美国证券交易委员会因OTC Link未报告可疑活动而罚款100多万美元

币界网Published on 2024-08-13Last updated on 2024-08-14

币界网报道:

总部位于纽约的经纪交易商OTC Link刚刚被美国证券交易委员会(SEC)钉死,因为他们认为这是一个巨大的失误。

三年多来,OTCLink甚至懒得提交一份可疑活动报告(SAR),这是法律要求他们做的。罚款是多少$119万。

OTC Link运营着三个另类交易系统(ATS)平台——OTC Link ATS、OTC Link ECN和OTC Link NQB。

美国证券交易委员会表示,这些平台是经纪交易商的首选之地,他们每天在场外交易(OTC)证券市场处理数万笔交易。

我们在这里谈论的是微市值或低价股——这种股票有风险,而且往往已经成熟,可以进行操纵。因此,当美国证券交易委员会发现OTC Link在2020年3月至2023年5月期间没有提交SAR时,它决定采取行动。

该公司没有制定适当的政策来标记可疑交易,这在金融界是一个禁忌。

这些SAR很重要,因为它们提醒当局注意潜在的违反证券法或洗钱活动。

美国证券交易委员会纽约地区办事处副区域主任Tejal D.Shah解释说,像OTC Link这样的经纪交易商应该是证券市场的“看门人”。

“当像OTC Link这样的公司未能提交严重不良反应报告时,他们就会剥夺监管机构和执法部门有关可疑活动的重要信息。”

但罚款并不是OTC Link必须处理的唯一事情。美国证券交易委员会的命令对他们进行了谴责和停止令。

如果这还不够,美国证券交易委员会正在通过迫使OTC Link聘请合规顾问来确保其行动一致。

这位顾问的工作是审查和彻底改革OTC Link的反洗钱政策和程序,这样这种疏忽就不会再发生了。

Trending Cryptos

Related Reads

Chip Stocks Lead U.S. Market Decline: Is AI Trading Being Hit by Both Interest Rates and Returns?

Chip stocks led a broad decline in US markets, with the Nasdaq dropping 2.2% and the S&P 500 falling 1.4%. This selloff reflects a dual challenge for the once-high-flying AI hardware trade: rising interest rate expectations and growing investor impatience for clear returns from massive AI capital expenditures. The pressure was most acute on hardware leaders. Nvidia fell about 4%, dipping below a $5 trillion market cap, while Micron plunged 13.2% ahead of its earnings report. Declines across memory, storage, AI, and mobile chips indicated a sector-wide retreat. The selloff spread globally, with South Korea's KOSPI index dropping nearly 10% as key suppliers SK Hynix and Samsung recorded double-digit losses. Investors appeared to be taking profits from the most crowded trades first. Macro headwinds intensified as market expectations shifted toward a more aggressive Federal Reserve. Forecasts for multiple rate hikes in 2026 pressured high-valuation tech stocks, which rely on long-term growth projections that become less attractive as discount rates rise. Concurrently, investors are scrutinizing the profit potential of the immense AI spending by cloud giants like Alphabet, Amazon, and Meta. While these expenditures drive demand for chips and hardware, the market is now questioning whether AI services will generate sufficient returns to justify the ongoing costs. This adjustment is not necessarily a bubble burst but a recalibration. AI demand fundamentals remain, but the narrative of endless growth can no longer fully offset concerns over higher interest rates and a longer path to profitability. Near-term direction may hinge on Micron's upcoming earnings guidance and incoming inflation data, which will influence both the AI demand outlook and the Fed's policy path. The market is transitioning from blindly buying growth to demanding clearer visibility on returns.

marsbit47m ago

Chip Stocks Lead U.S. Market Decline: Is AI Trading Being Hit by Both Interest Rates and Returns?

marsbit47m ago

OpenAI's New Paper: How to Train an AI that "Doesn't Deteriorate Under Pressure"?

