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10月10日,美國證券交易委員會(SEC)宣布對Cumberland DRW LLC提起民事訴訟
America’s securities regulator has targeted Tether’s favorite market maker Cumberland Global in a move that could bring the world’s leading stablecoin issuer closer to a regulatory reckoning.
美國證券監管機構已將 Tether 最喜愛的做市商 Cumberland Global 列為目標,此舉可能會讓這家全球領先的穩定幣發行人更接近監管清算。
On October 10, the U.S. Securities and Exchange Commission (SEC) announced the filing of a civil complaint against Cumberland DRW LLC in the U.S. District Court in the Northern District of Illinois. The SEC accuses Cumberland, an offshoot of the Chicago-based DRW Trading Group, of “operating as an unregistered dealer in more than $2 billion of crypto assets offered and sold as securities” since March 2018.
10月10日,美國證券交易委員會(SEC)宣布向伊利諾州北區美國地方法院提起針對Cumberland DRW LLC的民事訴訟。美國證券交易委員會 (SEC) 指控總部位於芝加哥的 DRW Trading Group 的分支機構 Cumberland 自 2018 年 3 月以來「作為未經註冊的交易商,以證券形式發行和出售超過 20 億美元的加密資產」。
The complaint accuses Cumberland of earning “millions of dollars in ill-gotten gains” by buying and selling the aforementioned unregistered securities without registering as a securities dealer with the SEC. In doing so, Cumberland deprived investors and markets “of the protections of the federal securities laws’ registration provisions.”
起訴書指控坎伯蘭在未向美國證券交易委員會註冊為證券交易商的情況下透過買賣上述未註冊證券賺取「數百萬美元的不正當收益」。在此過程中,坎伯蘭剝奪了投資者和市場「聯邦證券法註冊條款的保護」。
The SEC says Cumberland has allowed “more than 1,500 high-net-worth individuals and entities” to act as counterparties on Cumberland’s Marea online trading platform since the platform’s launch in early 2019. These counterparties have included “prominent participants in the crypto asset space, such as funds managed by crypto asset investment firms and certain now defunct crypto asset hedge funds.”
美國證券交易委員會表示,自2019 年初推出坎伯蘭Marea 線上交易平台以來,坎伯蘭已允許「超過1,500 名高淨值個人和實體」作為該平台的交易對手。知名參與者、例如由加密資產投資公司管理的基金以及某些現已解散的加密資產對沖基金。
Cumberland also engages in “discretionary risk-taking” by establishing long or short positions on various tokens, as well as “proprietary strategy trading” on third-party exchanges (including Binance, Bittrex, Coinbase (NASDAQ:COIN), Kraken and Poloniex). These and other operations generated over $400 million in revenue and $27 million in profits for Cumberland since 2019.
Cumberland 還透過在各種代幣上建立多頭或空頭頭寸以及在第三方交易所(包括Binance、Bittrex、Coinbase(納斯達克股票代碼:COIN)、Kraken 和Poloniex)上進行“自營策略交易”來從事「全權委託風險承擔」 。自 2019 年以來,這些業務和其他業務為坎伯蘭創造了超過 4 億美元的收入和 2,700 萬美元的利潤。
The SEC cited a “non-exhaustive list” of the tokens traded by Cumberland that the regulator considers unregistered securities: Polygon Technology (formerly MATIC, now POL); Solana (SOL); Cosmos (ATOM); Algorand (ALGO); and Filecoin (FIL). The SEC alleges that each of these assets “was offered and sold as an investment contract since inception.” These tokens represent “at least $2 billion” in Cumberland trading volume cited in the complaint.
SEC 引用了 Cumberland 交易的代幣的“非詳盡清單”,監管機構認為這些代幣為未註冊證券:Polygon Technology(以前稱為 MATIC,現在稱為 POL);索拉納(SOL);宇宙(ATOM);阿爾戈蘭(ALGO);和 Filecoin(FIL)。美國證券交易委員會聲稱,這些資產中的每一項「自成立以來都是作為投資合約提供和出售的」。投訴中提到,這些代幣在坎伯蘭的交易量中代表「至少 20 億美元」。
Statements made by the issuers and promoters of these tokens “would have led objective investors to reasonably view” offers to buy or sell the tokens as “offers to purchase and sell investment contracts.” The SEC goes on to offer specific details on how these tokens trigger the various planks of the Howey test for identifying securities that require registration with the SEC.
