在这起针对华尔街内幕交易案的调查中,美国监管当局使用了电话窃听、合作证人、电子邮件和短信息等手段,以获取73名交易员、律师和咨询顾问的罪证。上述通知则是调查的最后一步。
Mr Cohen spoke briefly on the call, and said he was confident that he and the firm had acted appropriately, according to people who listened to it. The call was then led by Tom Conheeney, SAC president, who said that the firm would re-examine its compliance procedures and bear all legal costs. He did not take questions.
参加了电话会议的人士透露,科恩在会上做简短发言时表示,他相信他本人和公司都不存在不当行为。接着,SAC资本总裁汤姆·康希尼(Tom Conheeney)主持了会议。他表示,公司将重新审视其合规程序并承担全部诉讼费用。他没有回答问题。
SAC received the notice on the same day that Mathew Martoma, a former SAC portfolio manager, was arrested on insider trading charges last week.
就在SAC资本上周收到通知的同一天,该公司前投资组合经理马修·马拓玛(Mathew Martoma)因内幕交易指控遭到逮捕。
US authorities say that SAC avoided losses of $194m and made a $83m profit betting against the share prices of pharmaceuticals companies Wyeth and Elan ahead of the results of an Alzheimer’s drug trial.
美国监管当局表示,在一种老年痴呆症药物试验的结果公布之前,SAC资本对惠氏(Wyeth)和Elan两家制药公司的股票进行买卖交易,从而避免了1.94亿美元损失,并因此获利8300万美元。
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