ASIC 就區塊鏈項目的誤導性陳述起訴 ASX

澳洲最大的市場營運商 ASX Limited 因對區塊鏈項目的誤導性陳述而被澳洲證券和投資委員會 (ASIC) 起訴

The Australian Securities and Investments Commission (ASIC) has filed a lawsuit against ASX Limited (ASX:ASX), accusing the market operator of making misleading statements about a blockchain project that was ultimately scrapped.

澳洲證券和投資委員會 (ASIC) 對 ASX Limited (ASX:ASX) 提起訴訟，指控市場營運商對最終被遺棄的區塊鏈項目做出誤導性陳述。

The project, which began in 2018, was intended to replace ASX’s outdated Clearing House Electronic Subregister System (CHESS). However, it turned into a significant legal stoush after allegations that ASX had misrepresented the progress of the project.

該計畫於 2018 年啟動，旨在取代澳洲證券交易所過時的清算所電子子登記系統 (CHESS)。然而，在澳洲證券交易所被指控歪曲專案進展之後，這件事變成了一場重大的法律糾紛。

In its statements, ASIC alleges that ASX’s announcements in February 2022, which stated that the blockchain project was “progressing well” and had “been planned to deliver a working system,” were both false.

ASIC 在聲明中聲稱，ASX 在 2022 年 2 月發布的聲明稱區塊鏈項目“進展順利”並且“已計劃交付一個可運行的系統”，但這些聲明都是虛假的。

ASIC asserts that these representations were misleading because the project was not, in fact, on track, and ASX did not have a reasonable basis to infer that it would meet future milestones.

ASIC 聲稱這些陳述具有誤導性，因為該專案實際上並未走上正軌，且 ASX 沒有合理的基礎來推斷它將達到未來的里程碑。

The regulator also claims that ASX knew, or ought to have known, that the statements were materially misleading at the time they were made.

監管機構還聲稱，澳洲證券交易所在做出這些陳述時知道或應該知道這些陳述具有重大誤導性。

The lawsuit stems from ASX’s decision to scrap the blockchain project in November of 2022. The project, which was being developed with the help of IBM, was ultimately halted after an independent review by Accenture identified “many significant issues” with its design.

該訴訟源於澳洲證券交易所於2022 年11 月決定廢棄該區塊鏈項目。最終被叫停。

This decision, which was made after more than A$100 million had already been sunk into the project, resulted in the entire undertaking grinding to a screeching halt.

這項決定是在該項目投入超過 1 億澳元之後做出的，導致整個項目戛然而止。

The setback also led to a writedown of A$250 million, which was announced by ASX in May of 2023.

澳洲證券交易所於 2023 年 5 月宣布，這次挫折也導致了 2.5 億澳元的減記。

Commenting on the lawsuit, ASIC Chair Joe Longo said the issues at ASX have “implications beyond the exchange,” with National Stock Exchange of Australia CEO Ken Chapman highlighting that when ‘ASX fails, there is a massive impact on everything else.’

ASIC 主席 Joe Longo 在評論該訴訟時表示，ASX 的問題“影響超出了交易所”，澳大利亞國家證券交易所首席執行官 Ken Chapman 強調，當“ASX 失敗時，會對其他一切產生巨大影響”。

“Investment in mining and exploration companies is a speculative activity. Companies rely on the ASX’s statements about its functions to make their decisions and investments,” Chapman said.

「投資採礦和勘探公司是一種投機活動。公司依靠澳洲證券交易所關於其職能的聲明來做出決策和投資，」查普曼說。

In response to the lawsuit, ASX said it regarded the two proceedings as very serious and had fully cooperated with ASIC’s investigation.

作為對訴訟的回應，ASX 表示，它認為這兩起訴訟非常嚴重，並全力配合 ASIC 的調查。

“We acknowledge the importance and serious nature of these proceedings. ASIC’s investigation enabled us to provide the information they needed, and we are now in the process of reviewing and considering the allegations carefully,” Helen Lofthouse, the managing director and CEO of ASX, said.

「我們承認這些程序的重要性和嚴肅性。 ASIC 的調查使我們能夠提供他們所需的信息，我們現在正在仔細審查和考慮這些指控，」ASX 董事總經理兼首席執行官 Helen Lofthouse 表示。

The impact of the lawsuit was already being felt in financial markets on Wednesday, with the ASX experiencing a drop of 3.67%.

週三金融市場已感受到訴訟的影響，澳洲證券交易所下跌 3.67%。

Investors appeared to be concerned about the legal troubles, as the bourse’s stock price closed at A$63.45.

投資者似乎對法律問題感到擔憂，該交易所的股價收在 63.45 澳元。

The company, which has a market cap of A$12.3 billion, is due to report full-year financial results on Friday for the year ended June 30, 2024.

該公司市值為 123 億澳元，將於週五公佈截至 2024 年 6 月 30 日的全年財務表現。

ASIC is seeking various remedies, including declarations, financial penalties, an order for adverse publicity, and a costs finding against ASX.

ASIC 正在尋求各種補救措施，包括聲明、經濟處罰、不利宣傳令以及針對 ASX 的成本調查。

This lawsuit offers a high-profile reminder of the importance of corporations being transparent and accurate when making public statements, particularly regarding major technological changes that can affect an entire financial market.

這起訴訟高調提醒人們，企業在發表公開聲明時保持透明和準確的重要性，特別是在可能影響整個金融市場的重大技術變革方面。