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美国证券交易委员会警告在Covid-19中断期间不要进行非法交易

2020-3-24 14:10

 

据路透社报道,美国证券监管机构警告企业高管,在冠状病毒造成的混乱期间,不要进行内幕交易。


美国证券交易委员会执法局联合董事周一在一份声明中表示,公司董事、管理人员、员工、顾问和其他能够接触到重要非公开信息的外部专业人士应“注意自己的义务”,对某些信息保密,并遵守对非法证券交易的禁令。


在发出这一警告之际,人们越来越担心,在发生了几起可疑的时机把握不当的交易或价格变动后,一些人可能比世界其它地区的人提前获得了能够影响市场走势的关键信息。


据路透社报道,最引人注目的是,在美联储(fed)上周宣布为9家央行推出新的美元融资工具以缓解全球美元紧缩之前,美元缩减了涨幅。


此外,两名美国共和党参议员上周也受到了批评,因为他们在冠状病毒引发的市场崩盘之前以及在有关冠状病毒爆发的闭门简报会后,出售了大量股票。


全球市场和企业一直受到流感大流行的影响,这使得企业难以跟上它们定期披露的信息。


美国证券交易委员会本月早些时候表示,它将对那些因病毒相关问题而寻求推迟强制申报的公司,有条件地给予监管方面的宽限。


证券交易委员会执行部门的联合主管斯蒂芬妮·阿瓦基恩(Stephanie Avakian)和史蒂芬·佩金(Steven Peikin)在声明中说,这意味着公司内部人士经常会了解到有价值的新信息,而更多的人可能会接触到这些材料,即非公开信息。


官员们在声明中表示:“基于内幕消息进行的公司证券交易可能违反联邦证券法的反欺诈规定。”


监管机构的公告称,此次疫情还引发了一系列欺诈行为,投资诈骗者声称开发了一种疫苗,或提供其他欺诈性产品,他们说这些产品将帮助散户投资者对冲他们不断减少的退休账户。


SEC官员警告称,执法部门正投入“大量资源”,以确保散户投资者不会成为欺诈或非法行为的受害者。

 

The US securities regulator warned corporate executives against insider trading during disruption caused by the coronavirus, Reuters reports.

Company directors, officers, employees, consultants and other outside professionals who have access to material, nonpublic information should be “mindful of their obligations” to keep certain information confidential and comply with prohibitions against illegal securities trading, the co-directors of SEC enforcement said in a statement on Monday.

The warning comes amid growing concerns that some individuals may be gaining access to critical market-moving information ahead of the rest of the world, following a handful of suspiciously timed trades or price movements.

Most notably, the US dollar pared gains moments before the Federal Reserve announced last week that it was launching a new dollar funding facility for nine central banks to ease a global dollar crunch, Reuters reported.

Also, two Republican US senators came under criticism last week for selling large amounts of stock before the coronavirus-induced market meltdown and after closed-door briefings on the coronavirus outbreak.

Global markets and businesses have been reeling from the pandemic, which has made it difficult for companies to keep up with their regular disclosures.

The SEC earlier this month said it would grant regulatory relief on a conditional basis for companies seeking to delay mandatory filings because of issues related to the virus.

That means corporate insiders are regularly learning new information of great value while more people may have access to such material, nonpublic information, Stephanie Avakian and Steven Peikin, co-directors of the SEC Enforcement Division, said in the statement.

“Trading in a company’s securities on the basis of inside information may violate the antifraud provisions of the federal securities laws,” the officials said in the statement.

The outbreak has also sparked a flurry of fraud, with investment scammers making claims about the development of a vaccine for the virus, or offering other fraudulent products they say will help mom-and-pop investors hedge against their falling retirement accounts, according to regulatory announcements.

The Enforcement Division is committing “substantial resources” to making sure retail investors are not victims of fraud or illegal practices, the SEC officials warned.

 

来自: ejinsight