不愧是關係良好的高盛(請參考以下"高盛的旋轉門" Goldman Sach's Revolving Door)，相較於高盛對金融體系的危害及美國所受的損失，去年賺 136 億美元的高盛，用5.5億美元和解實在太划算了！台灣的奇美電子違反「反信賴法」（我們的教科書是翻成：反托拉斯法），被罰了2.2億美元，根本不成比例！

投資銀行、私募基金與債評公司這共犯結構若是無法打破，這種所謂的「金融海嘯」一定會再發生。 "Volker Rules"立意良善，但是投資銀行、私募基金的勢力似乎更大，七折八扣下的金融改革法案，拿有多少實質效益呢？

就高盛的經營者而言，高盛一直是個關係良好的幸福企業。光是去年高盛有超過1,500名員工拿到超過百萬美元的分紅，就應該可以知道這是何等的幸福企業。




高盛詐欺案 5.5億美元和解

【經濟日報╱編譯陳家齊／綜合外電】
   
2010.07.17 02:52 am

美國證券管理委員會（SEC）宣布，高盛公司同意以5.5億美元就證管會4月提告的證券詐欺案達成和解。這是證管會從華爾街銀行獲得的最大一筆和解金，但遠低於投資人預期的10億美元。

投資人樂觀看待高盛與證管會的和解，使高盛股價在16日盤初大漲4.6%。高盛去年扣除特別股股利後的獲利高達122億美元，5.5億美元罰款僅僅等於高盛約兩周的獲利。高盛的市值也已在15日暴增8億美元，16日繼續增加，遠超過高盛付出的和解代價。

美國證管會表示，高盛接受5.35億美元的罰款，繳回1,500 萬美元的交易所得。總計5.5億美元的和解金將有1.5億美元交給受害的德國IKB德國工業銀行，1億美元交給蘇格蘭皇家銀行（RBS），其餘3億美元繳交美國國庫。

美國證管會在4月指控說，高盛在2007年銷售一筆房貸證券時，沒有盡責告知鮑森避險基金透過這筆證券做空。IKB德國工業銀行因投資這筆證券損失1.5億美元，RBS損失8.4億美元，鮑森則進帳約10億美元。

這項和解案在15日美股盤後公布，但消息在15日交易結束前半小時已經走露風聲，高盛股價隨之在收盤時大漲4.43%至145.22美元，16日早盤更再激漲至152美元價位。在遭受詐欺指控的前一天，高盛股價收在184.27美元。

高盛公司在14日簽署同意這樁和解案，「不承認也不否認」證管會的詐欺指控。但法律專家指出，高盛罕見地承認向投資人揭露的訊息不夠完備是項「錯誤」，其他買進類似證券的投資人可能據此向高盛求償。

消息人士指出，目前由英國政府控股的RBS以及由龍星私募基金（Lone Star）持有的IKB銀行正考慮提出告訴，追回所有的損失。

摩根士丹利、摩根大通、德意志銀行、美國銀行以及瑞士銀行，也都曾經安排過類似的房貸證券交易，證管會也在調查中。分析師指出，高盛的和解案使其他銀行也可能面臨類似罰款，以及投資人賠償。

負責這筆交易的高盛交易員托爾並未包括在這次的和解案中，仍舊面臨詐欺官司。

本和解案仍須獲得紐約法院的審理法官批准，但預料應能過關。美國司法部對高盛案的刑事詐欺調查理論上不受證管會的民事和解影響，但是法律專家認為，司法部已不太可能提出刑事控告。

【2010/07/17 經濟日報】

http://udn.com/NEWS/WORLD/WOR6/5730219.shtml

高盛繳5.5億美元 擺平詐欺官司

美國聯邦證券交易委員會（ＳＥＣ）十五日宣布，華爾街投資銀行、證券與投資管理業巨擘高盛集團（Goldman Sachs Group,Inc.），同意支付五.五億美元（約台幣一七六．六億），與ＳＥＣ控告高盛詐欺投資人的民事訴訟達成和解，金額創下ＳＥＣ對華爾街金融機構祭出罰鍰的新高。

