阿里巴巴接受美國(guó)證交會(huì)調(diào)查 Alibaba comes under investigation by SEC

Alibaba, the US-listed Chinese ecommerce group, is being investigated by the Securities and Exchange Commission for potential violations of US securities law.

在美國(guó)上市的中國(guó)電子商務(wù)集團(tuán)阿里巴巴(Alibaba)由于可能違反美國(guó)證券法正受到美國(guó)證交會(huì)(SEC)的調(diào)查。

SEC officials have asked the company to provide documents and other information relating to several aspects of its business, including its accounting for its Cainiao logistics business, its handling of related party transactions and its reporting of operating data from Singles Day, an unofficial Chinese holiday that is now marked by the biggest shopping frenzy in the global calendar.

SEC官員要求該公司提供與其多個(gè)業(yè)務(wù)方面相關(guān)的文件和其他信息，包括其菜鳥(niǎo)物流業(yè)務(wù)的會(huì)計(jì)、對(duì)關(guān)聯(lián)方交易的處理、以及“光棍節(jié)”運(yùn)營(yíng)數(shù)據(jù)的報(bào)告。“光棍節(jié)”是中國(guó)一個(gè)非官方節(jié)日，如今成了全球日歷上最大的購(gòu)物狂歡節(jié)。

The company said in its annual report, filed with the SEC on May 24, that it was voluntarily disclosing that the probe was taking place and was co-operating with investigators.

該公司在年報(bào)中(于5月24日提交SEC備案)稱，其主動(dòng)披露了SEC正在進(jìn)行調(diào)查以及它正在配合調(diào)查的情況。

Alibaba’s lawyers have provided regulators with the requested documents.

阿里巴巴的律師向監(jiān)管機(jī)構(gòu)提供了要求被查看的文檔。

SEC officials informed the company that the request for information did not indicate that “any violation of federal securities law has occurred”, Alibaba said, adding that it could not say when the matter would be resolved.

阿里巴巴表示，SEC官員通知該公司稱，要求提供信息并不意味著它“出現(xiàn)了任何違反聯(lián)邦證券法的行為”。它補(bǔ)充稱，不知道問(wèn)題何時(shí)才能解決。

Alibaba shares were down 3.9 per cent to $77.96 in morning trading in New York.

在紐約早盤交易中，阿里巴巴股價(jià)下跌3.9%，至77.96美元。

The internet retailer, which has annual revenue of $15.7bn, overcame several previous controversies to establish itself on US securities markets.

這家年?duì)I收157億美元的互聯(lián)網(wǎng)零售商之前克服了幾個(gè)爭(zhēng)議才進(jìn)入美國(guó)證券市場(chǎng)。

Its 2014 initial public offering raised $25bn, making it the largest in history.

阿里巴巴2014年進(jìn)行首次公開(kāi)募股籌集資金250億美元，使之成為史上規(guī)模最大的IPO。

The US-China Security Review Commission that year criticised Alibaba’s use of a structure called a “variable interest entity”, which is designed to circumvent China’s prohibition on foreign investment in industries such as internet and telecoms.

當(dāng)年，美中經(jīng)濟(jì)與安全審查委員會(huì)(US-China Economic and Security Review Commission)批評(píng)阿里巴巴利用了所謂“可變權(quán)益實(shí)體”的結(jié)構(gòu)——旨在避開(kāi)中國(guó)在互聯(lián)網(wǎng)和電信等行業(yè)禁止外國(guó)投資的規(guī)定。

The SEC has approved dozens of similarly structured China IPOs since 2000.

自2000年以來(lái)，SEC批準(zhǔn)了數(shù)十次類似結(jié)構(gòu)的中國(guó)企業(yè)IPO。

Alibaba was for several years on a US government list of companies implicated in the sale of pirated goods.

阿里巴巴多年來(lái)一直被列入美國(guó)政府編制的涉及出售盜版商品的企業(yè)名單。

But the company worked to eliminate such products from its online mall and escaped the annual listing of “notorious markets” in 2012.

但是，該公司一直在努力將此類商品從起在線商城中消除，并且在2012年逃過(guò)了“惡名市場(chǎng)”的年度名單。

Alibaba has beefed up its political operation in recent years.

近年來(lái)，阿里巴巴加強(qiáng)了政治運(yùn)作。

It is represented in the US capital by a lobbying firm headed by Ken Duberstein, Ronald Reagan’s former White House chief of staff.

在美國(guó)首都，它由一家由羅納德•里根(Ronald Reagan)前白宮幕僚長(zhǎng)肯•杜伯斯坦(Ken Duberstein)領(lǐng)導(dǎo)的游說(shuō)公司代表。

It also added a noted Republican communications professional, Jim Wilkinson, former Treasury department chief of staff, as head of international corporate affairs, based in San Francisco.

阿里巴巴還聘請(qǐng)著名的共和黨溝通專家、美國(guó)財(cái)政部前幕僚長(zhǎng)吉姆•威爾金森(Jim Wilkinson)擔(dān)任國(guó)際企業(yè)事務(wù)的負(fù)責(zé)人，常駐舊金山。

Mr Wilkinson worked for Treasury secretary Hank Paulson during the global financial crisis and earlier served as a senior adviser to secretary of state Condoleezza Rice.

在全球金融危機(jī)中，威爾金森成為時(shí)任財(cái)政部長(zhǎng)的漢克•保爾森(Hank Paulson)工作，此前曾擔(dān)任過(guò)前國(guó)務(wù)卿康多莉扎•賴斯(Condoleezza Rice)的高級(jí)顧問(wèn)。