美国证券交易委员会（SEC）发布新闻稿：SEC 指控 Samuel Bankman-Fried 在加密资产交易平台 FTX 中欺诈投资者
被告隐瞒了他将 FTX 客户的资金转移给加密交易公司 Alameda Research，同时从投资者那里筹集了超过 18 亿美元
立即发布
2022-219
华盛顿特区，2022 年 12 月 13 日 —
美国证券交易委员会今天指控 Samuel Bankman-Fried 策划了一项欺诈 FTX Trading Ltd. (FTX) 股权投资者的计划，FTX 是他担任首席执行官兼联合创始人的加密货币交易平台。正在对其他违反证券法的行为以及与涉嫌不当行为有关的其他实体和个人进行调查。
根据 SEC 的投诉，至少自 2019 年 5 月以来，总部位于巴哈马的 FTX 从股权投资者那里筹集了超过 18 亿美元，其中包括来自大约 90 名美国投资者的约 11 亿美元。在向投资者陈述时，Bankman-Fried 将 FTX 宣传为一个安全、负责任的加密资产交易平台，特别宣传 FTX 用于保护客户资产的复杂、自动化的风险措施。该投诉称，实际上，Bankman-Fried 策划了长达数年的欺诈行为，以向 FTX 的投资者隐瞒（1）FTX 客户的资金未公开转移到他的私人加密对冲基金 Alameda Research LLC；(2) 在 FTX 平台上给予 Alameda 的未公开特殊待遇，包括向 Alameda 提供由平台客户资助的几乎无限的“信用额度”，并使 Alameda 免于某些关键的 FTX 风险缓解措施；(3) 未披露的风险源自 FTX 对 Alameda 大量持有的估值过高、流动性差的资产（如 FTX 附属代币）的敞口。投诉进一步指控 Bankman-Fried 在 Alameda 使用混合 FTX 客户的资金进行未公开的风险投资、大手笔的房地产购买和大笔政治捐款。
“我们声称 Sam Bankman-Fried 在欺骗的基础上建造了一座纸牌屋，同时告诉投资者这是加密货币中最安全的建筑之一，”SEC 主席 Gary Gensler 说。“Bankman-Fried 先生涉嫌欺诈是对加密平台的号角，他们需要遵守我们的法律。合规性通过经过时间考验的保障措施保护投资和投资加密平台的人，例如作为适当保护客户资金和分离相互冲突的业务线。它还通过披露为投资者和监管机构通过审查机构照亮交易平台行为。对于那些不符合我们证券法的平台，美国证券交易委员会的执法部门随时准备采取行动。”
“FTX 在 Bankman-Fried 先生创造的合法表象下运作，除其他外，宣传其一流的控制，包括专有的‘风险引擎’，以及 FTX 遵守特定的投资者保护原则和详细的服务条款. 但正如我们在投诉中所声称的那样，这种伪装不仅薄弱，而且具有欺诈性，”SEC 执法部主任 Gurbir S. Grewal 说。 “FTX 的崩溃凸显了未注册的加密资产交易平台可能给投资者和客户带来的非常真实的风险。虽然我们会继续调查 FTX 和其他实体和个人可能违反联邦证券法的行为，正如我们在投诉中所指控的那样，但今天我们对于 Bankman-Fried 先生从 FTX 投资者那里欺诈性地筹集数十亿美元以及滥用属于 FTX 交易客户的资金负有责任。”
SEC 的申诉指控 Bankman-Fried 违反了 1933 年证券法和 1934 年证券交易法的反欺诈规定。SEC 的申诉寻求对未来违反证券法的行为发出禁令；禁止 Bankman-Fried 参与任何证券的发行、购买、要约或出售的禁令，他自己的个人账户除外；没收他的不义之财；民事处罚；禁业。（The SEC’s complaint seeks injunctions against future securities law violations; an injunction that prohibits Bankman-Fried from participating in the issuance, purchase, offer, or sale of any securities, except for his own personal account; disgorgement of his ill-gotten gains; a civil penalty; and an officer and director bar.）
与此同时，美国纽约南区检察官办公室和商品期货交易委员会 (CFTC) 今天宣布对 Bankman-Fried 提出指控。
SEC 正在进行的调查由加密资产和网络部门的 Devlin N. Su、Ivan Snyder 和 David S. Brown 以及 Brian Huchro 和 Pasha Salimi 进行。它由 Amy Flaherty Hartman、Michael Brennan、Jorge Tenreiro 和 David Hirsch 监督。SEC 的诉讼将由 Amy Burkart 和 David D’Addio 领导，并由 Ladan Stewart 和 Olivia Choe 监督。Steven Buchholz、Erin Wilk、Serafima McTigue、William Connolly 和 Howard Kaplan 为调查提供了额外协助。
SEC 感谢美国纽约南区检察官办公室、FBI 和 CFTC 的协助。
原文：
U.S. SECURITIES AND EXCHANGE COMMISSION
Press Release
SEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX
Defendant concealed his diversion of FTX customers’ funds to crypto trading firm Alameda Research while raising more than $1.8 billion from investors
FOR IMMEDIATE RELEASE
2022-219
Washington D.C., Dec. 13, 2022 —
The Securities and Exchange Commission today charged Samuel Bankman-Fried with orchestrating a scheme to defraud equity investors in FTX Trading Ltd. (FTX), the crypto trading platform of which he was the CEO and co-founder. Investigations as to other securities law violations and into other entities and persons relating to the alleged misconduct are ongoing.
