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这反映出人们越来越担心数字货币给散户投资者带来的风险,以及 SEC 为确保透明度所做的持续努力
The U.S. Securities and Exchange Commission (SEC) has announced its priorities for 2025, highlighting the increasing role of digital assets in the financial landscape and the need for close monitoring by investment advisors.
美国证券交易委员会 (SEC) 宣布了 2025 年的优先事项,强调数字资产在金融领域中日益重要的作用以及投资顾问密切监控的必要性。
As part of its priorities, the SEC will focus on examining how registrants, such as investment advisors, understand and manage crypto assets. The Commission will assess whether firms adhere to the fiduciary duties required when offering advice on these assets, particularly in cases involving retail investors and retirement savings.
作为其优先事项的一部分,美国证券交易委员会将重点审查投资顾问等注册人如何理解和管理加密资产。委员会将评估公司在就这些资产提供建议时是否遵守所需的信托义务,特别是在涉及散户投资者和退休储蓄的情况下。
This emphasis on crypto stems from concerns about the complexity, volatility, and opaque nature of many digital assets. The SEC is particularly interested in scenarios where products are recommended to investors without sufficient explanation or understanding of the risks.
对加密货币的重视源于对许多数字资产的复杂性、波动性和不透明性的担忧。 SEC 对在没有充分解释或了解风险的情况下向投资者推荐产品的情况特别感兴趣。
Firms managing crypto assets will be evaluated on their compliance with regulatory standards and transparency when advising clients.
在向客户提供建议时,将评估管理加密资产的公司是否遵守监管标准和透明度。
Over the past decade, the SEC has maintained a controversial stance on cryptocurrency, engaging in a combination of enforcement actions, rulemaking, and public statements. The Commission has both supported crypto companies and taken legal actions against several prominent firms.
在过去的十年中,美国证券交易委员会在加密货币问题上一直保持着有争议的立场,结合了执法行动、规则制定和公开声明。该委员会既支持加密货币公司,又对几家知名公司采取法律行动。
Here's a closer look at the SEC's actions in the crypto space:
以下是 SEC 在加密货币领域的行动的详细介绍:
The SEC has not only acted as a watchdog but also a facilitator of responsible innovation. Several initiatives have been aimed at clarifying regulations and supporting firms that comply with existing laws:
SEC 不仅充当监督者,而且充当负责任创新的促进者。多项举措旨在澄清法规并支持遵守现有法律的公司:
In 2021, the SEC approved the first Bitcoin futures ETFs (Exchange-Traded Funds) after years of debate. This opened the door for institutional investors to gain exposure to Bitcoin in a regulated framework.
经过多年的争论,美国证券交易委员会 (SEC) 于 2021 年批准了第一批比特币期货 ETF(交易所交易基金)。这为机构投资者在受监管的框架内投资比特币打开了大门。
The approval of these products, like those from ProShares and Valkyrie, signified a shift in the SEC's approach, recognizing that the futures market could be an entry point for crypto investments under strict regulation.
这些产品(如 ProShares 和 Valkyrie 的产品)的批准,标志着 SEC 方法的转变,认识到期货市场可能是严格监管下的加密货币投资的切入点。
The SEC has issued guidance for Initial Coin Offerings (ICOs) and token offerings, helping firms understand how to issue digital assets in compliance with securities laws. While this has been a contentious area, the guidance serves as a roadmap for firms aiming to stay within legal boundaries.
美国证券交易委员会 (SEC) 发布了首次代币发行 (ICO) 和代币发行指南,帮助公司了解如何按照证券法发行数字资产。尽管这是一个有争议的领域,但该指南可以为旨在保持在法律范围内的公司提供路线图。
However, the SEC's enforcement track record has been more aggressive. The agency has taken legal action against several high-profile crypto companies, often citing the sale of unregistered securities or failure to follow compliance procedures.
然而,美国证券交易委员会的执法记录更为激进。该机构已对几家知名加密货币公司采取法律行动,理由通常是出售未注册的证券或未能遵守合规程序。
One of the most notable cases involved Ripple Labs, which the SEC sued in December 2020, claiming that Ripple's sale of XRP tokens constituted an unregistered securities offering.
最引人注目的案件之一涉及 Ripple Labs,SEC 于 2020 年 12 月对 Ripple Labs 提起诉讼,声称 Ripple 销售 XRP 代币构成未经注册的证券发行。
This lawsuit has been ongoing, with implications for how cryptocurrencies are classified—either as securities or commodities. The case is viewed as pivotal in defining the future regulatory environment for cryptocurrencies.
该诉讼一直在进行中,对加密货币的分类(证券或商品)产生了影响。该案件被视为定义加密货币未来监管环境的关键。
In February 2022, the SEC reached a $100 million settlement with BlockFi, a cryptocurrency lending platform. BlockFi was accused of failing to register its lending product, which the SEC deemed a security.
2022 年 2 月,SEC 与加密货币借贷平台 BlockFi 达成 1 亿美元的和解。 BlockFi 被指控未能注册其贷款产品,美国证券交易委员会将其视为证券。
This was one of the largest penalties imposed by the SEC on a crypto firm, reinforcing the message that compliance with securities laws is essential for platforms offering yield-based crypto products.
这是 SEC 对加密货币公司实施的最大处罚之一,强化了这样的信息:遵守证券法对于提供基于收益的加密产品的平台至关重要。
The SEC has also investigated leading exchanges, such as Coinbase and Binance, for listing unregistered securities and potentially misleading customers about the safety and risk associated with certain digital tokens.
美国证券交易委员会还调查了 Coinbase 和 Binance 等领先交易所上市未注册证券以及可能误导客户有关某些数字代币相关安全和风险的情况。
While these firms have made efforts to comply with U.S. regulations, the SEC has continued to scrutinize their operations, looking into issues around transparency, token listings, and conflicts of interest.
尽管这些公司努力遵守美国法规,但美国证券交易委员会仍在继续审查它们的运营,调查有关透明度、代币上市和利益冲突的问题。
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