美 SEC 指控 38 家实体通过虚假申报冒充美国投资顾问

美 SEC 指控 38 家实体通过虚假申报冒充美国投资顾问

2026-08-28 20:46

ChainThink 消息，8 月 28 日，据 SEC 官方公告，美国证券交易委员会（SEC）指控 38 家实体在 2025 年至 2026 年期间于 ADV 表格中作出重大虚假陈述，试图将自身包装为面向美国投资者的合法投资顾问。

SEC 称，部分实体可能位于海外，曾使用境外 IP 地址连接 SEC 申报系统，并在文件中填写虚假办公地址、无效电话及无法核实的所有权和基金审计信息。

部分相关网站还展示虚假 SEC 注册证书。

SEC 已在科罗拉多州联邦地区法院提起诉讼，寻求永久禁令、限制其提交豁免报告顾问申报的行为禁令及民事罚款，并已从官网移除这 38 家实体的相关申报文件。

Disclaimer: Contains third-party opinions, does not constitute financial advice

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