SEC 破纪录的一年：补救措施达 8.2B 美元，50% 的重大欺诈案件与加密货币相关

美国证券交易委员会 (SEC) 在 2024 财年获得了 82 亿美元的补救措施令，创下该监管机构的历史新高。这比 2023 年收取的 49 亿美元的罚款增加了 67%。

The Securities and Exchange Commission (SEC) announced record-breaking achievements in its 2024 fiscal year, obtaining orders for a staggering $8.2 billion in financial remedies to protect investors and ensure market integrity. This marks a substantial 67% increase from the $4.9 billion collected in 2023.

美国证券交易委员会 (SEC) 宣布其 2024 财年取得了破纪录的成就，获得了高达 82 亿美元的财务补救措施命令，以保护投资者并确保市场诚信。这比 2023 年筹集的 49 亿美元大幅增加了 67%。

According to the SEC's official press release, the regulatory agency filed 583 total enforcement actions during the year, which saw a 23% decrease compared to the previous year. The majority of these actions (431) were stand-alone enforcement matters, while 93 were follow-on administrative proceedings based on civil injunctions, orders, and criminal prosecutions. Notably, 59 enforcement actions targeted issuers who failed to make their compulsory filings on time.

根据 SEC 官方新闻稿，该监管机构全年共提起 583 起执法行动，较上年减少 23%。这些行动中的大多数 (431) 是独立的执法事项，而 93 项是基于民事禁令、命令和刑事起诉的后续行政程序。值得注意的是，有 59 起执法行动针对未能按时提交强制备案的发行人。

The massive increase in financial remedies, despite the decline in enforcement actions, can be largely attributed to the SEC's focus on pursuing крупные правонарушения, particularly those involving digital assets. In one significant case, Terraform Labs (TFL) and its co-founder Do Kwon settled charges with the SEC, with TFL agreeing to pay $4.5 billion and Kwon ordered to pay $200 million in penalties.

尽管执法行动有所减少，但财务补救措施的大幅增加在很大程度上可归因于 SEC 重点追查 крупные правонарушения，特别是涉及数字资产的案件。在一个重大案件中，Terraform Labs (TFL) 及其联合创始人 Do Kwon 与 SEC 达成和解，TFL 同意支付 45 亿美元，Kwon 被勒令支付 2 亿美元的罚款。

Speaking on the SEC's proactive efforts, Chair Gary Gensler highlighted the agency's role in holding wrongdoers accountable and protecting investors.

在谈到 SEC 的积极努力时，主席 Gary Gensler 强调了该机构在追究不法行为者责任和保护投资者方面的作用。

Gensler said:

詹斯勒说：

“The Division of Enforcement is a steadfast cop on the beat, following the facts and the law wherever they lead to hold wrongdoers accountable. As demonstrated by this year’s results, the Division helps promote the integrity of our capital markets to benefit investors and issuers alike.”

“执法部门是一名坚定的警察，无论事实和法律如何，都会追究违法者的责任。正如今年的结果所证明的那样，该部门有助于促进我们资本市场的完整性，使投资者和发行人都受益。”

Beyond the financial remedies, 2024 also saw record levels of complaints and reports, with the SEC receiving 45,130 tips, complaints, and referrals, marking the highest number ever. The regulator also obtained orders banning 124 individuals from serving as officers or directors of public companies, which is the second-highest number in a decade, and distributed $345 million to harmed investors.

除了财务补救措施之外，2024 年投诉和报告的数量也创下历史新高，SEC 收到了 45,130 份举报、投诉和转介，创下有史以来的最高数量。该监管机构还获得了禁止 124 名个人担任上市公司高管或董事的命令，这是十年来第二高的数字，并向受到损害的投资者发放了 3.45 亿美元。

In a testament to the growing prevalence of digital assets in the financial landscape, two of the four major fraud cases that the SEC charged in 2024 involved crypto assets.

SEC 在 2024 年指控的四起重大欺诈案件中，有两起涉及加密资产，这证明了数字资产在金融领域的日益普及。

One case centered on the Hyperfund crypto asset pyramid scheme, which allegedly raised over $1.7 billion from investors worldwide. The SEC charged two individuals, Xue Lee, aka Sam Lee, and Brenda Chunga, aka Bitcoin Beautee, for their involvement in the scam.

