美國(guó)對(duì)世界上最大的加密貨幣交易所——幣安(Binance)的調(diào)查出現(xiàn)擴(kuò)大趨勢(shì)。最新跡象表明,監(jiān)管機(jī)構(gòu)正在調(diào)查潛在的內(nèi)幕交易和市場(chǎng)操縱。審查正在逐步加強(qiáng)。
知情人士表示,美國(guó)官員一直在調(diào)查幣安或其員工是否通過(guò)利用客戶獲利。由于調(diào)查的保密性,這些知情人士要求匿名。其中一位還提到,美國(guó)商品期貨交易委員會(huì)(Commodity Futures Trading Commission,簡(jiǎn)稱CFTC)的調(diào)查人員參與了此次調(diào)查,他們最近幾周一直在接觸潛在證人。
盡管幣安并不隸屬于任何一個(gè)國(guó)家,但其運(yùn)行著規(guī)模龐大的交易業(yè)務(wù),每日客戶在政府監(jiān)管機(jī)構(gòu)的監(jiān)督之外買入、賣出價(jià)值數(shù)百億美元的數(shù)字代幣,而這就讓幣安對(duì)數(shù)百萬(wàn)筆交易有充分的接觸和了解。美國(guó)有關(guān)部門質(zhì)該公司是否利用了這一渠道(為自己牟利),包括在執(zhí)行客戶訂單之前先進(jìn)行交易等。
幣安的發(fā)言人在一份聲明中表示,該公司對(duì)內(nèi)幕交易實(shí)行“零容忍”政策,并有著“嚴(yán)格的道德準(zhǔn)則”,防止任何可能傷害其客戶或加密行業(yè)的不當(dāng)行為。該發(fā)言人表示,幣安的安全團(tuán)隊(duì)對(duì)調(diào)查不當(dāng)行為和追究員工責(zé)任有長(zhǎng)期的指導(dǎo)方針,解雇是最小的間接影響。
CFTC的一位發(fā)言人則拒絕對(duì)此事置評(píng)。
合規(guī)問(wèn)題
對(duì)于幣安及其直言不諱的創(chuàng)始人趙長(zhǎng)鵬(Changpeng Zhao,化名CZ)來(lái)說(shuō),合規(guī)一直是公司的痼疾。由于“缺乏適當(dāng)?shù)脑S可證明”,越來(lái)越多的國(guó)家要求該公司及其附屬公司停止在本國(guó)境內(nèi)提供服務(wù)。據(jù)彭博社(Bloomberg)報(bào)道稱,美國(guó)司法部(Justice Department)和國(guó)稅局(Internal Revenue Service)已經(jīng)對(duì)幣安是否涉嫌洗錢和逃稅展開(kāi)了刑事調(diào)查。
但是,幣安未被指控有不當(dāng)行為,調(diào)查或?qū)⒉粫?huì)導(dǎo)致任何官方行動(dòng)。CFTC和司法部已經(jīng)對(duì)幣安進(jìn)行了數(shù)月的調(diào)查,可能還需要等待一段時(shí)間才能決定是否采取強(qiáng)制措施。
幣安并不是唯一一個(gè)被美國(guó)監(jiān)管機(jī)構(gòu)盯上的公司。華盛頓一直在關(guān)注和警惕加密市場(chǎng)的快速增長(zhǎng),包括美國(guó)財(cái)政部、美聯(lián)儲(chǔ)和美國(guó)證券交易委員會(huì)在內(nèi)的多家機(jī)構(gòu)的擔(dān)憂逐漸提升。他們認(rèn)為,加密市場(chǎng)或成為非法活動(dòng)的溫床,一些公司在未能保障消費(fèi)者權(quán)益的情況下轉(zhuǎn)向傳統(tǒng)金融服務(wù)。
CFTC已經(jīng)針對(duì)幣安是否允許美國(guó)居民買賣與比特幣等虛擬代幣相關(guān)的衍生品展開(kāi)調(diào)查,并持續(xù)尋求相關(guān)信息。
