CFTC 指控 KuCoin 營運非法數位資產衍生品交易所.
發布日期：2024-03-26
華盛頓特區 — 商品期貨交易委員會今日宣布，已在美國紐約南區聯邦地區法院提起民事執法訴訟，指控Mek Global Limited、PhoenixFin PTE Ltd.、Flashdot Limited及Peken Global Limited（上述公司共同以KuCoin名義營運一家集中式數位資產交易所）多次違反《商品交易所法》（CEA）及CFTC法規。
訴狀指控KuCoin非法從事非交易所商品期貨交易及槓桿、保證金或融資之零售商品交易；招攬並接受商品期貨、交換契約及槓桿、保證金或融資之零售商品交易的訂單，但未向CFTC註冊為期貨佣金商（FCM）；未能勤勉監督其FCM業務；在未向CFTC註冊為交換契約執行設施（SEF）或指定合約市場（DCM）的情況下，營運用於交易或處理交換契約的設施；以及未能實施有效的客戶身分識別計畫（CIP）。
在對KuCoin的持續訴訟中，CFTC尋求追繳非法所得、民事罰款、永久交易及註冊禁令，以及針對進一步違反CEA及CFTC法規行為的永久禁制令，即如訴訟所指控。
「長期以來，一些離岸加密貨幣交易所遵循一套如今已司空見慣的慣用手法：提供衍生性產品，並虛偽宣稱美國用戶無法使用其平台；但事實上，任何在美國境內使用常見技術的人，都可以在不提供基本客戶身分識別資訊的情況下進行交易，」執法總監Ian McGinley表示。 「正如CFTC今日行動及其先前執法行動所明確表明的那樣，CFTC的策略現在也應該為人所熟悉——CFTC將起訴此類實體，指控其未向CFTC註冊，且未遵守該機構旨在保護美國客戶並預防和偵測恐怖主義融資與洗錢的規則。」麥金利繼續表示。
案件背景
根據起訴書，KuCoin從約2019年7月至約2023年6月期間，向美國境內人士提供並為其執行商品衍生品以及槓桿、保證金或融資性質的商品交易，且未能實施所要求的認識你的客戶（KYC）合規程序。起訴書進一步指控，儘管KuCoin聲稱已實施KYC程序，但這些程序只是幌子，並未阻止美國客戶在該平台交易商品權益及衍生品。
起訴書還指控，自稱是美國客戶的人士獲准在交易所上交易商品期貨、掉期及槓桿、保證金或融資性質的商品交易，此舉違反了《商品交易法》（CEA）和CFTC的規定。KuCoin在相關期間未實施任何IP位址限制以阻止美國客戶交易商品權益，也未考慮到諸如虛擬私人網路（VPN）等常用技術可能繞過IP位址限制。
相關刑事訴訟
在另一宗獨立刑事案件中，美國紐約南區檢察官辦公室對PhoenixFin PTE Ltd.、Flashdot Limited和Peken Global Limited提起公訴，指控其違反《銀行保密法》、經營未經許可的貨幣傳輸業務，以及共謀違反《銀行保密法》並經營未經許可的貨幣傳輸業務。
* * * * * * * 負責此事的執法部門人員為 Christopher Giglio、Andrew Rodgers、Jack Murphy、K. Brent Tomer、Lenel Hickson, Jr. 及 Manal M. Sultan。.
披露原文
Washington, D.C. — The Commodity Futures Trading Commission today announced it filed a civil enforcement action in the U.S. District Court for the Southern District of New York charging Mek Global Limited, PhoenixFin PTE Ltd., Flashdot Limited, and Peken Global Limited, which collectively operate a centralized digital asset exchange under the name KuCoin, with multiple violations of the Commodity Exchange Act (CEA) and CFTC regulations. The complaint charges KuCoin illegally dealt in off-exchange commodity futures transactions and leveraged, margined, or financed retail commodity transactions; solicited and accepted orders for commodity futures, swaps, and leveraged, margined, or financed retail commodity transactions without registering with the CFTC as a futures commission merchant (FCM); failed to diligently supervise its FCM activities; operated a facility for the trading or processing of swaps without registering with the CFTC as a swap execution facility (SEF) or designated contract market (DCM); and failed to implement an effective customer identification program (CIP). In its continuing litigation against KuCoin, the CFTC seeks disgorgement, civil monetary penalties, permanent trading and registration bans, and a permanent injunction against further violations of the CEA and CFTC regulations, as charged. “For too long, some offshore crypto exchanges have followed a now-familiar playbook by offering derivative products and falsely claiming people in the United States cannot use their platforms, when in reality, anyone in the U.S. with commonly used technology can trade without providing basic customer identifying information,” said Director of Enforcement Ian McGinley. “As made clear by the CFTC’s action today and its previous enforcement actions, the CFTC’s playbook should also now be familiar – the CFTC will charge such entities with failing to register with the CFTC and failing to comply with the agency’s rules that protect U.S. customers and prevent and detect terrorist financing and money laundering,” McGinley continued. Case Background According to the complaint, KuCoin offered and executed commodity derivatives and leveraged, margined, or financed commodity transactions to and for people in the U.S. from approximately July 2019 to approximately June 2023, and failed to implement required know-your-customer (KYC) compliance procedures. The complaint further alleges that although KuCoin claimed to have implemented KYC procedures, those procedures were a sham and did not prevent U.S. customers from trading commodity interests and derivatives on the platform. The complaint also alleges people who identified themselves as being U.S. customers were permitted to trade commodity futures, swaps, and leveraged, margined, or financed commodity transactions on the exchange, in violation of the CEA and CFTC regulations. KuCoin failed to impose any IP address restrictions during the relevant period to prevent U.S. customers from trading commodity interests or account for commonly used technology such as virtual private networks (VPNs) that could potentially circumvent IP address restrictions. Related Criminal Action In a separate criminal matter, the U.S. Attorney’s Office for the Southern District of New York filed an indictment against PhoenixFin PTE Ltd., Flashdot Limited, and Peken Global Limited charging them with violating the Bank Secrecy Act, operating an unlicensed money transmitter business, and conspiracy to violate the Bank Secrecy Act and operate as an unlicensed money transmitter business. * * * * * * * The Division of Enforcement staff responsible for this matter are Christopher Giglio, Andrew Rodgers, Jack Murphy, K. Brent Tomer, Lenel Hickson, Jr., and Manal M. Sultan.
