感受一下SEC对加密圈的执法力度

币圈资讯 阅读:50 2024-04-22 12:50:55 评论:0
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美国SEC在美国东部时间11月14日公布了2023财年执法结果。报告显示,SEC共提起784项执法行动,比2022年增加3%。执法行动共产生49.49亿美元的罚款,仅次于2022年的64亿美元,为历史第二高。SEC表示,2023财年是执法工作富有成果的一年。其所重点调查的案件涉及加密货币、网络安全、上市公司虚假陈述以及市场操纵等领域。

SEC的报告还很详细的帮我们分好了违法行为类别,以下是加密相关内容的原文翻译:

2023财年是美国证券交易委员会与加密资产证券相关的执法工作的又一个高效和有影响力的一年。在2023财年,该部门建议采取执法行动,应对加密资产证券领域的一系列涉嫌不当行为,包括数十亿美元的加密欺诈计划、未注册的加密资产发行、平台和中介机构,以及非法名人兜售。

欺诈

在2023财年,该部门的调查导致了诉讼指控,指控大量加密欺诈,包括对Terraform Labs及其创始人Do Kwon;Richard Heart和他控制的三个实体:Hex, PulseChain,和 PulseX;FTX首席执行官塞缪尔·班克曼-弗里德和其他FTX高管。

作者瞎评:骗子都抓了,所以牛市要来?(要闹成这个动静才会被抓?)

未注册的发售

不遵守联邦证券法的登记规定,使投资者剥夺了做出知情投资决定所需的必要披露权。

该部门的调查导致许多公司被指控通过加密资产贷款和/或托管项目提供未注册证

券,包括 Genesis/Gemini, Celsius, Kraken 和Nexo。Kraken公司和Nexo公司同意停止他们未注册的产品。Kraken还同意支付3000万美元的民事罚款、解除赔偿和预审利息,Nexo同意支付2250万美元的民事罚款。

此外,在2023财年,SEC对不可替代代币(NFTs)的发行者提起了首次诉讼。根据该部门的调查和建议,SEC指控Impact Theory有限责任公司和Stoner Cats 2 LLC以所谓的nft的形式非法发行未注册的加密资产证券。

作者瞎评:要是举报能分钱,加密行业可能药丸。

未注册的交易所和其他中介机构

加密中介机构——无论它们自称是集中式还是分散式——通常提供一套服务,在其他证券市场中,这些服务通常是彼此分开的:交换功能、经纪自营商功能、托管和清算功能。加密中介机构内部各种功能的混合给投资者带来了固有的利益冲突和风险。

美国证券交易委员会在2023财年采取了一系列执法行动,应对加密资产中介领域所谓的猖獗违规行为,包括针对Beaxy、比特币、比安斯和联合贝的行动。

作者瞎评:香港可以抄作业了,否则持牌机构太亏

兜售

美国证券交易委员会在几起案件中采取行动,据称“影响者”非法兜售加密资产证券,但没有披露他们得到了补偿,这剥夺了投资者了解名人对这些证

券的宣传是否有偏见的必要信息。例如,NBA名人堂成员保罗·皮尔斯和媒体名人金·卡戴珊同意分别支付总计135万美元和126万美元的民事罚款、解除罚款和预审利息,以了结他们在没有披露晋升报酬的情况下兜售加密资产证券的指控。美国证券交易委员会还指控名人林赛·罗韩、杰克·保罗、米歇尔·梅森(Kendra Lust)、迈尔斯·帕克斯·麦科勒姆(Lil Yachty)、谢弗·史密斯(Ne-Yo)、阿里恩·蒂亚姆(Akon)、德安德斯·科尔特斯(Soulja Boy)和奥斯汀·马宏非法兜售加密资产证券,但未披露为此得到补偿。除了科尔特斯·路和马宏之外,所有人都解决了这些指控。

作者瞎评:和大陆解决P2P如出一辙,名人代言要小心呀~


The United States released a report on the results of law enforcement in the fiscal year on, eastern time, showing that a total of enforcement actions were filed, which resulted in a total fine of $ billion, which was the second highest in history after $ billion in, indicating that the fiscal year was a fruitful year for law enforcement. The cases it focused on involved cryptocurrency, network security, false statements of listed companies and market manipulation, and the reports also helped us to classify the categories of illegal acts in detail. The following is the original translation of encryption-related content in the fiscal year. It is another efficient and influential year for the US Securities and Exchange Commission to enforce the law related to encrypted asset securities. In the fiscal year, the department suggested to take enforcement actions to deal with a series of suspected misconduct in the field of encrypted asset securities, including billions of dollars of encrypted fraud schemes, unregistered encrypted asset distribution platforms and intermediaries, and illegal celebrities peddling fraud. In the fiscal year, the investigation of the department led to litigation charges, accusing a large number of encrypted fraud, including its founder and three companies he controlled. Three entities and CEO Samuel Bankmann Fried and other senior executives have all been arrested for making false comments, so the bull market will only be caught if it makes such a noise. Unregistered sales do not comply with the registration requirements of the federal securities law, which deprives investors of the necessary disclosure rights for making informed investment decisions. The investigation of this department has led many companies to be accused of providing unregistered securities through encrypted asset loans and or custody projects, including agreeing with companies and companies to stop their unregistered products and agreeing to pay. In addition, in the fiscal year, the first lawsuit was filed against the issuer of irreplaceable tokens. According to the investigation and suggestions of the department, the author accused the limited liability company and illegally issued unregistered encrypted assets securities in the so-called form. If he reported that the encryption industry could divide the money, the unregistered exchanges and other intermediaries might be charged, regardless of whether they claimed to be centralized or decentralized. For a set of services in other securities markets, these services are usually separated from each other, such as exchange function, broker-dealer function, custody function and clearing function. The mixing of various functions within encryption intermediaries has brought inherent conflicts of interest and risks to investors. The US Securities and Exchange Commission took a series of enforcement actions in fiscal year to deal with the so-called rampant violations in the field of encryption asset intermediaries, including actions against Bitcoin Biance and United Bay. The author made a blind comment that Hong Kong can copy its operations, otherwise the licensed institutions will be unable to do so. The Securities and Exchange Commission of the United States took action in several cases. It was alleged that the influencers illegally peddled encrypted assets securities without disclosing that they were compensated, which deprived investors of the necessary information to know whether celebrities' propaganda on these securities was biased. For example, Paul Pierce, a member of the Hall of Fame, and Kim Kardashian, a media celebrity, agreed to pay a total of $10,000 and $10,000 respectively to lift the fine and pre-trial interest to end them selling encryption without disclosing their promotion remuneration. Allegations of Asset Securities The US Securities and Exchange Commission also accused celebrities Lindsay Rowan, Jack Paul Michelle Mei Sen Myers Parks, mccollum Schaefer Smith, Arrien Thiam de Anders Cortez and Austin Mahone of illegally selling encrypted asset securities, but did not disclose that they were compensated for this. Everyone except Cortez Road and Mahone has solved these allegations. The author's blind comments are exactly the same as those of the mainland. Be careful with celebrity endorsements. 比特币今日价格行情网_okx交易所app_永续合约_比特币怎么买卖交易_虚拟币交易所平台

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