ASIC 就区块链项目的误导性陈述起诉 ASX

澳大利亚最大的市场运营商 ASX Limited 因对区块链项目的误导性陈述而被澳大利亚证券和投资委员会 (ASIC) 起诉

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.

澳大利亚证券和投资委员会 (ASIC) 对 ASX Limited (ASX:ASX) 提起诉讼，指控市场运营商对最终被废弃的区块链项目做出误导性陈述。

The project, which began in 2018, was intended to replace ASX’s outdated Clearing House Electronic Subregister System (CHESS).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.

该项目于 2018 年启动，旨在取代澳大利亚证券交易所过时的清算所电子子登记系统 (CHESS)。然而，在澳大利亚证券交易所被指控歪曲项目进展之后，这件事变成了一场重大的法律纠纷。

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 在声明中声称，ASX 在 2022 年 2 月发布的声明称区块链项目“进展顺利”并且“已计划交付一个可运行的系统”，但这些声明都是虚假的。

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 声称这些陈述具有误导性，因为该项目实际上并未走上正轨，并且 ASX 没有合理的基础来推断它将达到未来的里程碑。

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

监管机构还声称，澳大利亚证券交易所在做出这些陈述时知道或应该知道这些陈述具有重大误导性。

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.

该诉讼源于澳大利亚证券交易所于 2022 年 11 月决定废弃该区块链项目。该项目是在 IBM 的帮助下开发的，在埃森哲的独立审查发现其设计存在“许多重大问题”后，该项目最终被叫停。

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.

这一决定是在该项目投入超过 1 亿澳元之后做出的，导致整个项目戛然而止。

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

澳大利亚证券交易所于 2023 年 5 月宣布，此次挫折还导致了 2.5 亿澳元的减记。

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 在评论该诉讼时表示，ASX 的问题“影响超出了交易所”，澳大利亚国家证券交易所首席执行官 Ken Chapman 强调，当“ASX 失败时，会对其他一切产生巨大影响”。

“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.

“投资采矿和勘探公司是一种投机活动。公司依靠澳大利亚证券交易所关于其职能的声明来做出决策和投资，”查普曼说。

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

作为对诉讼的回应，ASX 表示，它认为这两起诉讼非常严重，并全力配合 ASIC 的调查。

“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.

“我们承认这些程序的重要性和严肃性。 ASIC 的调查使我们能够提供他们所需的信息，我们现在正在仔细审查和考虑这些指控，”ASX 董事总经理兼首席执行官 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%.

周三金融市场已感受到诉讼的影响，澳大利亚证券交易所下跌 3.67%。

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

投资者似乎对法律问题感到担忧，该交易所的股价收于 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.

该公司市值为 123 亿澳元，将于周五公布截至 2024 年 6 月 30 日的全年财务业绩。

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

ASIC 正在寻求各种补救措施，包括声明、经济处罚、不利宣传令以及针对 ASX 的成本调查。

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.

这起诉讼高调提醒人们，企业在发表公开声明时保持透明和准确的重要性，特别是在可能影响整个金融市场的重大技术变革方面。