b****a
发帖数: 4465 | 1 (Reuters) - U.S. securities regulators have accused two former Capital One
Financial Corp data analysts with engaging in insider trading based on sales
data the credit card issuer had collected from millions of its customers.
The U.S. Securities and Exchange Commission on Wednesday filed a lawsuit in
federal court in Philadelphia against Bonan Huang and Nan Huang, saying the
analysts used the nonpublic data to trade in the shares of consumer retail
companies ahead of sales and earnings reports.
The lawsuit said from November 2013 to January 2015, the two analysts, who
had access to the data as fraud investigators, made hundreds, if not
thousands, of keyword searches for sales data on at least 170 publicly
traded companies.
The SEC said the two employees were able to analyze the data to determine if
a company's sales were increasing or decreasing on a periodic basis.
Bonan Huang, 32, and Nuan Huang, 36, frequently saved the data on Capital
One's computers, designating companies such as Apple Inc by their ticker
symbol, the complaint said.
The SEC said that from January 2012 to January 2015, the analysts made $2.83
million through share trading for a three-year return of 1,819 percent.
Trades in some of the retailers were done using put options and call options
, the SEC said.
Lawyers for Bonan Huang, a Chinese national residing in Glen Allen, Virginia
, and Nan Huang, a resident of Richmond, Virginia, could not be identified
and attempts to contact them were unsuccessful.
Besides Apple, the lawsuit does not identify other stocks by name, though it
said they included an outdoor sporting goods company, a fashion accessories
retailer, and a seller of "fast-casual" food.
Redacted press releases by those companies filed in federal court match ones
originally issued by Cabela's Inc, Coach Inc, and Chipotle Mexican Grill
Inc.
The SEC lawsuit largely avoided referring to Capital One by name, calling it
a large credit card issuer. But the complaint, on one page, referred by
name to Capital One, which fired the analysts on Jan. 16.
"We have been working closely with the SEC on this investigation, which
involves two former employees," said Tatiana Stead, a Capital One spokesman.
A federal judge on Wednesday signed a temporary restraining order freezing
the brokerage and bank account assets of the two former staff members, court
records show.
The case is Securities and Exchange Commission v. Huang, U.S. District Court
, Southern District of New York, No. 15-269.
(Reporting by Nate Raymond in New York; Editing by Bernadette Baum) |
c*****g
发帖数: 21627 | 2 Mosaic theory
通过nonmaterial信息进行分析，是合法合乎道德的
他们这事，和
老邱在数垃圾箱里面的可乐瓶子决定是不是要买可口可乐的股票，
性质完全一样。 |
d********t
发帖数: 9628 | 3 第一是material info，否则不会赚钱。第二是nonpublic，否则干嘛要用公司的。
【在 c*****g 的大作中提到】
: Mosaic theory
: 通过nonmaterial信息进行分析，是合法合乎道德的
: 他们这事，和
: 老邱在数垃圾箱里面的可乐瓶子决定是不是要买可口可乐的股票，
: 性质完全一样。
|
x****o
发帖数: 21566 | 4 不懂别瞎说
【在 c*****g 的大作中提到】
: Mosaic theory
: 通过nonmaterial信息进行分析，是合法合乎道德的
: 他们这事，和
: 老邱在数垃圾箱里面的可乐瓶子决定是不是要买可口可乐的股票，
: 性质完全一样。
|
c*****g
发帖数: 21627 | 5 第一个不是material info
赚钱不赚钱不是判断是否是material info的关键
像在这个case里面，
capital one只是霉国诸多payment bank的一家
因此通过capital one走过的销量只是所有销量的一小部分
因此与上市公司自己统计出来的，100%准确的revenue有很大差距
这就好比老邱 ，从雪城一个垃圾场数瓶子，无法得出霉国全国的可口可乐销售数据，
是一个道理
第二个，non public info
non public info在nonmaterial下是可以的
比如老邱，他的瓶子的数据，也是non public的
【在 d********t 的大作中提到】
: 第一是material info，否则不会赚钱。第二是nonpublic，否则干嘛要用公司的。
|
c*****g
发帖数: 21627 | 6 你估计连mosaic theory都不懂，继续杀你的小白鼠吧
【在 x****o 的大作中提到】
: 不懂别瞎说
|
d********t
发帖数: 9628 | 7 哈哈哈，哥N年前考CFA就知道mosaic。如果是mosaic他们怎么会用雇主的数据？
你就别不懂装懂了。
【在 c*****g 的大作中提到】
: 你估计连mosaic theory都不懂，继续杀你的小白鼠吧
|
c*****g
发帖数: 21627 | 8 哈哈哈，雇主不雇主不是关键
老邱如果被回收公司雇佣，捡瓶子也是雇主的数据啊。别人也一样拿不到啊。
【在 d********t 的大作中提到】
: 哈哈哈，哥N年前考CFA就知道mosaic。如果是mosaic他们怎么会用雇主的数据？
: 你就别不懂装懂了。
|
x****o
发帖数: 21566 | 9 我连白鼠摸都没摸过，怎么杀？你是在比喻什么？
【在 c*****g 的大作中提到】
: 你估计连mosaic theory都不懂，继续杀你的小白鼠吧
|
d********t
发帖数: 9628 | 10 你就满嘴喷粪吧。雇主的数据最关键。Mosaic是指我用public的数据自己分析得到别人
nonpublic一样的结果不违反。这件事里的老中直接用公司nonpublic info很明显是违
法，哪怕这些数据市场上也能买到。
【在 c*****g 的大作中提到】
: 哈哈哈，雇主不雇主不是关键
: 老邱如果被回收公司雇佣，捡瓶子也是雇主的数据啊。别人也一样拿不到啊。
|
|
|
c*****g
发帖数: 21627 | 11 官方定义：
Mosaic theory involves collecting public, * non-public and non-material*
information about a company in order to determine the underlying value of
the company's securities and to enable the analyst to make recommendations
to clients based on that information.
