| 送交者: icemessenger[♂☆★★★SuperMod★★★☆♂] 于 2023-06-06 1:01 已读 1500 次 1 赞 | icemessenger的个人频道 |
SEC Says Binance Misused Customer Funds, Ran Illegal Crypto Exchange in U.S.
美国证券交易委员会周一起诉全球最大的加密货币交易所币安，指称这家海外公司在美国经营一个非法交易平台以及对客户资金处理不当。
币安创始人兼控股股东赵长鹏。 The Securities and Exchange Commission on Monday sued Binance, the world’s largest cryptocurrency exchange, alleging the overseas company operated an illegal trading platform in the U.S. and misused customers’ funds. 6park.com
美国证券交易委员会(Securities and Exchange Commission, 简称SEC)周一起诉全球最大的加密货币交易所币安(Binance)，指称这家海外公司在美国经营一个非法交易平台以及对客户资金处理不当。 6park.com
SEC的诉讼还将币安创始人兼控股股东赵长鹏列为被告。SEC表示，币安和赵长鹏对客户资金处理不当，并将其转移到赵长鹏控制的一个交易实体。SEC说，该交易公司Sigma Chain从事欺诈性交易，虚增币安的交易量。 6park.comThe SEC lawsuit also named Changpeng Zhao, Binance’s founder and controlling shareholder, as a defendant. The SEC said that Binance and Zhao misused customers’ funds and diverted them to a trading entity that Zhao controlled. That trading firm, Sigma Chain, engaged in manipulative trading that made Binance’s volume appear larger than it actually was, the SEC said. 6park.com 6park.comSEC称，币安还隐瞒了将数以十亿美元计的客户资产混合在一起，并转移至赵长鹏拥有的第三方公司Merit Peak的行为。《华尔街日报》(The Wall Street Journal)去年曾报道，SEC正在调查币安2019年设立的美国业务Binance.US与Sigma Chain和Merit Peak之间的关联。 6park.comBinance also concealed that it commingled billions of dollars in customer assets and sent them to a third-party, Merit Peak, which was owned by Zhao, the SEC alleged. The Wall Street Journal reported last year that the SEC was examining the relationship between Binance.US, the U.S. arm created in 2019, and Sigma Chain and Merit Peak. 6park.com
“这将是一个具有里程碑意义的案件，”Haynes and Boone LLP合伙人、前SEC丹佛办公室负责人Kurt Gottschall说。“SEC似乎非常关注客户资金混用问题。 ” 6park.com“This will be a landmark case,” said Kurt Gottschall, a partner at Haynes and Boone and former head of the SEC’s Denver office. “The SEC appears to be very concerned about the commingling of customer funds.” 6park.com
SEC在哥伦比亚特区的联邦法院提起诉讼。该机构在其法庭诉状中称，币安“公然无视联邦证券法以及这些法律提供的投资者和市场保护”。 6park.comThe SEC filed the case in federal court in the District of Columbia. Binance engaged in “blatant disregard of the federal securities laws and the investor and market protections these laws provide,” the agency wrote in its court complaint. 6park.com
SEC引用币安首席合规官在2018年的话说，“哥们儿，我们现在以该死的无牌证券交易所身份在美国运营。” 6park.comThe SEC quoted Binance’s chief compliance officer as saying in 2018, “we are operating as a fking unlicensed securities exchange in the USA bro.” 6park.com
根据《华尔街日报》看到的文件，美国监管机构多年来一直在关注币安的动向，SEC和司法部在2020年末向币安美国子公司发出传票。过去一年，在包括币安大型竞争对手FTX在内的一众加密货币公司倒闭后，官员们加大了执法力度。 6park.comU.S. regulators have been circling Binance for years, with the SEC and the Justice Department sending subpoenas to its U.S. arm in late 2020, according to documents viewed by the Journal. Officials have ramped up enforcement efforts over the past year, after the collapse of numerous crypto companies, including one of Binance’s biggest rivals: FTX. 6park.com