一位知情人士表示,CFTC定期與其他聯(lián)邦機(jī)構(gòu)分享調(diào)查結(jié)果,該機(jī)構(gòu)已經(jīng)獲取了幣安的內(nèi)部數(shù)據(jù)和通信記錄,這些信息或包括幣曾試圖與美國(guó)客戶簽約的證據(jù)。幣安并未在美國(guó)官方機(jī)構(gòu)注冊(cè),這意味著根據(jù)CFTC的要求,其沒(méi)有資格與美國(guó)公民進(jìn)行衍生品交易。
“高度關(guān)注”
趙長(zhǎng)鵬經(jīng)常在推特和媒體采訪中吹捧加密貨幣的價(jià)值。在他7月份發(fā)布的一篇博文中,他提到,在幣安問(wèn)題中,人們對(duì)監(jiān)管越來(lái)越“高度關(guān)注”。他重申了幣安禁止內(nèi)幕交易的政策以及其他針對(duì)不當(dāng)行為的防治措施。
他提到,幣安對(duì)處理新代幣發(fā)行的部門和交易所的其他員工實(shí)行了隔離措施。他還補(bǔ)充說(shuō),自去年以來(lái),幣安的全球合規(guī)團(tuán)隊(duì)及其顧問(wèn)委員會(huì)的規(guī)模增長(zhǎng)了500%,并計(jì)劃到2021年底將其規(guī)模擴(kuò)大一倍。
在新加坡工作的趙長(zhǎng)鵬此前曾表示,幣安有著非常嚴(yán)密的監(jiān)控系統(tǒng),以保證美國(guó)交易員無(wú)法參與其業(yè)務(wù)活動(dòng)。他一再表示,公司一直致力于遵守其業(yè)務(wù)所在國(guó)的規(guī)定。
其中一位知情人士說(shuō),CFTC最近詢問(wèn)潛在證人的話題之一,就是幣安數(shù)據(jù)服務(wù)器的位置。雖然尚無(wú)法確定CFTC為何對(duì)此感興趣,但據(jù)分析,這可能與管轄權(quán)問(wèn)題有關(guān),也可能與該機(jī)構(gòu)能否對(duì)幣安行使權(quán)力有關(guān)。美國(guó)法院此前曾駁回對(duì)幣安的訴訟,理由是其在美國(guó)既沒(méi)有辦事處,也沒(méi)有管理人員。
2019年,在趙長(zhǎng)鵬的幫助之下,幣安美國(guó)(Binance.US)成立,成為一家專門為美國(guó)客戶服務(wù)的獨(dú)立公司。但是,當(dāng)年8月初,在領(lǐng)導(dǎo)公司僅3個(gè)月之后,布萊恩·布魯克斯突然辭去了幣安美國(guó)首席執(zhí)行官的職務(wù)。布魯克斯是特朗普政府時(shí)期的代理貨幣監(jiān)理人,他提到了公司戰(zhàn)略方向上的分歧。
CFTC此次對(duì)幣安的調(diào)查在芝加哥進(jìn)行,調(diào)查對(duì)象包括部分參與監(jiān)管機(jī)構(gòu)起訴幣安的競(jìng)爭(zhēng)對(duì)手——BitMEX的官員。
上個(gè)月,BitMEX同意支付1億美元與CFTC和金融犯罪執(zhí)法網(wǎng)絡(luò)(Financial Crimes Enforcement Network)達(dá)成和解,以處理其允許美國(guó)居民交易衍生品以及缺乏適當(dāng)?shù)姆聪村X政策的指控。BitMEX并沒(méi)有承認(rèn)或是否認(rèn)這些指控。(財(cái)富中文網(wǎng))
編譯:楊二一
美國(guó)對(duì)世界上最大的加密貨幣交易所——幣安(Binance)的調(diào)查出現(xiàn)擴(kuò)大趨勢(shì)。最新跡象表明,監(jiān)管機(jī)構(gòu)正在調(diào)查潛在的內(nèi)幕交易和市場(chǎng)操縱。審查正在逐步加強(qiáng)。
