英国监管部门放弃伦敦鲸调查

The UK financial watchdog has dropped its investigation of Bruno Iksil, the former JPMorgan

英国金融监管机构放弃了对摩根大通(JPMorgan)前交易员、被称为“伦敦鲸”的布鲁诺•伊克希尔(Bruno Iksil)的调查，使他摆脱了为期3年的调查，他的交易曾导致62亿美元亏损。

trader known as the “London Whale” whose trades led to $6.2bn in losses, clearing him in the three-year probe.

英国金融市场行为监管局(Financial Conduct Authority，FCA)执法部门曾试图对伊克希尔提起民事诉讼，罪名是未能防范或发现摩根大通首席投资办公室内部的错误。

The Financial Conduct Authority’s enforcement division sought to bring a civil action against Mr Iksil for failing to prevent or detect mismarking within JPMorgan’s chief investment office.

但FCA内部的独立专家小组——监管决定委员会(Regulatory Decisions Committee)裁决称，该监管机构没有提出有足够说服力的理由，难以诉讼成功。

But its internal panel of independent experts, the Regulatory Decisions Committee, ruled that the watchdog did not have a strong enough case to proceed.

英国金融市场行为监管局表示：“我们可以证实，FCA不会采取任何进一步的措施。”

“We can confirm that the FCA will not be taking any further action,” the authority said.

伊克希尔现居住在法国，他通过与美国司法部合作，获得一份豁免协议，避免了面对美国的刑事诉讼。

Mr Iksil, who lives in France, has avoided criminal charges in the US by striking an immunity deal there in exchange for his co-operation. “It is rare for the RDC to dismiss an FCA enforcement case at this very initial stage of the disciplinary process,” Mr Iksil’s lawyer, Michael Potts at Byrne and Partners, said. “Mr Iksil has fully co-operated throughout the FCA investigation and will continue to co-operate as a witness in the ongoing criminal and civil proceedings in the USA.”

“监管决定委员会很少在纪律程序的初期否决FCA的执法案件，”伊克希尔的律师、Byrne and Partners律所的迈克尔•波茨(Michael Potts)表示，“在FCA的整个调查中，伊克希尔一直全力合作，他将继续作为美国正在进行的刑事和民事诉讼的证人展开合作。”

Julien Grout, a junior derivatives trader on the desk, and Javier Martin-Artajo, Mr Iksil’s former boss who was a managing director at the bank, are both being prosecuted in the US for their roles in the affair. They deny wrong-doing. The FCA is not seeking to bring a case against either man.

摩根大通初级衍生品交易员朱利安•格劳特(Julien Grout)和伊克希尔前老板、当时担任该行董事总经理的哈维尔•马丁-阿塔霍(Javier Martin-Artajo)都因他们在此次事件中的角色而在美国被起诉。两人均否认有不当行为。FCA并不寻求对这两人提起诉讼。

The only person still being investigated by UK authorities in connection with the 2011 losses is Achilles Macris, who ran the London office of the bank’s chief investment office and oversaw its synthetic credit portfolio team. It was in that division where trades in credit derivatives ultimately led to the trading losses in 2012.

如今因2011年亏损事件而仍受到英国当局调查的只有阿基利斯•马克里斯(Achilles Macris)，他曾执掌摩根大通首席投资办公室的伦敦办公室，并负责合成信贷资产组合团队。正是这个部门的信用衍生品交易最终导致了2012年的交易亏损。