USANews版 - 美国DOJ在调查Bank of America建老鼠仓买卖 |
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m*********a
发帖数: 3299 | 1 银行在客户的订单前抢先买入卖出，肯定是有的。
这种老鼠仓中国太常见了。
但是调查bank of america这种超级大银行很少见。
估计今年boa今年又白干了，又要像去年一样给obama交几百亿的保护费。 | J*****n
发帖数: 4859 | | m*********a
发帖数: 3299 | 3 (Reuters) - The U.S. Department of Justice and the Commodity Futures Trading
Commission have both held investigations into whether Bank of America (BAC.
N) engaged in improper trading by doing its own futures trades ahead of
executing large orders for clients, according to a regulatory filing.
The June 2013 disclosure, which Reuters recently reviewed on a website run
by the securities industry regulator FINRA, sheds light on the basis for a
warning by the Federal Bureau of Investigation on January 8.
The warning, in the form of an intelligence bulletin to regulators and
security officers at financial services firms, said that the FBI suspected
swaps traders at an unnamed U.S. bank and an unnamed Canadian bank may have
been involved in market manipulation and front running of orders from U.S.
government-owned mortgage giants Fannie Mae (FNMA.OB) and Freddie Mac (FMCC.
OB).
Reuters has since learned that Bank of America's trading practices regarding
Fannie and Freddie are the subject of probes, and that the investigations
are ongoing.
Bank of America spokesman Bill Halldin declined comment when asked abut the
investigations.
The disclosure on the FINRA site doesn't specifically accuse Bank of America
of any wrongdoing.
It says: "We understand that the (U.S. Attorney's Office) is investigating
whether it was proper for the swaps desk to execute futures trades prior to
the desk's execution of block future trades on behalf of counterparties."
The filing, which identifies the U.S. Attorney's Office in Charlotte, North
Carolina, where Bank of America is based, adds: "We also understand that the
Commodity Futures Trading Commission is conducting a parallel investigation
into the trading issue."
The filing cites the bank as the source of the information.
The disclosure is in a FINRA "BrokerCheck" report on Eric Beckwith, a former
managing director at Bank of America's Merrill Lynch broker-dealer division
in New York. BrokerCheck is an online system that allows investors to check
the backgrounds of brokers for any regulatory issues or malpractice.
Representatives from the CFTC, and the U.S. Attorney's office in Charlotte
declined comment.
The filing said investigators are also looking into whether Beckwith gave
accurate information to the CME Group's Chicago Mercantile Exchange in
connection with an investigation by the exchange into the trading.
Halldin said Beckwith left the firm in July.
Beckwith could not be reached for comment. The CME declined to comment.
Front running occurs when someone with advance knowledge of another market
participant's plan to make a sizable transaction puts an order in first,
often profiting from a market move that can occur once the big trade has
gone through. It is a concern for many regulators as it pushes up the cost
of trades entered into by investors, including pension funds and governments.
In the bulletin, the FBI warned of "unsophisticated tradecraft" such as hand
signals or special ring tones that traders were using to deliver
information about impending orders in the interest-rate swaps market.
The document also said that the inspector general's office of the Federal
Housing Finance Agency, the regulator of Fannie Mae (FNMA.OB) and Freddie
Mac (FMCC.OB), is looking into the matter.
Representatives for Fannie Mae and Freddie Mac declined to comment. | m*****5
发帖数: 23482 | 4 占街运动的诉求正在慢慢实现
其实我特好奇就是这些罚款的钱最后会放到哪里去用 | I****9
发帖数: 5245 | 5
二八马打高球
米歇二去夏威夷
都很花钱的
【在 m*****5 的大作中提到】
: 占街运动的诉求正在慢慢实现
: 其实我特好奇就是这些罚款的钱最后会放到哪里去用
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