国际银行必须准备好迎接更有力的执法,因为它们无法避开美国市常这意味着投资建立稳健的合规体系非常关键。但稳健的合规是从“高层基调开始的。国际银行的首席执行官们需要意识到,他们应该像凯撒(Caesar)的妻子一样让人无可怀疑。瑞银一个持续存在的问题就是,其联合首席执行官们似乎难逃操控银行间拆借利率的监督责任。只有高级管理层真正站在“天使的一边,大型银行才可能在分支机构逾越了界限的时候,在美国避免遭遇惩罚。
Reputation always counted. But in future it will mean much more than personal honesty and candour (which were always valued). It will also mean a zealous, no-nonsense approach to compliance with near-zero tolerance for misconduct.
声誉一直非常重要。但未来这不仅意味着个人的诚信和正直(这一直以来都受到重视),同时也意味着积极、严肃地遵循对不当行为的零容忍立常
This will become clearer as events unfold. Regulatory penalties in the Libor scandal are only the first step. Private enforcement through class actions and other lawsuits in the US may raise the costs of that scandal by an order of magnitude. The investment banks serving Enron eventually paid more than $7.5bn to settle the class action against them.
随着事态的进展,这点将越来越清晰。伦敦银行间同业拆借利率(Libor)丑闻中的监管惩罚只是第一步。在美国,通过集体诉讼和其他诉讼开展的私人执法可能会大幅提高这一丑闻带来的成本。为安然公司(Enron)服务的投资银行,最终就为了结针对它们的集体诉讼支付了75亿美元。
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