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美国证券交易委员会命令Block.one因其未注册的ICO支付2400万美元罚款/SEC Orders Blockchain Company to Pay $24 Million Penalty for Unregistered ICO





 “一些美国投资者参与了Block.one的ICO,”SEC执法局联合主管Stephanie Avakian说,“对美国投资者提供和出售债券的公司必须遵守证券法,不管它们所处环境如何、不管它们给自己的投资产品贴了什么标签。

 “Block.one作为证券发行方并没有向ICO投资人提供其必须提供的相关信息,“SEC执法局联合主管Steven Peikin表示,”如果投资人被剥夺重要信息,影响其理性的投资选择,那么证交所就必须采取执法行动。“


本次调查由Luke M. Fitzgerald 和 Tuongvy Le执行,受SEC网络部门和纽约地区办公室的John O. Enright监督。


Washington D.C., Sept. 30, 2019 —

The Securities and Exchange Commission today announced settled charges against blockchain technology company for conducting an unregistered initial coin offering of digital tokens (ICO) that raised the equivalent of several billion dollars over approximately one year.  The company agreed to settle the charges by paying a $24 million civil penalty.

According to the SEC’s order,, which has operations in Virginia and Hong Kong, conducted an ICO between June 2017 and June 2018.  The order finds that stated it would use the capital raised in the ICO for general expenses, and also to develop software and promote blockchains based on that software.’s offer and sale of 900 million tokens began shortly before the SEC released the DAO Report of Investigation and continued for nearly a year after the report’s publication, eventually raising several billion dollars worth of digital assets globally, including a portion from US investors. did not register its ICO as a securities offering pursuant to the federal securities laws, nor did it qualify for or seek an exemption from the registration requirements.

“A number of US investors participated in’s ICO,” said Stephanie Avakian, Co-Director of the SEC’s Division of Enforcement.  “Companies that offer or sell securities to US investors must comply with the securities laws, irrespective of the industry they operate in or the labels they place on the investment products they offer.”

“ did not provide ICO investors the information they were entitled to as participants in a securities offering,” said Steven Peikin, Co-Director of the SEC’s Division of Enforcement.  “The SEC remains committed to bringing enforcement cases when investors are deprived of material information they need to make informed investment decisions.” 

The SEC’s order finds that violated the registration provisions of the federal securities laws and requires it to pay a $24 million civil monetary penalty. consented to the order without admitting or denying its findings.

The investigation was conducted by Luke M. Fitzgerald and Tuongvy Le, and was supervised by John O. Enright, of the SEC’s Cyber Unit and New York Regional Office.

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