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[交易所]
美 SEC 刚刚对 Coinbase 提出的两项指控是什么?(转)
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美国证券交易委员会(以下简称“SEC”)今天指控 Coinbase, Inc. 作为未注册的国家证券交易所、经纪人和清算机构运营其加密资产交易平台。SEC 还指控 Coinbase 未能注册其加密资产质押即服务计划的要约和销售。 & o- s4 {0 Q3 _0 ^4 b
未注册的交易所、经纪商和清算机构
& C& {* l0 v# u% E7 O' x根据美国证券交易委员会的投诉,至少自 2019 年以来,Coinbase 已经通过非法促进加密资产证券的买卖赚取了数十亿美元。SEC 声称,Coinbase 将交易所、经纪商和清算机构的传统服务交织在一起,但没有按照法律要求向委员会注册任何这些功能。据称,通过这些未注册的服务,Coinbase: - 提供一个市场,并使用既定的、非自由裁量的方法将多个买卖双方的证券订单汇集在一起,这些订单在这些订单下进行交互;
- 从事为 Coinbase 客户的账户进行证券交易的业务;
- 为比较有关加密资产证券交易结算条款的数据提供便利,充当 Coinbase 客户结算加密资产证券交易的中介,并充当证券托管商。8 |* F% H& O# l0 _1 M9 x. L( r
正如美国证券交易委员会的投诉中所称,Coinbase 未能注册已经剥夺了投资者的重要保护,包括美国证券交易委员会的检查、记录保存要求和利益冲突保障等。 SEC 的诉状还称,Coinbase 的控股公司 Coinbase Global Inc. (CGI) 是 Coinbase 的控制人,因此也应对 Coinbase 的某些违规行为负责。
; t7 b% t; s2 ]& A与质押即服务计划相关的未注册证券发售和销售 ( S% I5 [- }9 X$ W* E, ~
SEC 称,自 2019 年以来,Coinbase 一直通过其质押即服务计划进行未注册证券发行,该计划允许客户从某些区块链的“股权证明”机制和 Coinbase 的努力中获利。据称,通过这个质押计划,Coinbase 汇集了每种类型客户的可质押加密资产,对 pool 进行质押以执行区块链交易验证服务,并将这项工作产生的部分奖励提供给其资产属于 pool 的客户。Coinbase 未能按照法律要求登记其对该质押计划的报价和销售。 SEC 主席 Gary Gensler 表示:“我们指控 Coinbase 尽管受证券法约束,但仍混合并非法提供交易所、经纪自营商和票据交换所功能。” “在我们证券市场的其他部分,这些功能是分开的。Coinbase 所谓的失败剥夺了投资者的重要保护,包括防止欺诈和操纵的规则手册、适当的披露、防止利益冲突的保障措施以及 SEC 的例行检查。此外,正如我们所声称的那样,Coinbase 从未按照证券法的要求注册其质押即服务计划,再次剥夺了投资者的重要披露和其他保护。” “你不能仅仅因为不喜欢这些规则,或者因为你更喜欢不同的规则而忽视这些规则:这对投资大众造成的后果太大了,”SEC 执法部主任 Gurbir S. Grewal 说”正如我们在投诉中所称,Coinbase 充分意识到联邦证券法对其业务活动的适用性,但故意拒绝遵守。虽然 Coinbase 精心策划的决定可能使其赚取了数十亿美元,但这样做是以投资者为代价,剥夺了他们应得的保护。今天的行动旨在让 Coinbase 对其选择负责。” SEC 向美国纽约南区地方法院提起的诉状称,Coinbase 和 CGI 违反了 1934 年证券交易法的某些注册规定,Coinbase 也违反了 1933 年证券法的证券发行注册规定。申诉寻求禁令救济、没收非法所得加利息、罚款和其他衡平救济。 SEC 的调查由执法部门加密资产和网络部门的 Serafima McTigue、Erin E. Wilk、Amy Mayer、Joy Guo、Elizabeth Goody 和 Derek Kleinmann 在旧金山地区办事处的 Ellen Chen 的协助下进行。它由加密资产和网络部门的 Steven Buchholz、Jorge G. Tenreiro 和 David Hirsch 以及丹佛地区办事处的 Danielle Voorhees、Nicholas Heinke 和 Jason Burt 监督。SEC 的诉讼将由 Nick Margida、Peter Mancuso 和 Ben Kuruvilla 主持,并由 Ladan Stewart、Jorge G. Tenreiro 和 Olivia Choe 监督。 SEC 感谢由加利福尼亚州领导的十个州证券监管机构组成的多州特别工作组的协助,其中还包括阿拉巴马州、伊利诺伊州、肯塔基州、马里兰州、新泽西州、南卡罗来纳州、佛蒙特州、华盛顿州和威斯康星州。 - b- v: a6 J6 O
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