这起诉讼加剧了币安面临的美国监管机构和执法部门的压力。美国商品期货交易委员会(Commodity Futures Trading Commission, 简称CFTC)今年3月份表示，币安和赵长鹏规避了该机构的规定；这些规定涉及向美国交易员提供衍生品的平台。据知情人士透露，币安识别洗钱行为的项目也面临美国司法部的调查。 6park.comThe lawsuit adds to Binance’s challenges with U.S. regulators and law enforcement. The Commodity Futures Trading Commission alleged in March that Binance and Zhao evaded that agency’s rules, which cover platforms that offer derivatives to American traders. Binance also faces a Justice Department investigation over its program to detect money laundering, according to people familiar with the matter. 6park.com
SEC的诉状要求联邦法官冻结币安资产，并指定一名接管人。接管人通常是一名外部律师或其他专业人士，被赋予对该公司的控制权。接管人将获得授权追踪和保护用户的资产。 6park.comThe SEC’s court complaint asks a federal judge to freeze Binance’s assets and appoint a receiver, typically an outside lawyer or other professional who is given control of the company. The receiver is given the authority to track and preserve users’ assets. 6park.com
SEC通常会在涉及欺诈的案件中寻找接管人帮助，比如庞氏骗局，或者在监管机构不相信公司管理层会依法经营公司的情况下这么做。 6park.comThe SEC typically seeks receivers in cases that involve fraud, such as Ponzi schemes, or in which regulators don’t trust management to run a company in compliance with the law. 6park.com
SEC主席根斯勒(Gary Gensler)在一份书面声明中说：“赵长鹏和币安的实体参与了一个广泛的网络，这个网络充斥着欺骗、利益冲突、缺乏披露和蓄意逃避法律的行为。” 6park.comThe bar for a court ordering an asset freeze and receiver is high, said Marc Fagel, a former director of the SEC’s San Francisco office. Regulators must show a court they are likely to succeed in the case and require emergency action to prevent imminent harm to investors. “It would definitely be a challenge for them to get this,” Mr. Fagel said. 6park.com 6park.com币安首席战略官Patrick Hillmann对《华尔街日报》表示，币安没有出现用户大规模撤资的情况。 6park.comBinance hasn’t had any major outflows of user funds, Patrick Hillmann, Binance’s strategy chief, told the Journal. 6park.com
赵长鹏回应称：“我们的团队随时待命，确保包括提存款在内的系统稳定。”这里指的是客户可能会撤出资金。 6park.com“Our team is all standing by, ensuring systems are stable, including withdrawals and deposits,” Zhao said, referring to the possibility of customers pulling funds. 6park.com
币安在一份书面声明中说，打算捍卫自己的平台，并否认有关Binance.US平台的用户资产曾面临风险的指控。币安说，该公司最近曾与美国SEC协商和解，但SEC选择了起诉。 6park.comBinance said it intends to defend its platform and denied allegations that user assets on the Binance.US platform were ever at risk. It had recently been negotiating a settlement with the SEC but the regulator instead chose to sue, it said. 6park.com
币安表示：“币安和包括Binance.US在内的币安关联平台上的所有用户资产都是安全和有保障的，我们将针对任何声称币安平台上资产不安全的指控进行坚决辩护。” 6park.com“All user assets on Binance and Binance affiliate platforms, including Binance.US, are safe and secure, and we will vigorously defend against any allegations to the contrary,” the company said. 6park.com
Binance.US还表示，将针对SEC的起诉进行自我辩护。SEC的诉讼标志着针对币安美国业务发起的第一起联邦监管诉讼。CFTC针对的是币安在全球其他地区的实体。 6park.comBinance.US also said it would defend itself against the litigation. The SEC suit marks the first federal regulatory suit against Binance’s U.S. arm. The CFTC focused on the exchange’s global entities. 6park.com