這些代幣的發行人和發起人發表的聲明「會導致客觀投資者合理地將」購買或出售代幣的要約視為「購買和出售投資合約的要約」。 SEC 隨後提供了有關這些代幣如何觸發 Howey 測試的各個部分的具體細節,以識別需要在 SEC 註冊的證券。
The SEC is seeking to permanently bar Cumberland from further violations of the Exchange Act, as well as force Cumberland to disgorge (with interest) all illicit trading profits obtained via the illegal conduct alleged in the complaint.
美國證券交易委員會正在尋求永久禁止坎伯蘭進一步違反《交易法》,並迫使坎伯蘭交出(連利息)透過投訴中指控的非法行為獲得的所有非法交易利潤。
Cumberland says ‘bring it’
坎伯蘭說“拿來”
In response, Cumberland issued a defiant statement calling itself “the latest target of the SEC’s enforcement-first approach to stifling innovation and preventing legitimate companies from engaging in digital assets.”
作為回應,坎伯蘭發表了一份挑釁性的聲明,稱自己是“美國證券交易委員會以執法為先的方式扼殺創新並阻止合法公司參與數位資產的最新目標。”
Cumberland claimed to have “engaged in five years of good-faith discussions with the SEC” regarding whether its transactions involved unregistered securities. But the complaint allegedly marks “the first time the SEC has outlined the specific transactions at issue.”
坎伯蘭聲稱已就其交易是否涉及未註冊證券「與美國證券交易委員會進行了五年的真誠討論」。但據稱,該投訴標誌著「美國證券交易委員會首次概述有爭議的具體交易」。
Cumberland “acquired a registered broker-dealer in 🧃,” but claims the SEC informed it that “we could only use our broker-dealer to trade BTC or ETH,” which Cumberland insists are commodities and thus not under the SEC’s jurisdiction.
Cumberland“在🧃 收購了一家註冊經紀自營商”,但聲稱SEC 通知其“我們只能使用我們的經紀自營商交易BTC 或ETH”,Cumberland 堅稱這些是商品,因此不在SEC 的管轄範圍內。
Cumberland stated that it won’t be “making any changes to our business operations or the assets in which we provide liquidity” as a result of the SEC’s complaint. Cumberland claims to be “confident in our strong compliance framework and disciplined adherence to all known rules and regulations.”
坎伯蘭表示,不會因美國證券交易委員會的投訴而「對我們的業務運作或我們提供流動性的資產進行任何改變」。坎伯蘭聲稱「對我們強大的合規框架和嚴格遵守所有已知規則和法規充滿信心」。
Cumberland recalled its parent company’s successful legal fight with the Commodity Futures Trading Commission (CFTC) back when it was led by current SEC chair Gary Gensler. Having previously prevailed over “overzealous regulators wielding their power in ways that harm rather than benefit the market,” Cumberland stands “ready to defend ourselves again.”
Cumberland 回顧了其母公司與商品期貨交易委員會 (CFTC) 的成功法律鬥爭,當時該委員會由現任 SEC 主席 Gary Gensler 領導。坎伯蘭此前曾戰勝過“過度熱心的監管機構,他們以損害而不是造福市場的方式行使權力”,坎伯蘭“準備再次捍衛自己”。
Tether ties
繫繩
In 2021, Cumberland was revealed as the largest recipient of USDT (Tether) issued at the time, ahead of even the now defunct Alameda Research, the corrupt offshoot of Sam Bankman-Fried’s equally corrupt FTX digital asset exchange.
2021 年,Cumberland 被揭露為當時發行的 USDT(Tether)的最大接收者,甚至領先於現已解散的 Alameda Research,後者是 Sam Bankman-Fried 同樣腐敗的 FTX 數位資產交易所的腐敗分支。
Given its USDT whale status, Cumberland would be in a prime position to confirm or deny Tether’s oft-repeated historical claim that it only issued USDT after receiving an equal amount of U.S. dollars. Tether has since introduced some wiggle room into this benchmark, admitting that it sometimes accepts digital assets like BTC in lieu of dollars, or even loaning USDT to people Tether appears to believe are good for it.
鑑於其 USDT 鯨魚地位,Cumberland 將處於有利地位來確認或否認 Tether 經常重複的歷史主張,即它僅在收到等量美元後才發行 USDT。此後,Tether 在這一基準中引入了一些迴旋餘地,承認有時會接受 BTC 等數位資產來代替美元,甚至將 USDT 借給 Tether 認為對其有利的人。
Just FYI, the SEC’s complaint against Cumberland came hot on the heels of the Department of Justice (DOJ) criminal charges against a handful of minor market makers for manipulating the prices of several memecoins (as
僅供參考,美國證券交易委員會 (SEC) 對坎伯蘭 (Cumberland) 的投訴緊隨司法部 (DOJ) 對少數小型做市商提出刑事指控,指控他們操縱幾種 memecoin 的價格(如
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