渣打稱可能在香港受到監(jiān)管處罰

Standard Chartered has warned that the Hong Kong regulator plans to take action that could have “financial consequences” for the emerging markets bank because of its role as a sponsor of an initial public offering in 2009.

渣打銀行(Standard Chartered)警告稱，由于自己在2009年一宗首次公開發(fā)行(IPO)中的保薦人角色，香港監(jiān)管機構(gòu)打算采取可能會對這家新興市場銀行造成“財務(wù)影響”的措施。

The warning from StanChart comes days after Switzerland’s UBS said it could face a temporary ban in Hong Kong from providing corporate finance services because of an investigation into its role as an IPO sponsor there.

渣打發(fā)出警告的幾天前，瑞士的瑞銀(UBS)表示，其可能被暫時禁止在香港提供企業(yè)金融服務(wù)，因為其在香港一宗IPO中的保薦人角色遭到調(diào)查。

Both probes are looking at the 2009 float of China Forestry Holdings, the only IPO to be co-sponsored by both banks that year, according to a person briefed on the regulator’s action.

知情人士表示，這兩起調(diào)查都指向2009年的中國森林(China Forestry Holdings)上市，這是當年唯一一宗由這兩家銀行共同保薦的IPO。

Bill Winters, StanChart’s chief executive, declined to discuss the details of the investigations but said he expected a limited impact on the bank’s revenues as it had closed the institutional equities business that handles IPOs last year.

渣打首席執(zhí)行官比爾•溫特斯(Bill Winters)拒絕討論調(diào)查的細節(jié)，但他表示，他預(yù)計渣打收入受到的沖擊將是有限的，因為該行去年已關(guān)閉了負責IPO業(yè)務(wù)的機構(gòu)股票部門。

The disclosure of a likely regulatory sanction in Hong Kong — one of StanChart’s biggest markets — came as the bank reported revenue declines across all its businesses and a drop in net profits in the third quarter. It warned that market conditions would “remain challenging”. Shares in the bank, which is listed in London but has most of its operations in Asia, the Middle East and Africa, fell 5.4 per cent.

香港是渣打的最大市場之一。此次披露自己可能在香港受到監(jiān)管處罰之際，渣打財報顯示，第三季度所有業(yè)務(wù)的收入都有所下降，凈利潤也有所下滑。渣打警告稱，市場環(huán)境將“仍然具有挑戰(zhàn)性”。渣打股價下跌了5.4%。該行在倫敦上市，但其業(yè)務(wù)集中在亞洲、中東和非洲。

Having suffered its first annual loss for more than a quarter of a century last year, StanChart said it returned to an underlying pre-tax profit with a gain of $458m in the three months to September. Revenues were down almost 6 per cent at $3.47bn, while operating expenses fell 7 per cent to $2.1bn.

去年，渣打錄得了25年多以來第一次年度虧損。該行表示，其在今年第三季度的稅前利潤已恢復至4.58億美元。營收下降近6%，至34.7億美元，而營業(yè)費用下降7%，至21億美元。

Mr Winters said: “We know there is more to do on the growth line. We have now stabilised that revenue. We are beginning to see some growth coming back into retail, private banking and coming back into wealth. ”

溫特斯表示：“我們知道，還需要采取更多措施推動公司增長。我們現(xiàn)在已把收入穩(wěn)定住了。我們開始看到，零售銀行、私人銀行和財富管理等業(yè)務(wù)恢復了部分增長。”

“Within their powers, they are doing all the right things,” said Hugh Young, Asia managing director at Aberdeen Asset Management, the third-biggest shareholder in StanChart.

渣打第三大股東安本資產(chǎn)管理(Aberdeen Asset Management)的亞洲董事總經(jīng)理楊修(Hugh Young)表示：“他們正在盡力做一切正確的事情。”