ＳＥＣ在四月十六日控告高盛於二○○七年房市泡沫期間，推出「Abacus 2007-AC-1案」抵押債務債券（ＣＤＯ），卻未告知客戶，做空房市的對沖基金鮑爾森公司（Paulson & Co.）協助挑選投資組合，混淆投資人視聽。

據和解協議，高盛除繳納五.三五億美元罰金，並退還商品管理費一千五百萬美元。五．五億中，美國財政部分得三億，二.五億則賠償交易中損失最慘重的蘇格蘭皇家銀行（ＲＢＳ，獲賠一億）與德國工業銀行（ＩＫＢ，一.五億）。對去年淨利達一二二億美元的高盛來說，這筆金額僅佔半個月淨利，加上市場原本預期得支付十億美元才能脫身，分析師認為，高盛可說輕鬆解套。

和解利多也帶動高盛股價十五日勁揚四.四三％，盤後電子交易乘勝追擊，續漲逾九％，來到一五三.六美元，一天內市值暴增六十六億美元。

http://news.chinatimes.com/world/0,5246,50404017x112010071700228,00.html

April 7, 2010 6:26 PM

Goldman Sachs' Revolving Door

Written by Paula Reid, an intern at the CBS News Investigative Unit in New York.

ACBS News analysis of the revolving door between Goldman and governmentreveals at least four dozen former employees, lobbyists or advisers atthe highest reaches of power both in Washington and around the world.

For example, former Treasury Secretary Henry Paulson is aformer Goldman CEO; Arthur Levitt, the head of the Securities andExchange Commission is a now a Goldman adviser; and former HouseMajority Leader Dick Gephardt is now a paid lobbyist for the firm.

Our alphabetical list:

Joshua Bolten

Government:President George W. Bush's Chief of Staff from 2006-2009; Director ofOffice of Management and Budget from 2003-2006; White House DeputyChief of Staff from January 20, 2001 - June 2003.

Goldman:Executive Director of Legal Affairs for Goldman based in London aka thebank's chief lobbyist to the EU from 1994-1999.

Kenneth D. Brody

Government: President and Chairman of the Export-Import Bank of the United States (1993-1996).

Goldman: Former general partner and member of the Management Committee at Goldman Sachs where he worked from 1971-1991.

Kathleen Brown

Government: Former California State Treasurer

Goldman: Senior Advisor responsible for Public Finance, Western Region.

Mark Carney

Government: Governor of the Bank of Canada since 2008.

Goldman:Mr. Carney had a thirteen-year career with Goldman Sachs in its London,Tokyo, New York, and Toronto offices. His progressively seniorpositions included Co-Head of Sovereign Risk; Executive Director,Emerging Debt Capital Markets; and Managing Director, InvestmentBanking. He stated at Goldman in 1995.

Robert Cogorno

Government: Former Gephardt aide and one-time floor director for Steny Hoyer (D-MD.), the No. 2 House Democrat.

Goldman: Works for [Steve] Elmendorf Strategies, which lobbies for Goldman.

Kenneth Connolly

Government: Staff Director of the Senate Environment & Public Works Committee 2001-2006.

Goldman: Vice President at Goldman from June 2008 - present.

E. Gerald Corrigan

Government: President of the New York Fed from 1985 to 1993.

Goldman:Joined Goldman Sachs in 1994 and currently is a partner and managingdirector; he was also appointed chairman of GS Bank USA, the firm'sholding company, in September 2008.

Jon Corzine

Government:Governor of New Jersey from 2006-2010; U.S. Senator from 2001-2006where he served on the Banking and Budget Committees.

Goldman: Former Goldman CEO. Worked at Goldman from 1975-1998.

Gavyn Davies

Government: Former chairman of the BBC from 2001 -2004.

Goldman: Chief Economist at Goldman where he worked from 1986-2001.

Paul Dighton

Government: Chief executive of the London Operating Committee of the Olympic Games (LOCOG).

Goldman: Former COO of Goldman where he worked for 22 years beginning in 1983.

Mario Draghi

Government: Head [Governor] of the Bank of Italy since January 2006.

