The e-mails also suggest close commercial links between the two firms and at least onetrading outfit that was a target of regulatory probes into shorting violations, SBA Trading. AMerrill employee forwards a sanctions order against SBAs Scott Arenstein to a counterpartat Goldman, referring to Mr Arenstein as our boy and asking: You think there will be anyfallout on clearing firms? In another e-mail, the deputy head of Goldmanssecurities-lending group describes Mr Arenstein as being the other side of a lot of ouractivity.
电子邮件中同样暗示了存在于两家公司之间紧密的商业联系,以及至少一家受法规限制的交易机构SBA交易正在探索违规卖空。一位美林员工向高盛的同行发出了对SBA的Scott Arenstein的批准命令,提及Arenstein先生是我们的人并质问你以为清算公司还会有任何附带后果吗?在另一封电子邮件中,高盛的证券借贷部副总把Arenstein先生描述为是我们许多业务的对应方。
Other missives suggest a cavalier attitude to the rules. The president of one of Merrillsstock-clearing businesses responds to internal concerns about failed trades thus: Fuck thecompliance areaprocedures, schmecedures. He later assured the court that thisstatement was a joke, according to the filing.
其他信件则暗示了对法规的轻慢态度。美林公司一项股票清算业务的主席这样回应了关于交易失败的内部关注:去他妈的合规性部分方案、程序。文件显示,他后来向法院保证说这句话是在开玩笑。
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