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美證監控告前高盛合規分析師進行內幕交易
阿思達克 09-30 13:59
美國證券交易委員會(SEC)控告前高盛(GS.US)高級合規分析師Jose Luis Casero Sanchez進行內幕交易,稱他在波蘭華沙工作期間以客戶合併、收購及融資等重要非公開信息來進行非法交易。 SEC表示,在2020年9月至2021年5月期間,Casero至少45次透過父母名義開設的經紀賬戶在公司進行重大活動之前進行交易,從而獲得近47.2萬美元的利潤,當中至少有9宗交易與SPAC合併有關。
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