證券交易外文翻譯

1、.附 錄附錄ASEC Charges Former NASDAQ Managing Director with Insider TradingThe SEC alleges that Donald L. Johnson traded in advance of such public announcements as corporate leadership changes, earnings reports and forecasts, and regulatory approvals of new pharmaceutical products. He often placed the i

2、llegal trades directly from his work computer through an online brokerage account in his wife's name. Johnson obtained illicit trading profits of more than $755,000 during a three-year period. Johnson also has been charged in a parallel criminal action announced by the US Department of Justice t

3、oday.According to the Sacs complaint filed in US District Court for the Southern District of New York, Johnson illegally traded in advance of nine announcements involving NASDAQ-listed companies from August 2006 to July 2009. According to the Sacs complaint filed in US District Court for the Souther

4、n District of New York, Johnson illegally traded in advance of nine announcements involving NASDAQ-listed companies from August 2006 to July 2009. Johnson took advantage of both favorable and unfavorable information that was entrusted to him in confidence by NASDAQ and its listed company clients, sh

5、orting stocks on several occasions and establishing long positions in other instances. Johnson lives in Ashburn, Va., and worked in various positions for the NASD and NASDAQ for 20 years until his retirement from NASDAQ in September 2009.The SEC alleges that Johnson had frequent and significant inte

6、ractions with senior executives of NASDAQ-listed issuers, including CEOs, CFOs, and investor relations officers at his assigned companies. He then transferred to the Market Intelligence Desk, a specialized department within the CCG that provides issuers with general market updates, overviews of thei

7、r company's sector, and commentary regarding the factors influencing day-to-day trading activity in their stocks.The SEC alleges that Johnson had frequent and significant interactions with senior executives of NASDAQ-listed issuers, including CEOs, CFOs, and investor relations officers at his as

8、signed companies. The SEC alleges that Johnson had frequent and significant interactions with senior executives of NASDAQ-listed issuers, including CEOs, CFOs, and investor relations officers at his assigned companies. The corporate executives who shared nonpublic information with Johnson did so bas

9、ed on the understanding that it would be kept confidential and that Johnson could not use the information for his personal benefit.The Sacs complaint charges Johnson with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 hereunder, and seeks permanent injunctive relie

10、f, disgorgement of illicit profits with prejudgment interest and a monetary penalty. Johnson's wife Dalia Lopez is named as a relief defendant in the Sacs complaint for the purpose of recovering illicit profits in her possession.The SEC acknowledges the assistance of the Fraud Section of the Jus

11、tice Department's Criminal Division and the US Postal Inspection Service. The SEC brought its enforcement action in coordination with these other members of the Financial Fraud Enforcement Task Force. The SEC also acknowledges FINRA and NASDAQ for their assistance in this investigation中文譯文A納斯達(dá)克證

12、券交易委員會(huì)前董事總經(jīng)理費(fèi)內(nèi)幕交易美國(guó)證券交易委員會(huì)稱，唐納德L.約翰遜作為企業(yè)領(lǐng)導(dǎo)層的變化，盈利報(bào)告和預(yù)測(cè)，及新醫(yī)藥產(chǎn)品等公共管理部門的批準(zhǔn)公告提前上市。他經(jīng)常把非法交易直接通過(guò)網(wǎng)上經(jīng)紀(jì)賬戶在他妻子的名字從他的工作電腦。約翰遜獲得了超過(guò)七十五點(diǎn)五萬(wàn)美元在三年內(nèi)非法交易利潤(rùn)。約翰遜也一直在一個(gè)平行的刑事指控的美國(guó)司法部今天宣布的行動(dòng)。 根據(jù)美國(guó)證券交易委員會(huì)的投訴在美國(guó)地區(qū)法院遞交了紐約南區(qū)，約翰遜在九個(gè)非法交易涉及美國(guó)納斯達(dá)克上市的公司從2006年8月至2009年7月提前公布。約翰遜注意到有利和不利的信息，被委托在納斯達(dá)克上市的公司及其客戶的信心對(duì)他的優(yōu)勢(shì)，做空股票多次在其他情況下，建立多頭

13、部位。約翰遜住在阿什，弗吉尼亞州，在各個(gè)崗位和工作了20年的時(shí)間，NASD和納斯達(dá)克直到他從2009年9月退休。根據(jù)美國(guó)證券交易委員會(huì)的申訴，約翰遜曾在納斯達(dá)克的企業(yè)客戶集團(tuán)（化學(xué)計(jì)算）由2000年1月至2006年10月。然后，他轉(zhuǎn)移到市場(chǎng)情報(bào)咨詢臺(tái)，在化學(xué)計(jì)算與一般市場(chǎng)提供更新，他們公司的發(fā)行部門的專業(yè)部門的概述和評(píng)論方面的因素影響日常工作，其股票日交易活動(dòng)。 美國(guó)證券交易委員會(huì)稱，約翰遜曾在他指定的高級(jí)行政人員的公司與納斯達(dá)克上市的發(fā)行人，包括首席執(zhí)行官，首席財(cái)務(wù)官和投資者關(guān)系人員的頻繁和顯著的相互作用。誰(shuí)分享了約翰遜的非公開(kāi)信息為基礎(chǔ)的企業(yè)負(fù)責(zé)人這樣做是對(duì)的，那就是保密，并約翰遜不能使用

