Page 14 - 期货和衍生品行业监管动态（2023年4月）

期货和衍生品行业监管动态

Binance 的合规控制要求，并指示 Binance 员工确保所有关于规避合规控制的通

信都是通过便于自动销毁证据的应用程序进行。

Lim 在 2018 年至 2022 年期间担任 Binance 的首席运营官，其被指控故意帮

助和教唆 Binance 实施违规行为，破坏 Binance 的合规计划。Lim 还被指控开展
故意或试图规避《美国商品交易法》相关规定的活动，包括推动使用“创新方式”

以帮助客户规避 Binance 的合规控制要求，并实施一项公司政策，该政策指导

Binance 美国客户通过虚拟专用网络访问交易设施，以规避 Binance 关于 IP 地址

的控制要求，或通过离岸壳公司创建“新”账户，以规避 Binance 关于“了解你

的客户”（Know Your Customer, KYC）的控制要求。

CFTC Charges Binance and Its Founder, Changpeng Zhao, with Willful Evasion

of Federal Law and Operating an Illegal Digital Asset Derivatives Exchange

(2023/3/27)

The Commodity Futures Trading Commission today announced it has filed a civil

enforcement action in the U.S. District Court for the Northern District of Illinois

charging Changpeng Zhao and three entities that operate the Binance platform with

numerous violations of the Commodity Exchange Act (CEA) and CFTC regulations.

The complaint also charges Samuel Lim, Binance’s former chief compliance officer,

with aiding and abetting Binance’s violations.

The complaint charges that Binance Holdings Limited, Binance Holdings (IE)

Limited, and Binance (Services) Holdings Limited (together, Binance) operate the
Binance centralized digital asset trading platform along with numerous other corporate

vehicles through an intentionally opaque common enterprise, with Zhao at the helm as

Binance’s owner and chief executive officer. The defendants allegedly chose to

knowingly disregard applicable provisions of the CEA while engaging in a calculated

strategy of regulatory arbitrage to their commercial benefit.

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