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澳洲监管机构对ICO等新兴产品展开监测

9月7日,澳大利亚证券投资委员会(ASIC)对外公布了其2018-2022年整体工作计划,加密货币等新兴产业成为关注焦点。

根据ASIC对运营环境及其战略规划框架的理解,该监管机构已经列出了几个需要特别关注的领域。

ASIC发现了日益增长的数字经济环境以及金融服务和市场结构变化所带来的潜在危害。该监管机构便是,他们将持续关注如ICO和加密货币等新兴产品的危害、网络弹性、企业和市场对该方面技术的管理,以及由数字或基于网络机制促成的一些不良行为。

监管机构表示,他们正在研究一个新项目,旨在将市场规范应用到加密货币交易中。ASIC还在监测ICO等新兴产品,并对存在不良行为及对消费者和投资者有潜在危害的业务进行干预。

在早些时候,ASIC就在这个方向上做出了努力。2017年10月,澳大利亚证券和投资委员会(ASIC)推出了自己的ICO指南。

澳大利亚证券和投资委员会的指导方针在法律层面阐述了ICO的使用,这是基于代币的本质结构的,是基于安全或效用的,也就是说代币的销售分类是参照澳大利亚消费者法律的规定的。国家公司法案规定ICO架构的公司不提供金融产品。

4月3日的报道显示,澳大利亚国家金融情报部门AUSTRAC向数字货币交易服务提供商发出警示:新的AML/CTF(反洗钱/打击资助恐怖主义)义务今日起生效,交易服务提供商必须遵守一系列义务,包括:

  1. 坚持AML/CTF计划,以识别、减轻和管理洗钱和恐怖主义融资风险;
  2. 识别和验证客户身份;
  3. 向AUSTRAC报告可疑事项,包括涉及实物货币1万美元以上的交易;
  4. 保持一定的记录7年。

The Australian Securities & Investments Commission (ASIC) has earlier today published its Corporate Plan 2018-2022, with emerging products being in the focus of the regulator.

For 2018–19, the regulator has named several areas that need its particular attention – based on ASIC’s understanding of the operating environment and its strategic planning framework.

ASIC has identified potential harms from technology driven by the growing digital environment and structural changes in financial services and markets. The regulator says it will continue to focus on monitoring threats of harm from emerging products (e.g. ICOs and crypto currencies), cyber resilience, the adequate management of technological solutions by firms and markets, and misconduct that is facilitated by or through digital and/or cyber-based mechanisms.

The regulator says it is working on a new project and that it is developing its approach for applying the principles for regulating market infrastructure providers to crypto exchanges. ASIC is also monitoring emerging products, such as ICOs, and intervening where there is poor behaviour and potential harm to consumers and investors.

With regard to earlier efforts by ASIC in this direction, the regulator says it has formed internal cross-team working groups to better coordinate the work across ASIC on implementing new supervisory approaches – e.g. the new approach for regularly placing ASIC staff onsite in major financial institutions – and in relation to illegal phoenix activity, poor practices in the insurance sector, cryptocurrencies, corporate governance, older Australians, small business, and foreign financial service providers.

In April this year, the Australian regulator indicated it would be adopting a stricter stance on ICOs. ASIC Commissioner John Price warned about the opportunistic mood dominating in ICOs – including businesses or people looking to undertake an ICO because it is seen as an easy, low regulation and low cost option which could lead to immature businesses coming to market.

Let’s note that digital currency exchange businesses are required to register with Australia’s financial intelligence agency AUSTRAC. Under the new regulation, digital currency exchange (DCE) providers are required to:

  1. enroll and register with AUSTRAC;
  2. establish, implement and maintain an AML/CTF program, which sets the framework for businesses to comply with their obligations, including customer due diligence requirements;
  3. report threshold transactions and suspicious matters to AUSTRAC, and
  4. keep appropriate records.

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