三箭资本董事接获金管局九年禁令
发布 / 2023年9月14日 11:30 AM
加密货币对冲基金三箭资本（Three Arrows Capital）的两名创办人，朱苏（译音，Zhu Su）和戴维斯（Kyle Davies），因违反证券及期货法令（Securities and Futures Act）以及证券及期货（执照和商业行为）条例（Licensing and Conduct of Business Regulation），接获新加坡金融管理局发出九年禁止令。
金管局星期四（9月14日）发表文告指，朱苏和戴维斯自13日起，九年内不能从事任何在证券及期货法令下监管的活动，担任任何资本市场服务公司的董事或成为大股东。
朱苏是三箭资本的总裁兼董事，戴维斯是主席兼董事。
金管局2022年6月对三箭资本的谴责之后，发现在三箭资本2020年8月至2022年1月之间，违反更多条例。
金管局说，三箭资本这期间聘请张俊勇（译音 Cheong Jun Yoong Arthur）为投资组合经理，代做管理基金活动，但未在指定期限内通报金管局。
三箭资本在2022年1月错误地向金管局表述，公司没有向金管局披露张俊勇的雇佣，是因为他没有执行任何受监管活动，但这期间，张俊勇的确是代公司执行基金管理活动。
此外，金管局也指出，三箭资本没有建立风险管理框架，以识别、监测和处理与旗下加密货币和数码资产投资相关的风险。
三箭资本由朱苏和戴维斯于2012年成立，总部设于新加坡。两名创办人年龄约35岁。他们曾称，三箭资本在最高峰时所管理的资产超过40亿美元。
去年5月，这家著名的加密货币基金因稳定币TerraUSD和相关代币Luna的崩溃而受到冲击。新加坡高庭承认英属维尔京群岛法院发出的清盘令，要求三箭资本进行破产程序。
Enforcement Actions Media Releases
Published Date: 14 September 2023
MAS issues Prohibition Orders against Three Arrows Capital’s Zhu Su and Kyle Livingston Davies
Singapore, 14 September 2023… The Monetary Authority of Singapore (MAS) has issued nine-year prohibition orders (POs) against Mr Zhu Su and Mr Kyle Livingston Davies for contraventions of the Securities and Futures Act 2001 (SFA) and Securities and Futures (Licensing and Conduct of Business) Regulations (SFR). Mr Zhu was the Chief Executive Officer and Director of Three Arrows Capital Pte Ltd (TACPL), while Mr Davies was the Chairman and Director.
2. Under the POs, which took effect from 13 September 2023, Mr Zhu and Mr Davies will be prohibited from performing any regulated activity and from taking part in the management of, acting as a director of or becoming a substantial shareholder, of any capital market services firm under the SFA.
3. Following MAS’ reprimand of TACPL in June 2022 for (i) providing false information to MAS; (ii) failing to notify MAS about changes to Mr Zhu’s and Mr Davies’ directorship and shareholdings; and (iii) exceeding the assets under management threshold allowed for a registered fund management company, MAS has conducted further investigations into TACPL, Mr Zhu and Mr Davies. MAS uncovered the following additional SFA and SFR contraventions committed by TACPL between August 2020 and January 2022:
- Failure to notify MAS of employment of representative: Between August 2020 and September 2021, TACPL employed Mr Cheong Jun Yoong Arthur to be a portfolio manager, to perform fund management activities on behalf of TACPL. In breach of the SFR, TACPL failed to inform MAS within the required timeframe of Mr Cheong’s employment.
- Provision of false information to MAS: In January 2022, TACPL falsely represented to MAS that TACPL had not notified MAS about Mr Cheong’s employment because he did not carry out any regulated activity. In fact, Mr Cheong had performed fund management activity on TACPL’s behalf between August 2020 and September 2021.
- Failure to have in place appropriate risk management framework: TACPL did not have in place a risk management framework to identify, monitor, and address risks associated with the cryptocurrency and digital asset investments under its management.
4. As directors of TACPL, Mr Zhu and Mr Davies were primarily responsible for ensuring that TACPL complied with regulatory requirements under the SFA and SFR. MAS’ investigation showed that they had failed to discharge their duties and were responsible for TACPL’s breaches.
5. Ms Loo Siew Yee, Assistant Managing Director (Policy, Payments & Financial Crime), MAS, said, “Senior management of fund managers are required to implement robust risk management measures to protect the interest of investors. MAS takes a serious view of Mr Zhu’s and Mr Davies’ flagrant disregard of MAS’ regulatory requirements and dereliction of their directors’ duties. MAS will take action to weed out senior managers who commit such misconduct.”
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