美国证监会:富兰克林资源公司同意支付1亿美元民事罚款,涉前投资组合经理涉嫌“摘樱桃”交易计划

美股速递
Jun 05

美国证券交易委员会(SEC)宣布,富兰克林资源公司(Franklin Resources)已同意支付高达1亿美元的民事罚款,以了结其与前一位投资组合经理被指控的“摘樱桃”交易计划相关的调查。

该监管机构称,这项处罚源于一项指控,即该公司的前投资组合经理将有利可图的交易分配给了某些特定账户,而将表现不佳的交易分配给了其他客户,从而损害了部分投资者的利益。

SEC表示,这一和解方案反映了该计划的严重性,并强调了投资顾问对其客户所负有的诚信义务。富兰克林资源公司在同意支付罚款的同时,既未承认也未否认监管机构的调查结果。

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