中資收購芝加哥證交所再次受阻

The US Securities and Exchange Commission has delayed approval of a Chinese-led takeover of the Chicago Stock Exchange, the latest setback for an acquisition that has attracted a lot of pushbacks from US lawmakers.

美國證券交易委員會(SEC)推遲批準中資牽頭的收購芝加哥證券交易所(Chicago Stock Exchange)的交易，這是該筆已招致美國立法者大量阻力的交易受到的最新挫折。

SEC staff had earlier recommended approval of the deal for one of the US’s oldest stock exchanges and the first proposed Chinese takeover of a US bourse.

SEC工作人員早些時候曾建議批準這筆交易，這是中資首次發(fā)起對美國證交所的收購。芝加哥證交所是美國最歷史最悠久的證券交易所之一。

However, in a technical and legalistic letter to the exchange, SEC secretary Brent Fields wrote that the deal would be delayed, pending a review of a rule change.

不過，在發(fā)給該證交所的一封技術性和死摳法律條文的公函中，SEC秘書布倫特•菲爾茨(Brent Fields)寫道，在審查一項規(guī)則變更之前，這筆交易將被延遲。

Chinese acquisitions of US assets — including foreign businesses with operations on US soil — have been heavily scrutinised by US regulators over the past two years.

中資對美國資產(包括在美國境內經營的外國企業(yè))的收購，在過去兩年期間受到美國監(jiān)管機構的嚴密審查。

The Committee on Foreign Investment in the United States, or Cfius, has become one of the main hurdles for Chinese companies hoping to buy sensitive technology in the US and Europe.

美國外國投資委員會(Committee on Foreign Investment in the United States，簡稱CFIUS)已成為希望在美國和歐洲收購敏感技術的中資公司的主要障礙之一。

Lu Shengju, the owner of Chongqing Casin Enterprise Group, the main group looking to buy the Chicago Stock Exchange, said the deal would benefit China’s financial development while bringing “exciting Chinese growth companies to US investors”.

尋求收購芝加哥證券交易所的主要集團——重慶財信企業(yè)集團(Chongqing Casin Enterprise Group)的所有者盧生舉表示，這筆交易將有利于中國的金融發(fā)展，同時把令人振奮的中國成長型企業(yè)介紹給美國投資者。

Founded in 1882, the Chicago Stock Exchange is the smallest of designated US exchanges with about 1 per cent of US equity trading.

成立于1882年的芝加哥證交所，是美國指定交易所中最小的，約占美國股票交易的1%。

Within days of announcing that the Chinese-led consortium had agreed to buy CSE — in early February last year — a group of 46 US lawmakers urged the Obama administration to submit the deal to a national security review.

去年2月初，在中資牽頭的財團簽約收購芝加哥證交所的消息公布幾天后，46名美國國會議員敦促奧巴馬政府將這筆交易提交國家安全審查。

Echoing past concerns on the true controlling shareholders of Chinese groups targeting US assets, Robert Pittenger, a Republican member of the House of Representatives, organised a letter to the US Treasury that said Casin Enterprise lacked transparency and may have ties to the Chinese government.

共和黨眾議員羅伯特•皮滕杰(Robert Pittenger)帶頭致函美國財政部，提到美方以往對有意收購美國資產的中資集團的真實控股股東身份的擔憂，稱財信企業(yè)缺乏透明度，可能與中國政府有聯(lián)系。

Before his election to the US presidency, Donald Trump at a campaign rally also raised the deal as an example of how Chinese companies were usurping US jobs and wealth.

在當選美國總統(tǒng)之前，唐納德•特朗普(Donald Trump)曾在一個競選集會上以這筆交易為例，說明中資企業(yè)正在如何竊取美國的就業(yè)機會和財富。

The SEC pushed back against accusations of Chinese government involvement and Cfius approved the deal in December.

SEC反駁了有關中國政府參與的指責，而CFIUS在去年12月批準了這筆交易。

Chinese investors including Casin Enterprise, Chongqing Jintian Industrial and Chongqing Longshang Decoration would own 49.5 per cent of the exchange through NA Casin Holdings if the purchase were approved.

如果這筆收購獲得批準，包括財信企業(yè)、重慶錦天實業(yè)有限公司(Chongqing Jintian Industrial)和重慶龍尚裝飾有限公司(Chongqing Longshang Decoration)在內的中國投資者，將通過NA Casin Holdings持有芝加哥證交所49.5%股份。

Other owners would include Raptor, a private investment company of James Palotta, the president and chairman of AS Roma and a co-owner of the Boston Celtics, and Saliba, a private company of Anthony Saliba, the former chief executive of LiquidPoint, a Chicago-based options technology company.

其他東家將包括：AS Roma總裁兼董事長、波士頓凱爾特人隊(Boston Celtics)共同所有人詹姆斯•帕洛塔(James Palotta)的私人投資公司Raptor，以及總部位于芝加哥的期權技術公司LiquidPoint的前首席執(zhí)行官安東尼•薩利巴(Anthony Saliba)的私人公司Saliba。

Mr Lu, a tycoon based in the south-west Chinese city of Chongqing, owns nearly 75 per cent of Casin Enterprise. His son Jay Lu, a US citizen, is vice-president of the acquisition vehicle NA Casin and the family’s collective voting interest in this vehicle is fixed at 20 per cent.

常住中國西南城市重慶的富豪盧生舉擁有財信企業(yè)近75%股份，其子Jay Lu為美國公民，擔任收購工具NA Casin副總裁，盧氏家族在這個工具中的集體投票權固定在20%。