OpenAI's new paper "Reinforcement Learning Towards Broadly and Persistently Beneficial Models" explores training AI to maintain safe, helpful, and honest behavior even under pressure, in unseen scenarios, or after being fine-tuned for harmful purposes. Moving beyond simple rule-based "don'ts," the research focuses on cultivating "beneficial traits" like honesty, risk-awareness, corrigibility, and transparency. It investigates if reinforcement learning (RL), often prone to "reward hacking" where models exploit loopholes, can instead be used to instill robust, generalized positive behaviors. Researchers created a multi-domain synthetic dialogue dataset covering areas like healthcare and law. They trained a model by replacing 5% of standard RL data with "beneficial trait" data. This model outperformed the baseline in 83% of 53 evaluations, showing average gains of 9.1% in alignment, safety, and helpfulness. Crucially, improvements generalized: a model trained only on healthcare "good behavior" data also performed better in 17 out of 19 non-healthcare alignment tests. The paper also tests "alignment persistence." When subjected to adversarial prompts or harmful fine-tuning, the beneficial trait model showed greater resilience, with smaller performance drops and less "spillover" of bad behavior to unrelated tasks. While not a complete solution, this work suggests a shift from post-hoc correction to proactively shaping robust, principled AI behavior, a critical step for deploying models in high-stakes, complex decision-making scenarios.

marsbit50m ago

OpenAI's New Paper: How to Train an AI that "Doesn't Deteriorate Under Pressure"?

marsbit50m ago

Semiconductor Stock Rebound: Is the Technical Correction Over or a Trend Reversal?

The core of recent semiconductor stock volatility is not about daily price swings, but rather the market questioning whether AI-driven semiconductor pricing has entered a new phase. Following a sharp sell-off in Korean stocks on June 23rd, led by Samsung and SK Hynix, a subsequent rebound is seen more as a technical positioning adjustment rather than a confirmed trend reversal. The key variable is HBM (High Bandwidth Memory), essential for AI chips. Its supply-demand imbalance granted memory makers significant pricing power. The current market focus is on whether this dynamic remains strong enough to justify elevated valuations. All eyes are on Micron's upcoming earnings report. The critical factor is not whether results meet already high expectations, but whether the company's guidance confirms that AI memory pricing power, order visibility, and future margins are still expanding. Micron's outlook will serve as a crucial test for the broader AI semiconductor chain, including Samsung, SK Hynix, and other infrastructure players. The recent bounce appears to be a pre-earnings positioning repair. For it to evolve into a sustained uptrend, concrete evidence is needed that the AI infrastructure expansion cycle's fundamentals—particularly for high-end memory—remain robust and can continue to surpass elevated market expectations. The risk is that strong demand alone may not be sufficient if future guidance hints at peaking momentum or increasing supply-side pressures.

marsbit1h ago

Semiconductor Stock Rebound: Is the Technical Correction Over or a Trend Reversal?

marsbit1h ago

Trading

Spot
Futures

Hot Articles

How to Buy LINK

Welcome to HTX.com! We've made purchasing ChainLink (LINK) simple and convenient. Follow our step-by-step guide to embark on your crypto journey.Step 1: Create Your HTX AccountUse your email or phone number to sign up for a free account on HTX. Experience a hassle-free registration journey and unlock all features.Get My AccountStep 2: Go to Buy Crypto and Choose Your Payment MethodCredit/Debit Card: Use your Visa or Mastercard to buy ChainLink (LINK) instantly.Balance: Use funds from your HTX account balance to trade seamlessly.Third Parties: We've added popular payment methods such as Google Pay and Apple Pay to enhance convenience.P2P: Trade directly with other users on HTX.Over-the-Counter (OTC): We offer tailor-made services and competitive exchange rates for traders.Step 3: Store Your ChainLink (LINK)After purchasing your ChainLink (LINK), store it in your HTX account. Alternatively, you can send it elsewhere via blockchain transfer or use it to trade other cryptocurrencies.Step 4: Trade ChainLink (LINK)Easily trade ChainLink (LINK) on HTX's spot market. Simply access your account, select your trading pair, execute your trades, and monitor in real-time. We offer a user-friendly experience for both beginners and seasoned traders.

9.2k Total ViewsPublished 2024.03.29Updated 2026.06.02

How to Buy LINK

Discussions

Welcome to the HTX Community. Here, you can stay informed about the latest platform developments and gain access to professional market insights. Users' opinions on the price of LINK (LINK) are presented below.

活动图片