高盛被美国证券交易委员会指诈骗 美股跳水
新浪财经讯 北京时间4月16日晚间消息 受高盛公司被指控的消息影响，美国股市周五午盘大幅下滑。美国证管会指控高盛在某种次级贷款金融产品方面存在诈骗和误导投资者的行为，这条消息引发了市场恐慌情绪。
高盛股价重挫14%。美国证券交易委员会(SEC)指控高盛集团(GS)及其一位副总裁欺骗投资者，在一项与次贷有关金融产品的重要事实问题上向投资者提供虚假陈述或加以隐瞒。
SEC指称高盛构建并销售了一种基于次贷证券表现的抵押债务债券(CDO)，但高盛未透露一家大型对冲基金公司Paulson & Co在资产选择中所扮演的角色，也没有透露该基金已经对这一CDO做空的事实。
SEC执法部门的主管罗伯特-库萨米(Robert Khuzami)在一份声明中指出：“高盛错误地允许一位能深刻影响其投资组合中抵押贷款证券的客户对抵押贷款市场做空，高盛还向其他投资者提供了虚假陈述：该证券的投资内容由一家独立客观的第三方机构进行选择。”
一些分析师表示，证管会指控高盛时使用了“诈骗”一词，导致金融板块普遍下挫。
Duncan-Williams机构资深副总裁杰·萨斯堪德(Jay Suskind)表示，“‘诈骗’这个词很严重。一旦被证管会指控诈骗，一切辩解都是徒劳。短期内，金融板块肯定会承受压力。”
其他一些分析师表示，投资者正在尽力减持可能受到影响的仓位。
Cowen机构交易商安德鲁·布索(Andrew Busso)表示，“这是一年半以来我们第一次见到此类引发恐慌情绪的消息。大家都在说‘这是周末，我得先抛掉再说，有问题以后再问。’”
经济数据方面，商务部报告，3月份住房开工数字增长1.6%，创16个月来新高，但经济学家对房产行业仍持谨慎态度，因为该行业仍面临着抵押贷款利率上升以及购房减税优惠政策终止的挑战。
美股开盘之后，美国密歇根大学和路透社联合宣布，4月的消费者信心指数为69.5，低于市场所平均预期的75。
因担心经济增长过快会导致通货膨胀与加息，亚洲股市有所下跌。欧洲股市当前涨跌互见。日本日经指数下跌了1.5%，香港恒生指数下跌了 1.3%。英国富时100指数下跌了0.1%，德国DAX指数上涨了0.1%，法国CAC-40指数下跌了0.2%。
国债市场有所攀升，10年期国债收益率从周四的3.84%下降至3.81%。美元兑主要货币汇率上涨，黄金(1131.20,-29.10,-2.51%)与原油(82.80,-2.71,-3.17%)期货均出现下滑。
Goldman charged with fraud over Paulson CDO trade
By Alistair Barr, MarketWatch
SAN FRANCISCO (MarketWatch) -- The Securities and Exchange Commission on Friday charged Goldman Sachs & Co. and one of its vice presidents for defrauding investors by misstating and omitting key facts about a financial product related to subprime mortgages.
The SEC alleged in a lawsuit that Goldman /quotes/comstock/13*!gs/quotes/nls/gs (GS 158.74, -25.53, -13.85%) structured and marketed a collateralized debt obligation that hinged on the performance of subprime residential mortgage-backed securities. However, it failed to disclose the role that a major hedge fund, Paulson & Co., played in the portfolio selection process as well as the fact that the hedge fund had taken a short position against the CDO.
"Goldman wrongly permitted a client that was betting against the mortgage market to heavily influence which mortgage securities to include in an investment&nbs p;portfolio, while telling other investors that the securities were selected by an independent, objective third party," said Robert Khuzami, director of the division of enforcement, in a statement.
Goldman shares dropped 10% to $165.78 in morning trading after the SEC unveiled its suit. See text of complaint.
The SEC's suit is aimed at the heart of one of the most profitable hedge fund trades in history. Paulson, headed by John Paulson, ;generated billions of dollars in profit in 2007 from bets against CDOs and other firms also made huge gains in similar trades as the housing market imploded, triggering a global financial crisis.
"The SEC continues to investigate the practices of investment banks and others involved in the securitization of complex financial products tied to the U.S. housing market as it was beginning to show signs of distress," Kenneth Lench, chief of the SEC's Structured and New Products Unit, said.< BR>
Paulson & Co. paid Goldman to structure a transaction in which the hedge fund giant could take short positions against mortgage securities chosen by Paulson & Co. based on a belief that the securities would experience credit events, the SEC alleged.
Marketing materials for the CDO known as ABACUS 2007-AC1, told investors that the portfolio of residential mortgage-backed securities underlying the CDO was selected by ACA Management LLC, a&n bsp;third party with expertise in analyzing credit risk in these securities.
The SEC alleged that, undisclosed in the marketing materials and unbeknownst to investors, Paulson & Co., which was poised to benefit if the RMBS defaulted, played a significant role in selecting which RMBS should make up the portfolio.
After participating in the portfolio selection, Paulson & Co. effectively shorted the RMBS portfolio it helped select by entering int o credit-default swaps with Goldman to buy protection on specific layers of the ABACUS capital structure.
"Given that financial short interest, Paulson & Co. had an economic incentive to select RMBS that it expected to experience credit events in the near future," the SEC said.
Goldman did not disclose Paulson & Co.'s short position or its role in the collateral selection process in the term sheet, flip book, offering memorandum, or& nbsp;other marketing materials provided to investors, the SEC said.
Investors in these securities, including German bank IKB /quotes/comstock/11e!fikb (DE:IKB 0.70, 0.00, -0.14%) and Dutch financial-services company ABN Amro, now a unit of the Royal Bank of Scotland /quotes/comstock/13*!rbs/quotes/nls/rbs (RBS 14.83, +0.54, +3.79%) , lost more than $1 billion when the securities in the CDO turned toxic, the SEC said.
The deal closed on April 26, 2007, and Paulson & Co. paid Goldman roughly $15 million for structuring and marketing ABACUS.
By Oct. 24, 2007, 83% of the RMBS in the ABACUS portfolio had been downgraded and 17% were on negative watch. By Jan. 29, 2008, 99% of the portfolio had been downgraded.
Alistair Barr is a reporter for MarketWatch in San Francisco.
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