SEC还称，币安出售的加密货币，包括BNB和BUSD，本应遵守投资者保护规则。根据CoinDesk的数据，BNB较24小时前下跌了7%以上，起诉消息宣布前为下跌2.5%。 6park.comThe SEC also alleged that Binance sold cryptocurrencies, including BNB and BUSD, that should have complied with investor-protection rules. The value of BNB fell more than 7% from the prior 24 hours, according to CoinDesk data. Before the announcement, it was down 2.5%. 6park.com
最大的加密货币比特币较24小时前下跌了4.5%，交易价格接近每个26,000美元。比特币被视为数字资产的一个风向标。 6park.comBitcoin, the largest cryptocurrency, fell 4.5% from its level 24 hours earlier to trade near $26,000 apiece. It is seen as a bellwether for digital assets. 6park.com
两家主要做市商的高管称，在SEC起诉币安后，他们正在想办法降低对币安的风险敞口。这两家公司都表示，这样的一个任务难度很大，因为币安控制着如此多的加密货币交易。做市商从事促成加密货币公司之间买卖的业务。 6park.comExecutives for two major market makers, which facilitate buying and selling between crypto firms, said they were seeking ways to reduce exposure to Binance after the lawsuit. Both said such a task was difficult because of Binance’s hold over so much crypto trading. 6park.com
币安成立于2017年，随后迅速成长为加密货币世界中的一个巨无霸。据数据提供商中科网联(CCData)的数据，截至上个月，超过40%的加密货币交易是通过该交易所进行的。在过去，币安有时会控制超过三分之二的加密货币交易。 6park.comFounded in 2017, Binance quickly grew to be a behemoth in the world of cryptocurrency. As of last month, more than 40% of all crypto trading took place through the exchange, according to data provider CCData. In the past, it has at times controlled more than two-thirds of crypto trading. 6park.com 6park.com币安的创始人赵长鹏是加密货币领域举足轻重的人物之一。他持有币安和Binance.US的多数股权。《华尔街日报》曾报道，虽然赵长鹏和高管们将Binance.US描绘成完全独立的公司，但这两家交易所有着千丝万缕的联系，混用人员和资金，并共用一个买卖加密货币的附属实体。 6park.comBinance’s founder, Zhao, is one of the biggest figures in crypto. He is the majority owner of Binance and Binance.US. While Zhao and executives portrayed Binance.US as fully independent, both exchanges were deeply intertwined, mixing staff and finances and sharing an affiliated entity that bought and sold cryptocurrencies, the Journal has reported. 6park.com
SEC称：“至少在2022年底之前，币安在赵长鹏的指示下，对客户在Binance.US平台上存放、持有、交易和/或积累的加密货币资产进行保管和控制。” 6park.com“Until at least the end of 2022, Binance, at Zhao’s direction, maintained custody and control of the crypto assets deposited, held, traded, and/or accrued by customers on the Binance.US platform,” the SEC said. 6park.com
SEC补充说，几乎所有在Binance.US交易所从事清算和交易结算的员工都在美国境外，主要在上海。《华尔街日报》此前报道过前Binance.US高管对这一安排表示担忧。 6park.comAlmost all of the employees working on clearing and trade settlement on the Binance.US exchange were based outside the U.S., primarily in Shanghai, the SEC added. The Journal previously reported former Binance.US executives raised concerns about the setup. 6park.com
SEC表示，截至本月，Binance.US的工作人员并不拥有对Binance.US资产的独家控制权。 6park.comAs of this month, Binance.US staffers didn’t have exclusive control of all Binance.US assets, the SEC said. 6park.com