According to the SEC’s complaint, since at least May 2019, FTX, based in The Bahamas, raised more than $1.8 billion from equity investors, including approximately $1.1 billion from approximately 90 U.S.-based investors. In his representations to investors, Bankman-Fried promoted FTX as a safe, responsible crypto asset trading platform, specifically touting FTX’s sophisticated, automated risk measures to protect customer assets. The complaint alleges that, in reality, Bankman-Fried orchestrated a years-long fraud to conceal from FTX’s investors (1) the undisclosed diversion of FTX customers’ funds to Alameda Research LLC, his privately-held crypto hedge fund; (2) the undisclosed special treatment afforded to Alameda on the FTX platform, including providing Alameda with a virtually unlimited “line of credit” funded by the platform’s customers and exempting Alameda from certain key FTX risk mitigation measures; and (3) undisclosed risk stemming from FTX’s exposure to Alameda’s significant holdings of overvalued, illiquid assets such as FTX-affiliated tokens. The complaint further alleges that Bankman-Fried used commingled FTX customers’ funds at Alameda to make undisclosed venture investments, lavish real estate purchases, and large political donations.
“We allege that Sam Bankman-Fried built a house of cards on a foundation of deception while telling investors that it was one of the safest buildings in crypto,” said SEC Chair Gary Gensler. “The alleged fraud committed by Mr. Bankman-Fried is a clarion call to crypto platforms that they need to come into compliance with our laws. Compliance protects both those who invest on and those who invest in crypto platforms with time-tested safeguards, such as properly protecting customer funds and separating conflicting lines of business. It also shines a light into trading platform conduct for both investors through disclosure and regulators through examination authority. To those platforms that don’t comply with our securities laws, the SEC’s Enforcement Division is ready to take action.”
“FTX operated behind a veneer of legitimacy Mr. Bankman-Fried created by, among other things, touting its best-in-class controls, including a proprietary ‘risk engine,’ and FTX’s adherence to specific investor protection principles and detailed terms of service. But as we allege in our complaint, that veneer wasn’t just thin, it was fraudulent,” said Gurbir S. Grewal, Director of the SEC’s Division of Enforcement. “FTX’s collapse highlights the very real risks that unregistered crypto asset trading platforms can pose for investors and customers alike. While we continue to investigate FTX and other entities and individuals for potential violations of the federal securities laws, as alleged in our complaint, today we are holding Mr. Bankman-Fried responsible for fraudulently raising billions of dollars from investors in FTX and misusing funds belonging to FTX’s trading customers.”
The SEC’s complaint charges Bankman-Fried with violating the anti-fraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. The SEC’s complaint seeks injunctions against future securities law violations; an injunction that prohibits Bankman-Fried from participating in the issuance, purchase, offer, or sale of any securities, except for his own personal account; disgorgement of his ill-gotten gains; a civil penalty; and an officer and director bar.
In parallel actions, the U.S. Attorney’s Office for the Southern District of New York and the Commodity Futures Trading Commission (CFTC) today announced charges against Bankman-Fried.
The SEC’s ongoing investigation is being conducted by Devlin N. Su, Ivan Snyder, and David S. Brown of the Crypto Assets and Cyber Unit and Brian Huchro and Pasha Salimi. It is being supervised by Amy Flaherty Hartman, Michael Brennan, Jorge Tenreiro, and David Hirsch. The SEC’s litigation will be led by Amy Burkart and David D’Addio and supervised by Ladan Stewart and Olivia Choe. Additional assistance to the investigation was provided by Steven Buchholz, Erin Wilk, Serafima McTigue, William Connolly, and Howard Kaplan.
The SEC appreciates the assistance of the U.S. Attorney’s Office for the Southern District of New York, the FBI, and the CFTC.
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