Standard Chartered has warned that the Hong Kong regulator plans to take action that could have “financial consequences” for the emerging markets bank because of its role as a sponsor of an initial public offering in 2009.

渣打银行(Standard Chartered)警告称，由于自己在2009年一宗首次公开发行(IPO)中的保荐人角色，香港监管机构打算采取可能会对这家新兴市场银行造成“财务影响”的措施。

The warning from StanChart comes days after Switzerland’s UBS said it could face a temporary ban in Hong Kong from providing corporate finance services because of an investigation into its role as an IPO sponsor there.

渣打发出警告的几天前，瑞士的瑞银(UBS)表示，其可能被暂时禁止在香港提供企业金融服务，因为其在香港一宗IPO中的保荐人角色遭到调查。

Both probes are looking at the 2009 float of China Forestry Holdings, the only IPO to be co-sponsored by both banks that year, according to a person briefed on the regulator’s action.

知情人士表示，这两起调查都指向2009年的中国森林(China Forestry Holdings)上市，这是当年唯一一宗由这两家银行共同保荐的IPO。

Bill Winters, StanChart’s chief executive, declined to discuss the details of the investigations but said he expected a limited impact on the bank’s revenues as it had closed the institutional equities business that handles IPOs last year.

渣打首席执行官比尔•温特斯(Bill Winters)拒绝讨论调查的细节，但他表示，他预计渣打收入受到的冲击将是有限的，因为该行去年已关闭了负责IPO业务的机构股票部门。

The disclosure of a likely regulatory sanction in Hong Kong — one of StanChart’s biggest markets — came as the bank reported revenue declines across all its businesses and a drop in net profits in the third quarter. It warned that market conditions would “remain challenging”. Shares in the bank, which is listed in London but has most of its operations in Asia, the Middle East and Africa, fell 5.4 per cent.

香港是渣打的最大市场之一。此次披露自己可能在香港受到监管处罚之际，渣打财报显示，第三季度所有业务的收入都有所下降，净利润也有所下滑。渣打警告称，市场环境将“仍然具有挑战性”。渣打股价下跌了5.4%。该行在伦敦上市，但其业务集中在亚洲、中东和非洲。

Having suffered its first annual loss for more than a quarter of a century last year, StanChart said it returned to an underlying pre-tax profit with a gain of $458m in the three months to September. Revenues were down almost 6 per cent at $3.47bn, while operating expenses fell 7 per cent to $2.1bn.

去年，渣打录得了25年多以来第一次年度亏损。该行表示，其在今年第三季度的税前利润已恢复至4.58亿美元。营收下降近6%，至34.7亿美元，而营业费用下降7%，至21亿美元。

Mr Winters said: “We know there is more to do on the growth line. We have now stabilised that revenue. We are beginning to see some growth coming back into retail, private banking and coming back into wealth. ”

温特斯表示：“我们知道，还需要采取更多措施推动公司增长。我们现在已把收入稳定住了。我们开始看到，零售银行、私人银行和财富管理等业务恢复了部分增长。”

“Within their powers, they are doing all the right things,” said Hugh Young, Asia managing director at Aberdeen Asset Management, the third-biggest shareholder in StanChart.

渣打第三大股东安本资产管理(Aberdeen Asset Management)的亚洲董事总经理杨修(Hugh Young)表示：“他们正在尽力做一切正确的事情。”