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期货和衍生品行业监管动态

including those opened by prime brokers, to bypass the platform’s compliance controls.

Also, after applying all KYC policies and procedures to all existing sub-accounts,

Binance will offboard every account that fails to meet its compliance controls. In

addition, the order requires Binance and Zhao to certify Binance will implement a

corporate governance structure that includes a Board of Directors with independent

members, a Compliance Committee, and an Audit Committee.

A separate order, also issued by Judge Manish S. Shah, requires Binance’s former

Chief Compliance Officer Samuel Lim to pay a $1.5 million civil monetary penalty for

aiding and abetting Binance’s violations and engaging in activities outside of the U. S.

to willfully evade or attempt to evade U.S. law.

https://www.cftc.gov/PressRoom/PressReleases/8837-23

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