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SEC下禁令,“去中心化投行”CoinAlpha受处罚

上周末,由于基金管理公司CoinAlpha Advisors LLC对未注册的证券进行了销售,美国证券交易委员会(后文简称SEC)已责令CoinAlpha 支付5万美元的罚款。

CoinAlpha于2017年10月成立了一只投资数字资产的基金。该公司接触到了一些潜在的投资者,并在此过程中筹集了60多万美元。

虽然CoinAlpha确实提交了一份“证券豁免发行的通知”,但该公司并没有获得豁免的资格,同时也没有在SEC进行过注册。

此外,SEC还表示该公司没有运行足够的了解你的客户(KYC)程序,以确保其所有投资者都获得了认证,不过在SEC首次联系到该公司后,该公司确实聘请了一家第三方机构来检查用户的认证状态。

SEC停止令指出,CoinAlpha在与SEC取得联系后,向其投资者偿还了所有费用,并表示:

22名投资者向该基金共投资了608491美元。2018年10月份,在证券交易委员会工作人员就本基金的问题与CoinAlpha取得联系后,CoinAlpha根据基金有限合伙协议授予的权限解除了这一基金。

值得注意的是,这一停止令表明CoinAlpha与SEC进行了合作,而SEC反过来也只是在实施它与该公司已经谈判过的制裁措施。

这些制裁措施包括禁止CoinAlpha在未来违反《证券法》,以及向SEC支付5万美元的罚款,此外还有赔偿部分。根据文件显示,CoinAlpha既不承认也不否认该机构提出的指控。

SEC的回应也对该领域的其他实体产生了类似的反响,包括初创公司Airfox、Paragon和EtherDelta创始人Zachary Coburn。

虽然这些公司或个人都被发现违反了证券法,但SEC在每个案件中都解释说它们配合了调查,同时SEC对它们会进行相对较轻的处罚。

截至发稿时,CoinAlpha没有回复记者的置评请求。

The U.S. Securities and Exchange Commission has ordered fund manager CoinAlpha Advisors LLC to pay a $50,000 fine following what it deemed to be an unregistered securities sale.

According to the order published Friday, CoinAlpha formed a fund in October 2017 with the goal of investing in digital assets. It reached out to possible investors, raising a bit more than $600,000 during the process.

While CoinAlpha did file a “Notice of Exempt Offering of Securities,” the company was not eligible for an exemption and did not otherwise register with the SEC. As such, it effectively solicited securities investors in breach of the law, the order says.

Further, the agency said that the company did not run adequate know-your-customer procedures to ensure that all of its investors were accredited, though it did hire a third-party to check accreditation status after the SEC first contacted it.

The order notes that CoinAlpha reimbursed all fees to its investors after being contacted by the SEC, saying:

“A total of 22 investors invested a total of $608,491 in the Fund. In October 2018, after being contacted by the Commission staff concerning the issues herein, CoinAlpha unwound the Fund, pursuant to the authority granted in the Fund’s Limited Partnership Agreement.”

Notably, the order highlights that CoinAlpha cooperated with the SEC, and the regulator in turn is only imposing sanctions that it negotiated with the company.

These sanctions include barring CoinAlpha from violating the Securities Act in the future and a $50,000 penalty paid to the SEC, on top of the reimbursements. According to the filing, CoinAlpha didn’t admit to or deny the allegations put forward by the agency.

The SEC’s response echoes similarly light repercussions for other entities in the space, including startups Airfox and Paragon and EtherDelta founder Zachary Coburn.

While each of those firms or individuals was found to have violated securities laws, the SEC in each case explained that they had cooperated with its investigation, and imposed relatively low penalties for each.

CoinAlpha did not respond to a request for comment by press time.

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