Leucadia National解决了联邦交易委员会指控

汇商资讯 6年前 (2015) admin
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因违反有关KCG抽资的兼并报告规则,该公司同意支付24万民事罚款
Leucadia National(纽交所名称:LUK)解决了联邦贸易委员会对公司的指控,在公司持有KCG股份兼并Knight Capital和GETCO Holding后未能提交详细报告。
追溯到2012年,纽约交易商Jefferies,帮助经纪人从Knight Capital抽资4亿美元,Knight Capital正遭受电脑系统故障,该故障引发了美国股票市场订单爆仓。
2012年11月,Jeffries最大的股东,Leucadia National宣布与一家交易商合并。
在Knight Capital和GETCO Holding兼并的时候,由于获得了1650万股的投票权,Leucadia National获得了1.73亿美元的股份。
根据联邦贸易委员会(FTC)的指控,该公司因为违反联邦兼并报告要求,未能获得在Knight Capital Group, Inc.的利润。
从1976年开始,FTC一直在参考罗蒂诺(HSR)法案,美国反托拉斯法的修改时,各方交易到达临界值时必须通知联邦贸易委员会和司法部,这会对某些国家的企业造成影响。
在Leucadia National未能提交交易报告的时候,是因为它被认为是合格的机构投资者,有豁免资格。2014年9月,在罗蒂诺法案下承认交易是应该上报的,公司对申请做出了纠正。
该公司在2007年已经违反了HSR法案,这就促使联邦贸易委员会对其进行民事罚款。
 
Leucadia National Settles Federal Trade Commission Charges
The company agreed to pay $240,000 in civil monetary penalties related to a violation of pre merger reporting rules related to KCG bailout
Leucadia National (NYSE:LUK) has settled charges with the Federal Trade Commission for failing to adequately report its ownership in KCG Holdings after the merger between Knight Capital and GETCO Holding.
Back in 2012, New York based brokerage Jefferies, helped broker a $400 million bailout deal for Knight Capital, which suffered from a computer system glitch which caused the company to flood U.S. equity markets with orders.
In November 2012, the largest shareholder of Jeffries, Leucadia National (NYSE:LUK) has announced its merger with the brokerage.
At the time of the merger between Knight Capital and GETCO Holding, Leucadia National (NYSE:LUK) acquired a stake totaling about $173 million due to it holding 16.5 million voting shares in Knight Capital.
According to the Federal Trade Commission (FTC) allegations, the firm has therefore violated federal pre-merger reporting requirements by failing to report the conversion of its ownership interest in Knight Capital Group, Inc..
The FTC is referring to the Hart-Scott-Rodino (HSR) Act, which has been in force since 1976, when antitrust laws in the United States were modified so that parties must notify the FTC and the Department of Justice of transactions above certain nominal thresholds, that are affecting certain businesses in the country.
At the time Leucadia National (NYSE:LUK) has failed to report the transaction, because it considered to be qualified for an exemption applicable to institutional investors. The company has made a corrective filing in September 2014, after conceding that the deal was reportable under the HSR Act.
The company has already violated the HSR Act in 2007, which made the FTC seek a civil monetary penalty this time around.

 
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