Kraken demandado por la SEC por operar un intercambio no registrado

• La Comisión de Bolsa y Valores (SEC) presentó una demanda contra Kraken en un tribunal federal el 20 de noviembre.
• La SEC afirma que la empresa operaba como una bolsa de valores, corredor, comerciante y agencia de compensación no registrada.
• El regulador también alegó que Kraken mezcló hasta $33 mil millones en activos de clientes con los suyos propios.
• Senator Cynthia Lummis criticized the SEC’s actions, asking Congress to draft clear rules for the agency to follow.

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Kraken, una plataforma líder de comercio de activos digitales con sede en San Francisco, Estados Unidos, ha sido demandada por la Comisión de Bolsa y Valores de EE. UU. (SEC) por operar una bolsa de valores, un corredor, un comerciante y una agencia de compensación no registrados en la región. Esta será la segunda vez que las autoridades estadounidenses apunten al intercambio.

Según una denuncia archivado El 20 de noviembre en el tribunal federal de San Francisco, la SEC afirmó que desde 2018, Kraken ha operado una plataforma que ha permitido ilícitamente a los clientes comprar y vender criptomonedas. Además, se ha confirmado que el intercambio de cifrado se defenderá en los tribunales y no está de acuerdo con los cargos impuestos por la SEC.

El regulador todavía cree que las criptomonedas son contratos de inversión y, por lo tanto, están sujetas a la ley de valores de EE. UU. Por otro lado, Kraken y otros intercambios líderes como Binance y Coinbase han señalado que esto no es cierto. 

The SEC said that Kraken allowed users to buy and sell crypto illegally and “created risk for investors and taken in billions of dollars in fees and trading revenue from investors without adhering to or even recognizing the requirements of the US securities laws that are designed to protect investors,” while agregando:

“Without registering with the SEC in any capacity, Kraken has simultaneously acted as a broker, dealer, exchange, and clearing agency with respect to these crypto asset securities.”

The SEC also accused Kraken of commingling customers’ assets. The regulator alleges that due to the exchange’s business practices and “deficient” internal controls, the trading platform commingled up to $33 billion worth of customer assets with its own. This caused a “significant risk of loss” for its clients, noted the SEC.

“We allege that Kraken made a business decision to reap hundreds of millions of dollars from investors rather than coming into compliance with the securities laws. That decision resulted in a business model rife with conflicts of interest that placed investors’ funds at risk,” said Gurbir S. Grewal, Director of the SEC’s Division of Enforcement, while adding:

“Kraken’s choice of unlawful profits over investor protection is one we see far too often in this space, and today we’re both holding Kraken accountable for its misconduct and sending a message to others to come into compliance.”

Como informó Bitnation anteriormente en febrero, Kraken resolvió una demanda con la SEC, paying $30 million. The regulator filed a lawsuit against the exchange over its staking services, claiming that it failed “to register the offer and sale of their crypto asset staking-as-a-service program.”

It is crucial to mention here that Senator Cynthia Lummis commented on the lawsuit filed by the SEC, stating that “crypto asset companies have repeatedly tried to get guidance from the SEC only to be hit with enforcement actions, causing unnecessary harm to consumers.”

La SEC no puede seguir gobernando mediante la ejecución. Mi declaración sobre la demanda de Kraken a continuación: pic.twitter.com/J3qhzU624N

— Senadora Cynthia Lummis (@SenLummis) 21 de noviembre de 2023

The American attorney and politician serving as the junior United States senator from Wyoming asked the Congress to “pass a regulatory framework to provide clear rules to the SEC on what is a security and what is a commodity.”

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