Goldman:Vice chairman and managing director of Goldman Sachs International anda member of the firm-wide management committee from 2002-2005.

William Dudley

Government: President Federal Reserve Bank of New York City (2009-present)

Goldman: Partner and Managing Director. Worked at Goldman from 1986-2007.

Steven Elmendorf

Government: Senior Advisor to then-House minority Leader Richard Gephardt.

Goldman: Now runs his own lobbying firm, where Goldman is one of his clients.

Dina Farrell

Government: Deputy Director, National Economic Council, Obama Administration since January 2009.

Goldman: Financial Analyst at Goldman Sachs from 1987-1989.

Edward C. Forst

Government: Advisor to Treasury Secretary, Henry Paulson in 2008.

Goldman: Former Global Head of the Investment Management Division at Goldman where he worked from 1994-2008.

Randall M. Fort

Government: Assistant Secretary of State for Intelligence and Research from November 2006-Jan 2009.

Goldman: Director of Global Security 1996-2006.

Henry H. Fowler

Government: Secretary of the Treasury from 1965-1968.

Goldman: After leaving the Treasury Department, Fowler joined Goldman Sachs in New York City as a partner.

Stephen Friedman

Government:Chairman of the President's Foreign Intelligence Advisory Board and ofthe Intelligence Oversight Board; Chairman Federal Reserve Bank of NewYork from 2008- 2009; former director of Bush's National EconomicCouncil. Economic Advisor to President Bush from 2002-2004.

Goldman: Former Co-Chairman at Goldman Sachs and still a member of their board. Joined Goldman in 1966

Gary Gensler

Government:Chairman of the U.S. Commodity Futures Trading Commission since 2009;Undersecretary to the Treasury from 1999 to 2001; Assistant Secretaryto the Treasury from 1997-1999.

Goldman: Former Co-head of Finance for Goldman Sachs worldwide. Worked at Goldman from 1979-1997.

Lord Brian Griffiths

Government: Head of the Prime Minister's Policy Unit from 1985 to 1990.

Goldman: International Advisor since 1991.

Jim Himes

Government:Congressman from Connecticut (on Committee on Financial Services) since2009. Goldman: Began working at Goldman in 1990 and was eventuallypromoted to Vice President.

Robert D. Hormats

Government:Under Secretary of State for Economic, Energy and AgriculturalAffairs-designate since July 2009; Assistant Secretary of State forEconomic and Business affairs from 1981 to 1982.

Goldman: ViceChairman of Goldman Sachs International and Managing Director ofGoldman Sachs & Co. He worked at Goldman Sachs from 1982-2009.

Chris Javens

Government: Ex-tax policy adviser to Iowa Senator Chuck Grassley.

Goldman: Now lobbies for Goldman.

Reuben Jeffery III

Government:Under Secretary of State for Economic, Business, and AgriculturalAffairs from 2007-2009; Chairman of the Commodity Futures TradingCommission from 2005-2007.

Goldman: Former Managing Partner of Goldman Sachs Paris Office. Worked at Goldman Sachs from 1983-2001.

Dan Jester

Government: Former Treasury Advisor.

Goldman: Former Goldman Executive.

James Johnson

Government: Selected to serve on Obama's Vice Presidential section committee but stepped down.

Goldman: Board of Director of Goldman Sachs since May 1999.

Richard Gephardt

Government: U.S. Representative (1977 to 2005);

Goldman:President and CEO, Gephardt Government Affairs (since 2007). Hired byGoldman to represent its interests on issues related to TARP.

Neel Kashkari

Government:Interim head, Treasury's Office of Financial Stability from October2008-May 2009; Assistant Secretary for International Economics(confirmed in summer 2008) Special assistant to Treasury SecretaryHenry Paulson from 2006-2008.

Goldman: Vice President at Goldman Sachs from 2002-2006.

Lori E Laudien

Government: Former counsel for the Senate Finance Committee in 1996-1997.

Goldman: Lobbyist for Goldman since 2005.

Arthur Levitt

Government: Chairman, SEC 1993-2001;

Goldman: Advisor to Goldman Sachs (June 2009- present).

