Goldman Sachs Pays $120M Penalty to Settle USD ISDAFIX Rigging Allegations

高盛集团（Goldman Sachs Group）和萨克斯（Sachs＆Co。增强其衍生品位置。USD ISDAFIX是全球基准，用于利率产品。它的利率和价差与基准相关，以获得利息掉期和相关衍生品，这反过来影响了数量或货币的每日市场利率。该国的许多地方和州政府以及养老基金都取决于USD ISDAFIX在对冲某些利率变动时确定的工具。

Now, the CFTC wants Goldman to not only pay the civil penalty but also to cease and desist from the violations charged. The regulator contends that multiple Goldman traders, including the firm’s Interest Rate Products Trading Group head in the US, were involved in the alleged misconduct.

CFTC表示，高盛通过其交易者从事涉及美国国债的交易，利率掉期价差和欧洲价值期货合约，专门旨在影响已发表的利率基准。据称，高盛还试图通过这些员工的行动进行钻机并对美元ISDAFIX进行虚假报告。这些所谓的行为是以客户和衍生工具对手为代价的。

作为解决方案的一部分，高盛将必须提供认证，以验证改进的内部控制和制定步骤的有效性，以确保公司能够识别并停止任何旨在驾驶交换费率的交易。CFTC希望高盛落后于更可靠的基准提交政策。

Goldman is not the first firm subject to penalties brought by the CFTC over alleged rigging involving ISDAFIX. Several months ago, Citibank (C) was ordered to pay a $250M penalty. The year before, Barclays (BARC) was told to pay a $115M penalty.

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The CFTC Order in the Goldman Case(PDF)

高盛称为不当行为的例子(PDF)