A straw in this same wind is Barclays’ decision to hire Hector Sants, the former head of the Financial Services Authority, as its new compliance chief.
与之类似,巴克莱决定聘请英国金融服务管理局(Financial Services Authority)前首席执行官赫克托·桑特(Hector Sants)为其新的合规负责人。
What do these differences in enforcement styles between the US and the UK imply for global banking? In all likelihood, these differences will persist. UBS’s market price barely moved after its Japanese subsidiary was charged, undercutting the claim that prosecuting a bank implies its failure. That may encourage US regulators to be more aggressive.
美国和英国在执法风格上的不同对全球银行业来说意味着什么?这些区别注定将继续下去。瑞银日本子公司遭受指控之后,瑞银市值几乎没有变化,因此银行被起诉就意味着破产的说法很难站住脚。这可能会促使美国监管者执法更加有力。
Global banks must anticipate more aggressive enforcement, as they cannot escape the US market. This means that investment in a robust compliance system is essential. But robust compliance begins with “the tone at the top. Chief executives of global banks will need to recognise that, like Caesar’s wife, they have to be above suspicion. Part of UBS’s continuing problem is that its co-CEOs cannot seem to escape some supervisory responsibility for its role in manipulating interbank lending rates. Only if senior management is clearly on the “side of the angels is there much chance that a major bank can avoid future punitive treatment in the US if its underlings cross the line.
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