其中一起案件涉及 Hyperfund 加密资产传销计划，据称该计划从全球投资者那里筹集了超过 17 亿美元。美国证券交易委员会指控两名个人，Xue Lee（又名 Sam Lee）和 Brenda Chunga（又名 Bitcoin Beautee）参与该骗局。

The other major fraud case involved NovaTech Ltd and its founders, Cynthia and Eddy Pention, who were charged by the SEC for a multilevel marketing and crypto scheme that raised over $650 million from more than 200,000 investors globally. Other promoters of the scheme were also charged alongside the two for their involvement.

另一起重大欺诈案件涉及 NovaTech Ltd 及其创始人辛西娅·彭蒂恩 (Cynthia Pention) 和艾迪·彭蒂恩 (Eddy Pention)，他们因多层次营销和加密货币计划而被 SEC 指控，该计划从全球超过 20 万投资者那里筹集了超过 6.5 亿美元。该计划的其他发起人也因参与其中而与两人一起受到指控。

Highlighting the emerging technologies that pose major risks for fraudulent activities, the agency noted how bad actors used everything from artificial intelligence to fake crypto platforms to defraud victims. The SEC specifically mentioned Silvergate Bank and Barnbrige DAO, noting that it settled charges against the two.

该机构强调了对欺诈活动构成重大风险的新兴技术，并指出不良行为者如何利用从人工智能到虚假加密平台等各种手段来欺骗受害者。 SEC 特别提到了 Silvergate Bank 和 Barnbrige DAO，并指出它已解决了对两家银行的指控。

While the SEC obtained a $4.5 billion judgment against Terraform Labs, the regulator is unlikely to get any of the funds. TFL is also bankrupt and has the court's go-ahead to wind down. There are no signs that the company, which is behind one of the biggest financial collapses ever, has the funds to pay off the losses to investors and penalties to regulators. The SEC also agreed to be paid only after the company satisfies all claims in its bankruptcy winddown.

尽管 SEC 获得了针对 Terraform Labs 的 45 亿美元判决，但监管机构不太可能获得任何资金。 TFL 也已破产，并已获得法院批准解散。没有迹象表明该公司有足够的资金来偿还投资者的损失和监管机构的处罚，该公司是有史以来最严重的金融崩溃之一。美国证券交易委员会还同意仅在该公司满足破产清算中的所有索赔要求后才获得付款。

Several of the Terra mainnet services have already been shut down, including the Shuttle Bridge interface, which the company closed in early November, burning all the tokens in the Shuttle Bridge wallets. The team also plans to shut down Enterprise DAO and Warp Protocol, two Cosmos-based DeFi protocols powered by Terra, by December 31, 2024.

Terra 主网的多项服务已经被关闭，包括 Shuttle Bridge 接口，该公司于 11 月初关闭了该接口，烧毁了 Shuttle Bridge 钱包中的所有代币。该团队还计划在 2024 年 12 月 31 日之前关闭 Enterprise DAO 和 Warp Protocol，这两个由 Terra 支持的基于 Cosmos 的 DeFi 协议。

Meanwhile, retail investors who lost billions to the UST and LUNA collapse continue to hope for a community-led revival. Terra Luna Classic (LUNC) ‘s community on Discord recently approved a proposal to transfer the CoinMarketCap dashboard account access for the token to Allnodes, the top validator of Terra Classic’s mainnet.

与此同时，因 UST 和 LUNA 崩溃而损失数十亿美元的散户投资者仍然希望社区主导的复苏。 Terra Luna Classic (LUNC) 的 Discord 社区最近批准了一项提案，将代币的 CoinMarketCap 仪表板帐户访问权限转移到 Terra Classic 主网的顶级验证器 Allnodes。

However, they voted overwhelmingly against a proposal by Cosmos-based developer team BLV Labs asking the community to approve $5,000 in LUNC for its work on the Terra Classic blockchain. The developer worked on the use Oracle module to calculate and update the minimum deposit required for creating a governance proposal. According to the community, the developer has not deployed the feature on the testnet and mainnet and must finish the work to get paid.

然而，他们以压倒性多数投票反对 Cosmos 开发团队 BLV Labs 提出的一项提案，该提案要求社区批准 5,000 美元的 LUNC，用于其在 Terra Classic 区块链上的工作。开发人员使用 Oracle 模块来计算和更新创建治理提案所需的最低存款。据社区称，开发者尚未在测试网和主网上部署该功能，必须完成工作才能获得报酬。