Genesis 同意支付 21M 以解决 SEC 案件
(Genesis agrees to pay 21M to settle SEC case)
Published: 2024-03-19
1. Genesis Global Trading 同意支付 5360 万美元,以与美国证券交易委员会 (SEC) 就促进非法交易的指控达成和解. 和解协议包括 3460 万美元的追缴款、1600 万美元的罚款和 300 万美元的判决前利息. Genesis既不承认也不否认SEC的调查结果,但同意停止并停止未来的违规行为.
2. Genesis 被指控在未注册为经纪公司的情况下代表客户执行场外大宗加密货币交易. 美国证券交易委员会发现,Genesis 是一家未注册的经纪交易商,同时促进了超过 18 亿美元的一级市场销售.
3. 值得注意的是,该和解协议反映了针对涉及加密行业的公司的监管执法行动的增长趋势. 美国证券交易委员会代理主席艾莉森·赫伦·李(Allison Herren Lee)强调,实体需要遵守联邦证券法,尤其是在数字资产领域不断扩大的情况下。. .
1. Genesis Global Trading agreed to pay $53.6 million to settle a case with the Securities and Exchange Commission (SEC) regarding allegations of facilitating illegal trades. The settlement includes a $34.6 million disgorgement,a $16 million penalty,and $3 million in prejudgment interest. Genesis neither admitted nor denied the SEC's findings but agreed to cease and desist from future violations.
2. Genesis was accused of executing off-exchange,large block cryptocurrency trades on behalf of clients without registering as a brokerage. The SEC found that Genesis operated as an unregistered broker-dealer while facilitating more than $1.8 billion in primary market sales.
3. It is important to note that the settlement reflects a growing trend of regulatory enforcement actions against companies involved in the crypto industry. Acting SEC Chair,Allison Herren Lee,emphasized the need for entities to comply with federal securities laws,especially as the digital asset space continues to expand.
Reference:
cointelegraph.com