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国际资讯监管与政策

香港证监会打击证券类代币,所发出多项整改通知

本周五,香港证监会(SFC)宣布“已经对部分加密货币交易所和ICO发行方采取监管行动”。

其中,该机构已经向香港境内(或与香港有关联的)7家加密货币交易所发出了整改通知,警告其“不应在没有获得许可的前提下交易那些被《证券及期货条例》(SFO)定义为‘证券’的加密货币”。

去年9月,FSC发布声明表示,按照香港《证券及期货条例》,部分数字代币可被视为证券,应受到香港证券法监管。

另外,FSC表示其还向ICO发行方发出了通知。如有任何加密货币交易所仍然违反证券法规定或者重犯者,证监会表示不排除采取进一步措施。

此前,FSC曾多次针对加密货币和ICO对投资者发出过风险警示。除9月份发布通告外,还在12月再次警告投资者关于比特币期货合约及其他加密货币投资风险。

在本周五发布的声明中,FSC还指出其多次收到投资者投诉称无法从交易所账户中提现或者提取加密货币。有消费者投诉称加密货币交易所盗用其资产或者操控市场,也有人称交易平台的技术漏洞造成了其资金损失。还有人投诉ICO发行方没有获得许可或者从事欺诈性活动。

本周早些时候,中国当局下令禁止海外加密货币交易所。据《南华早报》报道,和大陆不同的是,香港允许交易未受监管的数字代币,只要这类产品的转手方式不在FSC的管辖范围之内。

FSC采取此类措施的时间恰好与香港加密货币交易所币安在本周四暂停交易的时间一致。

The Hong Kong Securities and Futures Commission has sent letters to seven cryptocurrency exchanges regarding their listings of securities tokens without a license. Most of the exchanges took immediate rectification measures, including removing problematic cryptocurrencies from their platforms.

Hong Kong Takes Action

The Hong Kong Securities and Futures Commission (SFC) announced on Friday that it “has taken regulatory action against a number of cryptocurrency exchanges and issuers of ICOs.”

The agency sent letters to seven cryptocurrency exchanges in Hong Kong or in connection with Hong Kong, warning “them that they should not trade cryptocurrencies which are ‘securities’ as defined in the Securities and Futures Ordinance (SFO) without a licence.”

This regulatory action follows the FSC’s warning last September that digital tokens may be considered securities as defined by the SFO, “and subject to the securities laws of Hong Kong.”

The Commission revealed that after receiving its letters:

Most of these cryptocurrency exchanges either confirmed that they did not provide trading services for such cryptocurrencies or took immediate rectification measures, including removing relevant cryptocurrencies from their platforms.

In addition, the FSC stated that it has also written to seven initial coin offering (ICO) issuers. “Most of them confirmed compliance with the SFC’s regulatory regime or immediately ceased to offer tokens to Hong Kong investors,” the agency confirmed, adding that it will “continue to closely monitor ICOs, and will not tolerate any violations of the securities laws of Hong Kong.”

Furthermore, the Commission said it “may take further action where appropriate,” against any crypto exchanges which disregard the SFO provisions as well as repeat offenders.

Warnings and Complaints

The SFC has warned investors of the risks associated with cryptocurrency and ICO investing several times. Following a warning in September, the agency issued a circular in December cautioning investors of the risks associated with bitcoin futures contracts and other crypto investments.

In Friday’s announcement, the Commission noted that it has received complaints from investors about not being able to withdraw fiat currencies or cryptocurrencies from their accounts at crypto exchanges. “Some complainants claimed that cryptocurrency exchanges had misappropriated their assets or manipulated the market, or that technical breakdowns of the exchanges’ platforms caused them significant losses,” the agency detailed. “Several complaints against ICO issuers alleged unlicensed or fraudulent activities.”

The CEO of the FSC, Ashley Alder, commented:

We will continue to police the market and enforce when necessary…But we are also urging market professionals to do proper gatekeeping to prevent fraud or dubious fundraising and to assist us in ensuring compliance with the law.

Earlier this week, the Chinese authorities decided to ban foreign cryptocurrency exchanges. “Unlike the mainland, Hong Kong allows unregulated trading of digital tokens as long as the products changing hands are not in a format that would fall under the SFC’s jurisdiction,” South China Morning Post describes.

The FSC’s action also coincides with the Hong Kong-based crypto exchange Binance suspending trading on Thursday. The company denied that it has been hacked and its CEO subsequently tweeted explaining that the downtime is due to a “server issue on our replica database cluster, causing some data to be out of sync.”


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