华尔街“头号警官”试图重振声誉
关键字：华尔街
作为华尔街的“头号警官”，美国证券交易委员会不再以最初的方式处理金融危机期间的不当行为，新任主席誓言未来将执行更加严格的标准。
在2009年经济衰退最严重的时候,SEC主席Mary Schapiro临危受命,承诺将积极重振执法。她创建了多个团队负责打击各种类型的不端行为,其中一个团队专门负责监管曾引爆全球金融恐慌的复杂抵押贷款债券。
《华尔街日报》(The Wall Street Journal)的一篇分析稿显示,该机构已对在危机发生前不久或危机期间涉嫌不当行为的138家公司和个人提起民事诉讼。而且SEC收到了27亿美元的罚金、非法所得返还以及其他罚款。但SEC对一些华尔街高管的高级别调查止步不前,甚至已被搁置。
今年4月份,前联邦检察官Mary Jo White开始接任SEC主席一职,她的执法格言可用一句话概括:你必须强硬。SEC之前的执法政策几乎允许所有的被告在不认罪的情况下就案件达成和解,但Mary Jo White上任后摒弃了这一政策。8月份,对冲基金经理Philip Falcone成为新政策下的第一个受罚者。他和他所在的公司Harbinger Capital Partners LLC承认操纵债券价格并从基金非法借入资金。Falcone的代表未对此发表评论。
一些批评人士指出,这五年来SEC原本应该取得更大的成绩。金融危机调查委员会(Financial Crisis Inquiry Commission)前任主席Phil Angelides说:“大型银行几乎完全没有承担法律、政治或经济后果。危机过后华尔街学到了什么教训?几乎没有。”该委员会是由国会成立的调查危机根源的机构。
Schapiro表示,SEC的工作成绩不应只从和解案件的规模来检验。她说,公平起见,除了案件的数量,还要考察其重要程度和意义大小。她还补充说,通盘考察所有因素后,总体而言SEC的执法计划还是不错的。
本文来源： 大田环球贵金属
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