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SEC要盯死ICO?加密货币对冲基金也‘在劫难逃’

自去年以来,加密货币基金呈现出快速发展趋势,而这也“成功”引起了美国证券交易委员会(后文简称SEC)的注意。

近日,SEC向几家加密货币对冲基金机构发出了信息质询请求,要求了解这些机构如何对加密货币投资进行定价以及其是否符合客户资金保护规定。

部分信息质询要求是由SEC合规检查办公室发出的,一旦发现违规行为,他们会上报给该机构执法部门。

事实上,有一些加密货币对冲基金已经收到了SEC执法部门的传票,而后者有权做出处罚决定。

此外,SEC还希望能够了解到对冲基金是否公开了潜在的利益冲突,比如基金经理是否以个人名义持有ICO代币。至少有一家对冲基金在传票中明确表示其已经投资ICO。另外,SEC执法部门的律师还询问了投资银行处理代币销售的状况。很明显,SEC是担心有公司通过SAFTs(未来代币简单协议)来规避ICO监管。

近期,SEC一直都在密切关注ICO。几周之前,SEC已经向ICO领域的公司出具传票。

The SEC has reportedly summoned the managers of several cryptocurrency-focused hedge funds. This sector has been rapidly growing over the past year and the American regulators apparently want to make sure they have a handle on the situation and to ensure that funds are not going to fields they disapprove of such as ICOs.

SEC Enforcement

The US Securities and Exchange Commission (SEC) has sent requests for information as well as subpoenas to a number of cryptocurrency hedge funds recently. The regulators demanded to know how funds priced investments in cryptocurrencies and about their compliance with client money protection requirements, three sources who asked to remain anonymous told Bloomberg.

Some of the information requests were issued by the SEC Office of Compliance Inspections and Examinations, which can refer its findings to the agency’s enforcement unit if it finds any misconduct. In fact, a number of crypto hedge funds have already received subpoenas from the SEC’s Enforcement Division, which can penalize companies if it decides it is needed. “The SEC has taken a very deliberate approach in this space,” said Peter Van Valkenburgh, director of research at Coin Center, a Washington-based advocacy group. “I think they are just trying to get a handle on the large ecosystem.”

ICOs Are the Target or the Excuse?

The SEC has also requested to know if the hedge funds have properly disclosed any potential conflicts of interest, for example their managers having personal holdings in initial coin offerings (ICOs). And at least one of subpoenas for the hedge funds was specifically about its investment in an ICO. In another case, SEC enforcement attorneys interrogated investment banks about their dealings with token sales. The agency was also apparently concerned with companies using Simple Agreements for Future Tokens (SAFTs) to bypass ICO regulations.

ICOs have been in the sights of the SEC recently and they are supposedly to blame for the agency’s new-found interest in crypto hedge funds. A couple of weeks ago it was revealed that the SEC had issued scores of subpoenas against companies in the field.


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