SEC 起訴加密貨幣做市商 Cumberland DRW 涉嫌交易 20 億美元未註冊證券

美國證券交易委員會（SEC）對著名加密貨幣做市商 Cumberland DRW 提起訴訟，指控該公司充當未註冊證券交易商，推銷和交易本應註冊為證券的 20 億美元加密資產。

The U.S. Securities and Exchange Commission (SEC) has filed a lawsuit against Cumberland DRW, a prominent crypto market maker, alleging that the company acted as an unregistered securities dealer by promoting and trading $2 billion in crypto assets that should have been registered as securities.

美國證券交易委員會（SEC）對著名加密貨幣做市商 Cumberland DRW 提起訴訟，指控該公司充當未註冊證券交易商，推銷和交易本應註冊為證券的 20 億美元加密資產。

In a statement on Thursday, SEC said that since 2018, Cumberland used its research reports and update emails to promote investments in these crypto assets, suggesting that they were promising investment opportunities. However, the SEC contends that these crypto assets were actually securities, and Cumberland was required to register as a securities dealer before trading them.

美國證券交易委員會在周四的聲明中表示，自 2018 年以來，坎伯蘭利用其研究報告和更新電子郵件來促進對這些加密資產的投資，表明它們充滿希望的投資機會。然而，SEC 認為這些加密資產實際上是證券，坎伯蘭在交易之前必須註冊為證券交易商。

“Despite frequent protestations by the industry that sales of crypto assets are all akin to sales of commodities, our complaint alleges that Cumberland, the respective issuers, and objective investors treated the offer and sale of the crypto assets at issue in this case as investments in securities, and Cumberland profited from its dealer activity in these assets without providing investors and the market with the important protections afforded by registration,” Jorge G. Tenreiro, acting chief of the SEC's Crypto Assets and Cyber Unit (CACU), said.

「儘管業界經常抗議加密資產的銷售類似於商品銷售，但我們的投訴稱，坎伯蘭、各自的發行人以及客觀投資者將本案中涉及的加密資產的發行和銷售視為對商品的投資。美國證券交易委員會加密資產和網路部門（CACU）代理負責人豪爾赫·G·滕雷羅（Jorge G. Tenreiro）表示：

The SEC has identified Polygon, Solana, Cosmos, Algorand, and Filecoin as examples of crypto assets that Cumberland traded illegally.

SEC 已將 Polygon、Solana、Cosmos、Algorand 和 Filecoin 列為 Cumberland 非法交易的加密資產的範例。

Cumberland has denied the allegations, claiming that it is confident in its compliance with all applicable laws and regulations.

坎伯蘭否認了這些指控，聲稱有信心遵守所有適用的法律和法規。

"We are not making any change to our business operations or the assets in which we provide liquidity as a result of this action by the SEC. We are confident in our strong compliance framework and disciplined adherence to all known rules and regulations – even as they have been a moving target," Cumberland said in a statement posted on Twitter/X, adding that "it wasn't long ago ETH was claimed to be a security."

「由於SEC 的這一行動，我們不會對我們的業務運營或我們提供流動性的資產進行任何改變。我們對我們強大的合規框架和對所有已知規則和法規的嚴格遵守充滿信心- 即使它們一直是一個不斷變化的目標，」坎伯蘭在 Twitter/X 上發布的聲明中表示，並補充說“不久前 ETH 還被聲稱是一種證券。

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However, the SEC's lawsuit raises serious questions about the regulatory oversight of the crypto market and the potential for future enforcement actions.

然而，美國證券交易委員會的訴訟引發了有關加密貨幣市場監管以及未來執法行動潛力的嚴重問題。

The SEC's lawsuit against Cumberland DRW is just the latest in a series of legal actions targeting crypto companies for allegedly dealing in unregistered securities.

美國證券交易委員會針對 Cumberland DRW 提起的訴訟只是針對涉嫌交易未註冊證券的加密貨幣公司的一系列法律訴訟中的最新一起。

In 2018, the SEC sued Ripple Labs, alleging that its XRP token was a security. The case is still ongoing. The following year, the agency investigated Kik Messenger and its KIN token but did not file a lawsuit. Instead, it reached a settlement with Kik, requiring the company to pay a $5 million penalty and cease the sale of KIN tokens. In 2022, the SEC sued Block.one, the developer of EOS, alleging that its EOS token was a security. Block.one settled with the SEC for $24 million.

2018 年，SEC 起訴 Ripple Labs，指控其 XRP 代幣是一種證券。案件仍在進行中。第二年，該機構調查了 Kik Messenger 及其 KIN 代幣，但沒有提起訴訟。相反，它與 Kik 達成和解，要求該公司支付 500 萬美元的罰款並停止銷售 KIN 代幣。 2022年，SEC起訴EOS開發商Block.one，指控其EOS代幣是一種證券。 Block.one 以 2,400 萬美元與 SEC 達成和解。

Earlier this week, crypto exchange Crypto.com filed a lawsuit against the SEC after receiving a Wells Notice from the regulator in August. A Wells Notice is usually sent ahead of launching a formal lawsuit. OpenSea, Coinbase, Uniswap Labs, Ripple, Robinhood, Consensys, and BUSD issuer Paxos are among those in the increasing list of crypto firms that have received such notices.

本週早些時候，加密貨幣交易所 Crypto.com 在 8 月收到監管機構的 Wells 通知後對 SEC 提起訴訟。威爾斯通知通常在發起正式訴訟之前發出。 OpenSea、Coinbase、Uniswap Labs、Ripple、Robinhood、Consensys 和 BUSD 發行人 Paxos 等都是收到此類通知的加密貨幣公司。

Kris Marszalek, Crypto.com's CEO, said the lawsuit is "a warranted response to the SEC's regulation by enforcement regime which has hurt more than 50 million American crypto holders."

Crypto.com 執行長 Kris Marszalek 表示，這起訴訟是“對 SEC 執法制度監管的合理回應，該制度已經傷害了超過 5000 萬美國加密貨幣持有者。”