That’ll be £42.4m, please – or £30m for early settlement. The fine slapped on UBSby the Financial Services Authorityyesterday for control failures that gave rogue trader Kweku Adoboli scope to lose the bank $2.3bn is the UK regulator’s third biggest. The Swiss bank has weathered the loss, Adoboli has been jailed, heads have rolled. But what is achieved by fining his employer such a derisory amount?
罚金将是4240万英镑、或3000万英镑(如果早期和解的话),请缴纳。英国金融服务管理局(FSA)昨日对瑞银(UBS)开出的这张罚单是该机构有史以来开出金额第三高的一张。瑞银因管理不力让流氓交易员奎库·阿多博利(Kweku Adoboli)有机可乘,导致该银行损失23亿美元。这家瑞士银行承受了损失,阿德波利被投入了监狱,银行多名高管辞职。但罚瑞银这么点钱又起到了什么作用呢?
Such fines are relatively new to the UK. The FSA fined Barclaysfor rigging Libor rates; fines on others could follow. And JPMorganwas fined £33m for failing to segregate client assets. If the amounts look symbolic, that is often because of crazily light guidelines. The FSA can levy only up to a fifth of business revenue in the offending period. With UBS, it settled for 15 per cent in recognition of measures taken since, despite the bank’s failure to tighten controls after an £8m fine three years ago. By comparison, French regulators fined Société Générale only €4m for risk control failures after Jér?me Kerviel lost it almost €5bn in 2008.
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