最有看点的互联网金融门户

最有看点的互联网金融门户
国际资讯监管与政策

SEC正在扩大其在整个数字资产行业的执法力度

近日,美国证券交易委员会(SEC)正在加强其在数字资产行业的执法力度,将其重点扩展到包括数字资产经纪人和投资公司。

9月11日,美国证券交易委员会对加密资产管理公司TokenLot LLC及其负责人未能注册为投资公司等公司处以罚款。

据悉,这是美国证券交易委员会首次针对数字资产对冲基金采取执法行动。同一天,美国证交会宣布与Token Lot达成和解。不过Token Lot目前是一家已倒闭的数字资产卖家。

根据美国证券交易委员会的说法,Token Lot出售的是数字资产证券,而且该企业是未能注册成为加密货币交易经纪商。这是SEC首次与一家未注册的数字资产经纪交易商达成和解。

与此同时,金融业监管局(FINRA)也涉足了该行业。它在9月11日发布了第一起涉及加密货币的纪律处分。

这一系列行动强调了SEC当前的态度,即通过IC0出售的数字资产将被视为一种证券。因此,联邦证券法适用于此类代币的后续销售。

FINRA的纪律处分表明该机构正在效仿SEC。而数字资产发行者似乎不再是唯一注意联邦证券法的实体团队。今后,对数字资产感兴趣的投资公司和经纪自营商需要认真遵循美国证交会不断提出的要求,以确保遵守证券法。

据鸵鸟区块链 9月21日报道,美国证券交易委员会执法部门联合主任Stephanie Avakian在美国时间9月20日的一次演讲中提到,监管机构很有可能会对那些未遵循IC0注册要求的人和企业提出“更为具体的补救措施”。

根据美国证交会网站上公布的演讲稿,Avakian阐述了在监管方面做出决策时所遵循的具体原则,然后深入探讨了证交会将如何处理IC0和加密货币资产领域的不当行为。

在演讲中,Avarkian提到了IC0的新颖性和基础区块链的实用性,这使得与这些类型相关的产品激起了某些投资者的兴趣。

然而,她认为,IC0市场的繁荣可能是为了掩盖其背后的投资具有高风险,因为它们可能是缺乏可行性的产品、有缺陷的商业模式,又或者是一场彻头彻尾的欺诈。

The Securities and Exchange Commission (“SEC” or “Commission”) is ramping up its enforcement efforts in the digital asset industry, expanding its focus to include digital asset brokers and investment companies. On September 11, the Commission issued an order against a digital asset hedge fund and announced a settlement with a self-described “ICO superstore” for violating federal securities laws. The Commission fined Crypto Asset Management LP and its principal for failing to register as an investment company, among other things. According to the SEC, Crypto Asset Management, which trades digital assets exclusively, is an investment company pursuant to the Investment Company Act because it “invest[s], reinvest[s], own[s], hold[s] or trad[es] in securities.”

This enforcement action was the Commission’s first against a digital asset hedge fund. On the same day, the SEC announced a settlement with TokenLot, a now defunct seller of various digital assets, including those sold in initial coin offerings (“ICOs”). TokenLot, according to the Commission, sold digital asset securities but failed to register as a broker-dealer. This settlement was the SEC’s first with an unregistered broker-dealer of digital assets. The Financial Industry Regulatory Authority (“FINRA”) is wading into the industry as well. It filed its first disciplinary action involving cryptocurrencies also on September 11. In its complaint, FINRA accused a former securities broker of committing securities fraud by selling investors “HempCoin” under the false pretenses that each HempCoin gave the purchaser equity ownership in Rocky Mountain Ayre, Inc.

These actions underscore the SEC’s (apparent) current view that a digital asset sold through an ICO is a security; therefore, federal securities law applies to subsequent sales of such tokens, at least until their underlying network becomes sufficiently decentralized. FINRA’s disciplinary action signals that it is following suit. It appears that digital asset issuers are now no longer the only entity that must be mindful of federal securities laws. Moving forward, investment companies and broker-dealers interested in digital assets will need to carefully follow the SEC’s evolving view to ensure they comply with securities laws.


用微信扫描可以分享至好友和朋友圈

扫描二维码或搜索微信号“iweiyangx”
关注未央网官方微信公众号,获取互联网金融领域前沿资讯。

发表评论

发表评论

您的评论提交后会进行审核,审核通过的留言会展示在下方留言区域,请耐心等待。

评论

您的个人信息不会被公开,请放心填写! 标记为的是必填项

取消

SEC重审比特币ETF,10月26号前将集齐各方意见

Wendy | 巴比特资讯 10-06

SEC主席拒绝更新加密货币监管标准,遭多名国会议员联名抗议

Kate Roone... 09-30

SEC:别以为用区块链就不必遵守会计准则

区块科技研究与监管 09-20

欧洲央行:现金需求量依然很大,暂不考虑发行数字货币

William Su... 09-17

欧盟委员会将数字货币交易纳入数字支付欺诈监管范畴

高旭 09-13

版权所有 © 清华大学五道口金融学院互联网金融实验室 | 京ICP备17044750号-1