non-public是可以作为mosaic，前提是nonmaterial
你要反驳我，可以在material or nonmaterial上argue
你如果坚持这一点，实际上还是可以argue一下的，
但你要说non-public info无法作为mosaic的一部分，相当于你自己把脸伸过来让我猛抽
【在 d********t 的大作中提到】
: 你就满嘴喷粪吧。雇主的数据最关键。Mosaic是指我用public的数据自己分析得到别人
: nonpublic一样的结果不违反。这件事里的老中直接用公司nonpublic info很明显是违
: 法，哪怕这些数据市场上也能买到。
|
g*******i
发帖数: 258 | 12 why don't you save your time and energy, and be the lawyer of the two
analysts?
猛抽
【在 c*****g 的大作中提到】
: 官方定义：
: Mosaic theory involves collecting public, * non-public and non-material*
: information about a company in order to determine the underlying value of
: the company's securities and to enable the analyst to make recommendations
: to clients based on that information.
: non-public是可以作为mosaic，前提是nonmaterial
: 你要反驳我，可以在material or nonmaterial上argue
: 你如果坚持这一点，实际上还是可以argue一下的，
: 但你要说non-public info无法作为mosaic的一部分，相当于你自己把脸伸过来让我猛抽
|
e****n
发帖数: 2022 | 13 why dont you get the fuck out of this thread?好好的讨论问题就有傻逼进来嘲讽
打岔。日完你妈了中场休息？
【在 g*******i 的大作中提到】
: why don't you save your time and energy, and be the lawyer of the two
: analysts?
:
: 猛抽
|
c*****g
发帖数: 21627 | 14 你这不是自相矛盾吗？
lawyer参与诉讼，至少要准备几百页的legal doc，
那根本不是“save time and energy”，而是花大量的时间和energy
看看你们这些反驳我的人，并不是因为你们持有相反观点，
而是因为你们看我不顺眼而已
这世界上看我不顺眼的人多了，外F们都看我不顺眼，天天穿马甲找碴呢
不过你有一点是对的，
你们这群反对我的人智商如此之低，反驳是如此无厘头，简直是在污辱我的品味
【在 g*******i 的大作中提到】
: why don't you save your time and energy, and be the lawyer of the two
: analysts?
:
: 猛抽
|
h*******u
发帖数: 15326 | 15 三年18倍，直接就被sec程序锁定了
sales
in
the
【在 b****a 的大作中提到】
: (Reuters) - U.S. securities regulators have accused two former Capital One
: Financial Corp data analysts with engaging in insider trading based on sales
: data the credit card issuer had collected from millions of its customers.
: The U.S. Securities and Exchange Commission on Wednesday filed a lawsuit in
: federal court in Philadelphia against Bonan Huang and Nan Huang, saying the
: analysts used the nonpublic data to trade in the shares of consumer retail
: companies ahead of sales and earnings reports.
: The lawsuit said from November 2013 to January 2015, the two analysts, who
: had access to the data as fraud investigators, made hundreds, if not
: thousands, of keyword searches for sales data on at least 170 publicly
|
D********n
发帖数: 1595 | |
N***N
发帖数: 698 | 17 这个BBS上那些经常BSO一年赚近百万的是不是很多干这些事的啊。 |
