SEC 起诉加密货币做市商 Cumberland DRW 涉嫌交易 20 亿美元未注册证券

美国证券交易委员会（SEC）对著名加密货币做市商 Cumberland DRW 提起诉讼，指控该公司充当未注册证券交易商，推销和交易本应注册为证券的 20 亿美元加密资产。

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.

美国证券交易委员会（SEC）对著名加密货币做市商 Cumberland DRW 提起诉讼，指控该公司充当未注册证券交易商，推销和交易本应注册为证券的 20 亿美元加密资产。

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.

美国证券交易委员会在周四的一份声明中表示，自 2018 年以来，坎伯兰利用其研究报告和更新电子邮件来促进对这些加密资产的投资，表明它们充满希望的投资机会。然而，SEC 认为这些加密资产实际上是证券，坎伯兰在交易之前必须注册为证券交易商。

“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.

“尽管业界经常抗议加密资产的销售类似于商品销售，但我们的投诉称，坎伯兰、各自的发行人以及客观投资者将本案中涉及的加密资产的发行和销售视为对商品的投资。美国证券交易委员会加密资产和网络部门（CACU）代理负责人豪尔赫·G·滕雷罗（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 已将 Polygon、Solana、Cosmos、Algorand 和 Filecoin 列为 Cumberland 非法交易的加密资产的示例。

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

坎伯兰否认了这些指控，声称有信心遵守所有适用的法律和法规。

"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."

“由于 SEC 的这一行动，我们不会对我们的业务运营或我们提供流动性的资产进行任何改变。我们对我们强大的合规框架和对所有已知规则和法规的严格遵守充满信心 - 即使它们一直是一个不断变化的目标，”坎伯兰在 Twitter/X 上发布的一份声明中表示，并补充说“不久前 ETH 还被声称是一种证券。”

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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，美国证券交易委员会的诉讼引发了有关加密货币市场监管以及未来执法行动潜力的严重问题。

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.

美国证券交易委员会针对 Cumberland DRW 提起的诉讼只是针对涉嫌交易未注册证券的加密货币公司的一系列法律诉讼中的最新一起。

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 起诉 Ripple Labs，指控其 XRP 代币是一种证券。案件仍在进行中。第二年，该机构调查了 Kik Messenger 及其 KIN 代币，但没有提起诉讼。相反，它与 Kik 达成和解，要求该公司支付 500 万美元的罚款并停止销售 KIN 代币。 2022年，SEC起诉EOS开发商Block.one，指控其EOS代币是一种证券。 Block.one 以 2400 万美元与 SEC 达成和解。

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.

本周早些时候，加密货币交易所 Crypto.com 在 8 月份收到监管机构的 Wells 通知后对 SEC 提起诉讼。威尔斯通知通常在发起正式诉讼之前发出。 OpenSea、Coinbase、Uniswap Labs、Ripple、Robinhood、Consensys 和 BUSD 发行人 Paxos 等都是收到此类通知的加密货币公司。

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 首席执行官 Kris Marszalek 表示，这起诉讼是“对 SEC 执法制度监管的合理回应，该制度已经伤害了超过 5000 万美国加密货币持有者。”