14、他的個(gè)人利益信息的理解。美國(guó)證券交易委員會(huì)的申訴，指控約翰遜違反第10（二）1934年證券交易法和規(guī)則10b - 5據(jù)此，并尋求永久性禁令救濟(jì)，與預(yù)斷興趣，并罰款非法利潤(rùn)吐出。約翰遜的妻子Davila洛佩茲命名為一個(gè)在美國(guó)證券交易委員會(huì)提出的關(guān)于收回其擁有的非法營(yíng)利為目的的投訴救濟(jì)被告。 美國(guó)證券交易委員會(huì)確認(rèn)了司法部的刑事司和美國(guó)郵政檢查服務(wù)詐騙的協(xié)助。美國(guó)證券交易委員會(huì)提出協(xié)調(diào)與金融詐騙罪這些執(zhí)法工作隊(duì)的其他成員的執(zhí)法行動(dòng)。美國(guó)證券交易委員會(huì)也承認(rèn)他們?cè)诒敬握{(diào)查FINRA的援助和納斯達(dá)克。附錄BPrivate Fund Systemic Risk ReportingBackgroundBa

15、ckgroundThe Dodd-Frank Act established FSOC for the purpose of monitoring risks to the stability of the US financial system.Working with other regulators, FSOC will gather information from many sectors of the financial system for this purpose. In order to assist FSOC in this process, the Dodd-Frank

16、Act directs the Commission to collect information from advisers to hedge funds and other private funds as necessary for Fosss assessment of systemic risk. To implement this requirement, the Commission is proposing a new reporting form (Form PF) that would be filed periodically by investment advisers

17、 that are registered under the Advisers Act and manage one or more private funds. Information reported on Form PF would remain confidentialIn formulating this proposal, the Commission collaborated with the UK's Financial Services Authority and other members of the International Organization of S

18、ecurities Commissions. The resulting form is similar in many respects to surveys of large hedge fund advisers conducted by foreign financial regulators .In addition, the Commission consulted extensively with staff representing the other members of FSOC.The CFTC is scheduled to vote tomorrow on joint

19、ly proposing these reporting requirements. If the CFTC approves the joint proposal, private fund advisers that are also registered with the CFTC as commodity pool operators or commodity trading advisors would file Form PF to comply with certain reporting obligations that the CFTC would impose.Propos

20、ed Reporting Requirements Proposed Reporting RequirementsUnder the proposed reporting requirements, private fund advisers would be divided by size into two broad groups large advisers and smaller advise.Large private fund advisers would include any adviser with $1 billion or more in hedge fund, &quo

21、t;liquidity fund" (i.e. unregistered money market fund), or private equity fund assets under management. Large private fund advisers would include any adviser with $1 billion or more in hedge fund, "liquidity fund" (i.e. unregistered money market fund), or private equity fund assets u

22、nder management. All other private fund advisers would be regarded as smaller private fund advisersThe Commission anticipates that most private fund advisers would be regarded as smaller private fund advisers but that the relatively limited number of large advisers providing more detailed informatio

23、n would represent a large majority of industry assets under management. As a result, this threshold would allow FSOC to monitor a significant portion of private fund assets while reducing the amount of reporting for private fund advisers.Smaller private fund advisers would file Form PF only once a y

24、ear and would report only basic information regarding the private funds they advise. This would include information regarding leverage, credit providers, investor concentration and fund performance smaller advisers managing hedge funds would also report information about fund strategy, counterparty

25、credit risk and use of trading and clearing mechanisms. Large Private Fund Advisers Large private fund advisers would file Form PF on a quarterly basis and would provide more detailed information than smaller advisers the focus of the reporting would depend on the type of private fund that the advis

26、er manages:Large hedge fund advisers would report on an aggregated basis information regarding exposures by asset class, geographical concentration and turnover. In addition, for each managed hedge fund having a net asset value of at least $500 million, these advisers would report certain informatio

27、n relating to that fund's investments, leverage, risk profile and liquidityLarge liquidity fund advisers would provide information on the types of assets in each of their liquidity fund's portfolios, certain information relevant to the risk profile of the fund, and the extent to which the fu

28、nd has a policy of complying with all or aspects of the Investment Company Act's principal rule concerning registered money market funds (Rule 2a-7).Large private equity fund advisers would respond to questions focusing primarily on the extent of leverage incurred by their funds' portfolio companies, the use of bridge financing, and their funds' investments in financial institutions.中文譯文B私募基金的系統(tǒng)性風(fēng)險(xiǎn)報(bào)告背景在多德-弗蘭克法建立了監(jiān)測(cè)風(fēng)險(xiǎn)的美國(guó)金融體系的穩(wěn)定的目的FSOC。 工作與其他監(jiān)管機(jī)構(gòu)，F(xiàn)SOC將聚集來(lái)自為此金融系統(tǒng)的許多部門的信息。為了協(xié)助這一進(jìn)程FSOC中，多德，弗蘭克法指導(dǎo)委員會(huì)顧問(wèn)，以收集對(duì)沖基金，并作為FSOC的系統(tǒng)性風(fēng)險(xiǎn)評(píng)估所必需的其他私人資金的信息。為了實(shí)現(xiàn)這一要求，委員會(huì)提出了一項(xiàng)新的報(bào)告表格（表格公積金），將定期投資顧問(wèn)根據(jù)登記法