知情人士表示,美國(guó)官員一直在調(diào)查幣安或其員工是否通過(guò)利用客戶獲利。由于調(diào)查的保密性,這些知情人士要求匿名。其中一位還提到,美國(guó)商品期貨交易委員會(huì)(Commodity Futures Trading Commission,簡(jiǎn)稱CFTC)的調(diào)查人員參與了此次調(diào)查,他們最近幾周一直在接觸潛在證人。
盡管幣安并不隸屬于任何一個(gè)國(guó)家,但其運(yùn)行著規(guī)模龐大的交易業(yè)務(wù),每日客戶在政府監(jiān)管機(jī)構(gòu)的監(jiān)督之外買入、賣出價(jià)值數(shù)百億美元的數(shù)字代幣,而這就讓幣安對(duì)數(shù)百萬(wàn)筆交易有充分的接觸和了解。美國(guó)有關(guān)部門質(zhì)該公司是否利用了這一渠道(為自己牟利),包括在執(zhí)行客戶訂單之前先進(jìn)行交易等。
幣安的發(fā)言人在一份聲明中表示,該公司對(duì)內(nèi)幕交易實(shí)行“零容忍”政策,并有著“嚴(yán)格的道德準(zhǔn)則”,防止任何可能傷害其客戶或加密行業(yè)的不當(dāng)行為。該發(fā)言人表示,幣安的安全團(tuán)隊(duì)對(duì)調(diào)查不當(dāng)行為和追究員工責(zé)任有長(zhǎng)期的指導(dǎo)方針,解雇是最小的間接影響。
CFTC的一位發(fā)言人則拒絕對(duì)此事置評(píng)。
合規(guī)問(wèn)題
對(duì)于幣安及其直言不諱的創(chuàng)始人趙長(zhǎng)鵬(Changpeng Zhao,化名CZ)來(lái)說(shuō),合規(guī)一直是公司的痼疾。由于“缺乏適當(dāng)?shù)脑S可證明”,越來(lái)越多的國(guó)家要求該公司及其附屬公司停止在本國(guó)境內(nèi)提供服務(wù)。據(jù)彭博社(Bloomberg)報(bào)道稱,美國(guó)司法部(Justice Department)和國(guó)稅局(Internal Revenue Service)已經(jīng)對(duì)幣安是否涉嫌洗錢和逃稅展開(kāi)了刑事調(diào)查。
但是,幣安未被指控有不當(dāng)行為,調(diào)查或?qū)⒉粫?huì)導(dǎo)致任何官方行動(dòng)。CFTC和司法部已經(jīng)對(duì)幣安進(jìn)行了數(shù)月的調(diào)查,可能還需要等待一段時(shí)間才能決定是否采取強(qiáng)制措施。
幣安并不是唯一一個(gè)被美國(guó)監(jiān)管機(jī)構(gòu)盯上的公司。華盛頓一直在關(guān)注和警惕加密市場(chǎng)的快速增長(zhǎng),包括美國(guó)財(cái)政部、美聯(lián)儲(chǔ)和美國(guó)證券交易委員會(huì)在內(nèi)的多家機(jī)構(gòu)的擔(dān)憂逐漸提升。他們認(rèn)為,加密市場(chǎng)或成為非法活動(dòng)的溫床,一些公司在未能保障消費(fèi)者權(quán)益的情況下轉(zhuǎn)向傳統(tǒng)金融服務(wù)。
CFTC已經(jīng)針對(duì)幣安是否允許美國(guó)居民買賣與比特幣等虛擬代幣相關(guān)的衍生品展開(kāi)調(diào)查,并持續(xù)尋求相關(guān)信息。