Philip Murphy

Government: U.S. Ambassador to Germany since 2009.

Goldman: Former Senior Director of Goldman Sachs where he worked from 1983-2006.

Michael Paese

Government:Top Staffer to House Financial Services Committee Chairman BarneyFrank. Goldman: Director of Government Affairs/Lobbyist (2009)

Mark Patterson

Government: Treasury Department Chief of Staff since February 2009.

Goldman: Lobbyist for Goldman Sachs from 2003-2008.

Henry "Hank" Paulson

Government:Secretary of the Treasury from March 2006 to January 2009; White HouseDomestic Council, serving as Staff Assistant to the President from 1972to 1973; Staff Assistant to the Assistant Secretary of Defense at thePentagon from 1970 to 1972.

Goldman: Former Goldman Sachs CEO. Worked at Goldman from 1974-2006.

Romano Prodi

Government: Two time prime minister of Italy.

Goldman: From March 1990 to May 1993 and when not in public office, Mr. Prodi acted as a consultant to Goldman Sachs.

Steve Shafran

Government: Adviser to Treasury Secretary Henry Paulson.

Goldman: Worked at Goldman from 1993- 2000.

Sonal Shah

Government:Director, Office of Social Innovation and Civic Participation (April2009); advisory board member Obama-Biden transition Project; formerpreviously held a variety of positions in the Treasury Department from1995 to early 2002.

Goldman: Vice President 2004-2007.

Faryar Shirzad

Government:Served on the staff of the National Security Council at the White Housefrom March 2003 -August 2006; Assistant Secretary for ImportAdministration at the U.S. Department of Commerce in the BushAdministration.

Goldman: Global head of government affairs (Lobbyist) since 2006.

Robert K. Steel

Government:Under Secretary for Domestic Finance of the United States Treasury from2006-08. Goldman: Former Vice Chairman of Goldman Sachs where he workedfrom 1976-2004.

Adam Storch

Government: COO of the SEC's Enforcement Division (October 2009-present). He was 29 years old at the time of his appointment.

Goldman: Former Vice President at Goldman Sachs where he worked from 2004-2009.

Richard Y. Roberts

Government: Former SEC commissioner from 1990 to 1995.

Goldman: Now working as a principal at RR&G LLC, which was hired by Goldman to lobby on TARP.

Robert Rubin

Government: Treasury Secretary from 1995-1999; Chairman of the National Economic Council from 1993-1995.

Goldman: Former Co-Chairman at Goldman Sachs where he worked from 1966-1992.

John Thain

Government: CEO President of NYSE (2004-07)

Goldman: President and Co- Chief Operating Officer from 1999-2004.

Marti Thomas

Government:Assistant Secretary in Legal Affairs and Public Policy in 2000.Treasury Department as Deputy Assistant Secretary for Tax and Budgetfrom 1998-1999; Executive Floor Assistant to Dick Gephardt from1989-1998.

Goldman: Joined Goldman as the Federal Legislative Affairs Leader from 2007-2009.

Massimo Tononi

Government: Italian deputy treasury chief from 2006-2008.

Goldman: Former Partner at Goldman Sachs from 2004 - 2006.

Malcolm Turnbull

Government: Member of the Australian House of Representatives since 2004.

Goldman:Chairman and Managing Director, Goldman Sachs Australia from 1997-2001and Partner with Goldman Sachs and Co from 1998-2001.

Sidney Weinberg

Government:Served as Vice-Chair for FDR's War Production Board during World WarII. Goldman: Worked at Goldman from 1907-1969, eventually becoming CEOafter starting as a $3-a-week janitor's assistant.

Kendrick Wilson

Government: Advisor to Treasury Secretary Henry Paulson.

Goldman: Senior investment banker at Goldman where he worked from 1998- 2008.

Robert Zoellick

Government: President of the World Bank since 2007.

Goldman:Vice Chairman, International of the Goldman Sachs Group, and a ManagingDirector and Chairman of Goldman Sachs' Board of International Advisors(2006-07)

http://www.cbsnews.com/8301-31727_162-20001981-10391695.html