SEC新年首要任务:审查加密货币市场

发布时间:2019-07-11 19:37:37 来源:齐齐乐-齐齐乐棋牌-齐齐乐棋牌安卓版点击:2

  根据美国SEC下属的合规检查办公室(OCIE)发布的报告显示,对加密货币市场进行监管和审查将会是美国SEC在2019年首要任务。

  OCIE报告中提到了6个“2019年的优先审查方向”,包括数字代币、加密货币形式的数字资产等。此外,OCIE还将严密监控加密市场活动,包括“数字资产的提供、销售、交易和管理”。

  除了监控新兴市场外,OCIE还将推动现有证券法律的合规性。因此,对于任何被归类为证券的数字资产,合规部门将确保对其执行适当的监管措施。

  报告指出,OCIE将采取措施以识别提供、销售、交易和管理这些产品,或考虑提供这些产品的市场参与者,然后对其活动情况进行评估。对于积极参与数字资产市场的公司,OCIE将开展多个方面的检查,包括数字资产的投资组合管理、交易、客户资产的安全、投资组合的定价,合规性及内部控制等。

  此外,报告指出OCIE的基本目标是保护投资者对这个新生的加密货币市场的兴趣。并且OCIE还将就投资于加密资产的风险对投资者进行启示。

  目前,越来越多的人认为SEC的行为会对加密行业的增长产生负面影响。2018年11月,美国证券交易委员会主席表示不愿批准比特币ETF。2018年12月,SEC主席还曾表示ICO是一个很好的筹款计划,但前提是“遵循证券法”。

  Monitoring and examining the cryptocurrency market will one of the top priorities of the regulatory watchdog – the U.S. Securities and Exchange Commission (SEC) – in 2019. The SEC has recently published a report, called the Office of Compliance Inspections and Examinations (OCIE), for 2019.

  The OCIE report mentions six “themes for OCIE’s 2019 Examination Priorities” that include digital assets in the form of digital tokens, cryptocurrencies, and coins. Moreover, the OCIE will also monitor crypto market activities including the ‘offer and sale, trading, and management of digital assets’.

  Besides monitoring the emerging market, OCIE will also push compliance for existing security laws. Hence for any digital asset classified as a security, the compliance wing will ensure the enforcement of proper regulatory measures. The OCIE report notes:

  OCIE will take steps to identify market participants offering, selling, trading, and managing these products or considering or actively seeking to offer these products and then assess the extent of their activities. For firms actively engaged in the digital asset market, OCIE will conduct examinations focused on, among other things, portfolio management of digital assets, trading, safety of client funds and assets, pricing of client portfolios, compliance, and internal controls.

  The report notes that the basic goal of OCIE will be to protect the investors’ interest in this nascent cryptocurrency market. Furthermore, OCIE will also enlighten investors regarding the risks of investing in crypto assets. The report notes that the areas prioritized for examination are selected on policies, assessment or risk, and various sector.

  “Areas of focus will include, among other things, whether financial professionals maintain adequate controls and safeguards to protect these assets from theft or misappropriation, and whether financial professionals are providing investors with disclosure about the risks associated with these investments, including the risk of investment losses, liquidity risks, price volatility, and potential fraud.”

  Currently, there’s a growing sentiment that SEC’s actions have a negative impact of the growth of the crypto sector. The issue of approving a Bitcoin ETF has been lingering for long. In November 2018, the SEC chairman expressed unwillingness approve Bitcoin ETF until the exchanges bring better surveillance tools.

  Later, in December 2018, the chairman also said that ICOs are good fundraising schemes provided “securities law is followed”.

  “I believe that ICOs can be effective ways for entrepreneurs and others to raise capital. The novel technological nature of an ICO does not change the fundamental point that, when a security is being offered, our securities laws must be followed,” he said.

  Crypto investors have been heavily weighing on the arrival of Bitcoin ETF to bring back the bullish momentum in the crypto market. However, the SEC has always turned a cold shoulder to it. Last month, the SEC Commissioner said that crypto investors shouldn’t keep many high hopes from the agency. The approval of Bitcoin ETF is a critical issue and it can take anywhere between a few days to many years.

  Despite the long going matter, asset management company and index fund provider Bitwise has recently applied for Bitcoin ETF with the SEC. Bitwise says that it has considered all regulatory requirements before its latest application.

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