一位知情人士表示,CFTC定期與其他聯(lián)邦機(jī)構(gòu)分享調(diào)查結(jié)果,該機(jī)構(gòu)已經(jīng)獲取了幣安的內(nèi)部數(shù)據(jù)和通信記錄,這些信息或包括幣曾試圖與美國(guó)客戶簽約的證據(jù)。幣安并未在美國(guó)官方機(jī)構(gòu)注冊(cè),這意味著根據(jù)CFTC的要求,其沒(méi)有資格與美國(guó)公民進(jìn)行衍生品交易。
“高度關(guān)注”
趙長(zhǎng)鵬經(jīng)常在推特和媒體采訪中吹捧加密貨幣的價(jià)值。在他7月份發(fā)布的一篇博文中,他提到,在幣安問(wèn)題中,人們對(duì)監(jiān)管越來(lái)越“高度關(guān)注”。他重申了幣安禁止內(nèi)幕交易的政策以及其他針對(duì)不當(dāng)行為的防治措施。
他提到,幣安對(duì)處理新代幣發(fā)行的部門和交易所的其他員工實(shí)行了隔離措施。他還補(bǔ)充說(shuō),自去年以來(lái),幣安的全球合規(guī)團(tuán)隊(duì)及其顧問(wèn)委員會(huì)的規(guī)模增長(zhǎng)了500%,并計(jì)劃到2021年底將其規(guī)模擴(kuò)大一倍。
在新加坡工作的趙長(zhǎng)鵬此前曾表示,幣安有著非常嚴(yán)密的監(jiān)控系統(tǒng),以保證美國(guó)交易員無(wú)法參與其業(yè)務(wù)活動(dòng)。他一再表示,公司一直致力于遵守其業(yè)務(wù)所在國(guó)的規(guī)定。
其中一位知情人士說(shuō),CFTC最近詢問(wèn)潛在證人的話題之一,就是幣安數(shù)據(jù)服務(wù)器的位置。雖然尚無(wú)法確定CFTC為何對(duì)此感興趣,但據(jù)分析,這可能與管轄權(quán)問(wèn)題有關(guān),也可能與該機(jī)構(gòu)能否對(duì)幣安行使權(quán)力有關(guān)。美國(guó)法院此前曾駁回對(duì)幣安的訴訟,理由是其在美國(guó)既沒(méi)有辦事處,也沒(méi)有管理人員。
2019年,在趙長(zhǎng)鵬的幫助之下,幣安美國(guó)(Binance.US)成立,成為一家專門為美國(guó)客戶服務(wù)的獨(dú)立公司。但是,當(dāng)年8月初,在領(lǐng)導(dǎo)公司僅3個(gè)月之后,布萊恩·布魯克斯突然辭去了幣安美國(guó)首席執(zhí)行官的職務(wù)。布魯克斯是特朗普政府時(shí)期的代理貨幣監(jiān)理人,他提到了公司戰(zhàn)略方向上的分歧。
CFTC此次對(duì)幣安的調(diào)查在芝加哥進(jìn)行,調(diào)查對(duì)象包括部分參與監(jiān)管機(jī)構(gòu)起訴幣安的競(jìng)爭(zhēng)對(duì)手——BitMEX的官員。
上個(gè)月,BitMEX同意支付1億美元與CFTC和金融犯罪執(zhí)法網(wǎng)絡(luò)(Financial Crimes Enforcement Network)達(dá)成和解,以處理其允許美國(guó)居民交易衍生品以及缺乏適當(dāng)?shù)姆聪村X政策的指控。BitMEX并沒(méi)有承認(rèn)或是否認(rèn)這些指控。(財(cái)富中文網(wǎng))
編譯:楊二一
U.S. investigations into Binance have expanded, with authorities now examining possible insider trading and market manipulation -- the latest sign that scrutiny of the world’s largest cryptocurrency exchange is intensifying.
