某 CEX 澳洲子公司因违规分类用户被追缴 1000 万澳元民事罚金

Gate News 消息,3 月 27 日,澳大利亚联邦法院裁定某 CEX 本地衍生品部门需额外支付 1000 万澳元(约 690 万美元)的民事罚金。该笔罚金是在该交易所于 2023 年向受影响客户支付约 1310 万澳元补偿金之外的追加处罚。澳大利亚证券和投资委员会(ASIC)指出,该部门在 2022 年 7 月至 2023 年 4 月期间将 524 名零售投资者错误分类为批发客户,导致其在缺乏消费者保护的情况下暴露于高风险衍生品,造成超过 1200 万澳元的损失和费用。ASIC 主席 Joe Longo 表示,此结果是对寻求在澳开展业务的金融服务商的明确警告。该交易所发言人称该问题已于 2023 年完成整改,相关子公司 Oztures 已停止衍生品业务并注销牌照。

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