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10月10日,美国证券交易委员会(SEC)宣布对Cumberland DRW LLC提起民事诉讼
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.
美国证券监管机构已将 Tether 最喜爱的做市商 Cumberland Global 列为目标,此举可能会让这家全球领先的稳定币发行人更接近监管清算。
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,美国证券交易委员会(SEC)宣布向伊利诺伊州北区美国地方法院提起针对Cumberland DRW LLC的民事诉讼。美国证券交易委员会 (SEC) 指控总部位于芝加哥的 DRW Trading Group 的分支机构 Cumberland 自 2018 年 3 月以来“作为未经注册的交易商,以证券形式发行和出售超过 20 亿美元的加密资产”。
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.”
起诉书指控坎伯兰在未向美国证券交易委员会注册为证券交易商的情况下通过买卖上述未注册证券赚取“数百万美元的不正当收益”。在此过程中,坎伯兰剥夺了投资者和市场“联邦证券法注册条款的保护”。
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.”
美国证券交易委员会表示,自 2019 年初推出坎伯兰 Marea 在线交易平台以来,坎伯兰已允许“超过 1,500 名高净值个人和实体”作为该平台的交易对手。这些交易对手包括“加密资产领域的知名参与者、例如由加密资产投资公司管理的基金以及某些现已解散的加密资产对冲基金。”
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 还通过在各种代币上建立多头或空头头寸以及在第三方交易所(包括 Binance、Bittrex、Coinbase(纳斯达克股票代码:COIN)、Kraken 和 Poloniex)上进行“自营策略交易”来从事“全权委托风险承担” 。自 2019 年以来,这些业务和其他业务为坎伯兰创造了超过 4 亿美元的收入和 2700 万美元的利润。
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 交易的代币的“非详尽清单”,监管机构认为这些代币为未注册证券:Polygon Technology(以前称为 MATIC,现在称为 POL);索拉纳(SOL);宇宙(ATOM);阿尔戈兰(ALGO);和 Filecoin(FIL)。美国证券交易委员会声称,这些资产中的每一项“自成立以来都是作为投资合同提供和出售的”。投诉中提到,这些代币在坎伯兰的交易量中代表“至少 20 亿美元”。
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.
这些代币的发行人和发起人发表的声明“会导致客观投资者合理地将”购买或出售代币的要约视为“购买和出售投资合同的要约”。 SEC 随后提供了有关这些代币如何触发 Howey 测试的各个部分的具体细节,以识别需要在 SEC 注册的证券。
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.
美国证券交易委员会正在寻求永久禁止坎伯兰进一步违反《交易法》,并迫使坎伯兰交出(连利息)通过投诉中指控的非法行为获得的所有非法交易利润。
Cumberland says ‘bring it’
坎伯兰说“拿来”
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.”
作为回应,坎伯兰发表了一份挑衅性的声明,称自己是“美国证券交易委员会以执法为先的方式扼杀创新并阻止合法公司参与数字资产的最新目标。”
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.”
坎伯兰声称已就其交易是否涉及未注册证券“与美国证券交易委员会进行了五年的真诚讨论”。但据称,该投诉标志着“美国证券交易委员会首次概述有争议的具体交易”。
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 🧃 收购了一家注册经纪交易商”,但声称 SEC 通知其“我们只能使用我们的经纪交易商交易 BTC 或 ETH”,Cumberland 坚称这些是商品,因此不在 SEC 的管辖范围内。
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.”
坎伯兰表示,不会因美国证券交易委员会的投诉而“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”。坎伯兰声称“对我们强大的合规框架和严格遵守所有已知规则和法规充满信心”。
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 回顾了其母公司与商品期货交易委员会 (CFTC) 的成功法律斗争,当时该委员会由现任 SEC 主席加里·根斯勒 (Gary Gensler) 领导。坎伯兰此前曾战胜过“过度热心的监管机构,他们以损害而不是造福市场的方式行使权力”,坎伯兰“准备再次捍卫自己”。
Tether ties
系绳
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 被揭露为当时发行的 USDT(Tether)的最大接收者,甚至领先于现已解散的 Alameda Research,后者是 Sam Bankman-Fried 同样腐败的 FTX 数字资产交易所的腐败分支。
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.
鉴于其 USDT 鲸鱼地位,Cumberland 将处于有利地位来确认或否认 Tether 经常重复的历史主张,即它仅在收到等量美元后才发行 USDT。此后,Tether 在这一基准中引入了一些回旋余地,承认有时会接受 BTC 等数字资产来代替美元,甚至将 USDT 借给 Tether 认为对其有利的人。
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
仅供参考,美国证券交易委员会 (SEC) 对坎伯兰 (Cumberland) 的投诉紧随司法部 (DOJ) 对少数小型做市商提出刑事指控,指控他们操纵几种 memecoin 的价格(如
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