As part of the inquiry, U.S. officials have been looking into whether Binance or its staff profited by taking advantage of its customers, said people with knowledge of the matter who asked not to be identified because the probe is confidential. The review involves Commodity Futures Trading Commission investigators, who in recent weeks have been reaching out to potential witnesses, one of the people said.
Though it’s not based in any one country, Binance runs a massive trading operation where everyday clients buy and sell digital tokens worth tens of billions of dollars outside the oversight of government watchdogs. That gives the exchange a view into millions of transactions, and U.S. authorities are questioning whether the firm exploited that access, including by trading on customer orders before executing them.
In a statement, a Binance spokesperson said the firm has a “zero-tolerance” policy for insider trading and a “strict ethical code” to prevent any misconduct that could hurt its customers or the crypto industry. Binance’s security team has long-standing guidelines for investigating wrongdoing and holding workers accountable, with termination being the minimal repercussion, the spokesperson added.
A CFTC spokeswoman declined to comment.
Compliance headaches
Compliance has been a constant headache for Binance and its outspoken founder, Changpeng Zhao, who goes by CZ. A growing list of nations have demanded that the company and affiliates cease offering services within their borders, claiming they lack proper licenses. In the U.S., the Justice Department and Internal Revenue Service have launched criminal probes into whether Binance has been a conduit for money laundering and tax evasion, Bloomberg has reported.
Binance hasn’t been accused of wrongdoing and the investigations may not lead to any official action. The CFTC and the Justice Department have been examining the firm for months and it could be some time before the agencies decide whether to pursue enforcement actions.
Binance is far from alone in getting unwanted attention from U.S. authorities. Washington has watched the rapid growth of crypto with alarm, with agencies ranging from the Treasury Department to the Federal Reserve and the Securities and Exchange Commission increasingly worried that the market is a hotbed of illicit activity and that firms are veering into traditional financial services without protecting consumers.
The CFTC was already probing whether Binance let U.S. residents buy and sell derivatives linked to Bitcoin and other virtual tokens, and the regulator is continuing to seek information as part of that line of inquiry.
The CFTC, which routinely shares its findings with other federal agencies, has sought internal Binance data and communications that could indicate the firm may have tried to sign up U.S. customers, one of the people said. Binance isn’t registered with U.S. authorities, meaning it’s supposed to bar Americans from trading derivatives, which the CFTC regulates.
‘Hyper-focus’
Zhao, who regularly touts crypto on Twitter and in media interviews, said in a July blog post that there has been a “hyper-focus on regulation when it comes to Binance.” He highlighted Binance’s policies to prevent insider trading and, as another protection against misconduct, said the firm walls off the unit that handles the issuance of new tokens from the rest of the exchange’s staff. Binance’s global compliance team and its advisory board have grown 500% since last year, he added, with plans to double their size by the end of 2021.
Zhao, who has been working out of Singapore, has previously said that Binance has sophisticated surveillance systems to keep U.S.-based traders off its exchange. He has repeatedly said that the firm is committed to following rules in the countries in which it operates.
Among topics the CFTC has recently asked potential witnesses about is the location of Binance’s data servers, one of the people said. While it couldn’t be determined why the CFTC was interested, it could be tied to jurisdictional issues and whether the agency can assert authority over Binance. U.S. courts have previously tossed out litigation against the firm on the grounds that it has neither offices nor managers in the states.
In 2019, Zhao helped incorporate Binance.US, a separate company that caters to American clients. Brian Brooks abruptly resigned as Binance.US’s chief executive officer in early August after leading the company for just three months. Brooks, who was acting comptroller of the currency during the Trump administration, cited differences over the firm’s strategic direction.
The CFTC investigation into Binance is being run out of Chicago and includes some of the same officials who worked on the regulator’s case against BitMEX, a rival crypto exchange.
Last month, BitMEX agreed to pay $100 million in a settlement with the CFTC and the Financial Crimes Enforcement Network to resolve claims that it let U.S. residents trade derivatives and that it lacked proper anti-money-laundering controls. BitMEX didn’t admit or deny the allegations.