA is not seeking to bring a case against either man.

摩根大通初級衍生品交易員朱利安•格勞特(Julien Grout)和伊克希爾前老闆、當時擔任該行董事總經理的哈維爾•馬丁-阿塔霍(Javier Martin-Artajo)都因他們在此次事件中的角色而在美國被起訴。兩人均否認有不當行爲。FCA並不尋求對這兩人提起訴訟。

The only person still being investigated by UK authorities in connection with the 2011 losses is Achilles Macris, who ran the London office of the bank’s chief investment office and oversaw its synthetic credit portfolio team. It was in that division where trades in credit derivatives ultimately led to the trading losses in 2012.

如今因2011年虧損事件而仍受到英國當局調查的只有阿基利斯•馬克里斯(Achilles Macris)，他曾執掌摩根大通首席投資辦公室的倫敦辦公室，並負責合成信貸資產組合團隊。正是這個部門的信用衍生品交易最終導致了2012年的交易虧損。