SEC还称，早在2018年，赵长鹏和他的公司就试图规避SEC的规则，同时仍然允许重要的美国交易者使用该海外平台。 6park.comThe SEC also said that as early as 2018, Zhao and his company sought to evade the agency’s rules while still allowing important American traders to use the overseas platform. 6park.com 6park.comSEC说，币安曾协助大型交易者使用各种方法规避旨在阻止美国用户访问Binance.com的技术。赵长鹏还建立了Binance.US，这本应是一个为美国用户创建的独立实体。SEC说，实际情况是，赵长鹏和币安控制了该美国平台。 6park.comBinance assisted big traders with methods for circumventing technology designed to stop American users from accessing Binance.com, the SEC said. Zhao also set up Binance.US, which was supposed to be an independent entity created for U.S. users. Instead, Zhao and Binance controlled the U.S. platform, the SEC said. 6park.com
SEC的诉讼还指控称，多年来币安都缺乏控制措施来防止一种最基本的操纵性交易方式。据SEC称，2021年1月，Binance.US的用户仍有可能从事对敲交易(wash trading)；这种交易是指一名用户同时挂出一种资产的买单和卖单，并与自己进行交易。美国法律禁止对敲交易，因为这种交易可以被用来人为提高交易量并操纵价格。 6park.comThe SEC’s lawsuit also alleged that Binance for years lacked controls to prevent one of the most basic forms of manipulative trading. In January 2021, Binance.US users could still conduct wash trading—entering both buy and sell orders to trade with themselves, according to the SEC. U.S. law bans wash trading because it can be used to artificially boost volume and manipulate prices. 6park.com
根据上述SEC诉讼，2019年，币安的一位联合创始人在一条内部消息中写道，对敲交易主要是一个合规或监管问题。“如果一些美国合规或监管规定说我们必须防止这种情况，我们会的。否则我们不会。” 6park.comIn 2019, a Binance co-founder wrote in an internal message that wash trading “is mainly a compliance or regulation issue,” according to the SEC’s lawsuit. “If some US compliance or regulation says we must prevent this, we will. Otherwise we will not.” 6park.com
SEC说，Sigma Chain在Binance.US上进行了大量对敲交易。 6park.comSigma Chain conducted a lot of the wash trading on Binance.US, the SEC said. 6park.com
这起诉讼让人们对币安的运营方式及其盈利能力有了新的认识。该交易所一直不愿分享这部分与业务有关的内容，理由是币安是一家非上市公司。这份诉状称，2018年6月-2021年7月，币安累计获得了至少116亿美元的收入，主要是交易费收入。 6park.comThe lawsuit presents new insight into how Binance has operated and its profitability—parts of the exchange’s business that it has been reluctant to share, citing its status as a private company. Between June 2018 and July 2021, Binance earned at least $11.6 billion in revenue, mostly from transaction fees, the complaint said. 6park.com
对SEC来说，这起诉讼可谓又一次重大押注，押注的内容是美国法院将认可SEC对加密货币行业拥有管辖权；该行业经常对数字资产是证券的说法提出异议。SEC还起诉了加密货币交易所Bittrex，并告知美国最大的加密货币交易所Coinbase，计划对其采取执法行动。 6park.comFor the SEC, the lawsuit is another significant bet that U.S. courts will agree it has jurisdiction over the crypto industry, which often disputes that digital assets are securities. The SEC has also sued crypto exchange Bittrex and has told Coinbase, the largest U.S. crypto exchange, that it plans to take enforcement action against it. 6park.com
这起针对币安的诉讼称，该平台交易了10种属于证券的代币，因此在美国的出售和交易都是非法的。SEC所列代币名单包括数字资产Solana、Cardano和Polygon。根据CoinMarketCap的数据，这三种代币都位列市值前十大加密货币。 6park.comThe lawsuit against Binance alleges that its platforms traded 10 tokens that are securities, and thus were sold and traded illegally in the U.S. The SEC’s list includes digital assets known as Solana, Cardano and Polygon. All three rank in the top 10 cryptocurrencies by market value, according to CoinMarketCap. 6park.com
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