本文发表在 rolia.net 枫下论坛麦博集团邓越文涉嫌违规,安省证监会命令停止交易15天
（加拿大新闻商业网www.newnews.ca 09年4月16日讯）唐炜臻案件还在调查之中，又有1名华人金融界名人中招，安省证监会于4月13日发出临时命令，鉴于邓越文本人及其所属麦博公司（M P GLOBAL FINANCIAL LTD）涉嫌无牌交易违反安省证券投资法，邓越文本人及其所属公司必须暂时停止进行任何证券交易15天，在这个期限之内邓越文所属公司的股权也不得交易转换，安省证监会将于4月27日举行聆讯，看将临时命令的期限延长是否符合公众利益。
邓越文及所属公司可能没有向证监会申报证券交易说明，或者没有发出收据，违反了证券法第53条。
安省证监会是基于保护公众利益发出上述通知。
证监会的临时命令上指出：麦博集团是在安省注册的有限公司；邓越文（包括别名邓峰Feng Deng）是安省居民。
证监会的临时命令包括：
1、邓越文及其所属麦博公司的股权交易要停止；
2、邓越文及其所属麦博公司禁止进行任何证券交易；
3、 安省证券法第127条第1款中的豁免条例，并不适用于邓越文及其所属公司；
4、这项临时命令从公布日起立即生效，到第15天截止，除非安省证监会颁布新的延期命令。
以下是安省证监会于4月13日发出的禁止交易令
IN THE MATTER OF THE SECURITIES ACT
R.S.O. 1990, c.S.5, AS AMENDED
AND
IN THE MATTER OF M P GLOBAL FINANCIAL LTD.,
AND JOE FENG DENG
TEMPORARY ORDER
Section 127(1) & 127(5)
WHEREAS it appears to the Ontario Securities Commission (the “Commission”) that:
1.M P Global Financial Ltd. (“MP Limited”) a company incorporated in Ontario;
2.Joe Feng Deng also known as Feng Deng, Yue Wen Deng and Deng Yue Wen (“Deng”) is an individual who resides in Ontario;
3.MP Limited and Deng traded securities without registration and without an exemption to the registration requirement contrary to section 25 of the Securities Act, R.S.O. 1990, c. S.5 (the “Act”); and
4.MP Limited and Deng may have traded securities without a prospectus having been filed and receipted by the Director contrary to section 53 of the Act.
AND WHEREAS the Commission is of the opinion that the time required to conclude a hearing could be prejudicial to the public interest as set out in s. 127(5) of the Act;
AND WHEREAS the Commission is of the opinion that it is in the public interest to make this order;
AND WHEREAS by Authorization Order made April 1, 2008, pursuant to subsection 3.5(3) of the Act, the Commission authorized each of W. David Wilson, James E. A. Turner, Lawrence E. Ritchie, Paul K. Bates and David L. Knight, acting alone, to exercise the powers of the Commission to make Orders under section 127 of the Act;
IT IS ORDERED pursuant to clause 2 of subsection 127(1) of the Act that all trading in securities of MP Limited shall cease.
IT IS FURTHER ORDERED pursuant to clause 2 of subsection 127(1) of the Act that all trading by Deng and MP Limited shall cease.
IT IS FURTHER ORDERED that pursuant to clause 3 of subsection 127(1) of the Act that the exemptions contained in Ontario securities law do not apply to Deng and MP Limited.
IT IS FURTHER ORDERED that pursuant to subsection 127(6) of the Act this order shall take effect immediately and shall expire on the fifteenth day after its making unless extended by order of the Commission.
Dated at Toronto, this 13th day of April, 2009.
安省证监会于4月14日发出的聆讯及延长临时禁止令通知
IN THE MATTER OF M P GLOBAL FINANCIAL LTD.,
AND JOE FENG DENG
NOTICE OF HEARING
(Section 127(1) and Section 127(7))
WHEREAS on the 13th day of April, 2009, the Ontario Securities Commission (the “Commission”) ordered;
1.pursuant to clause 2 of subsection 127(1) of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) that all trading in securities of M P Global Financial Ltd. (“MP Limited”) shall cease;
2.pursuant to clause 2 of subsection (1) of the Act that all trading by Joe Feng Deng also known as Feng Deng, Yue Wen Deng and Deng Yue Wen (“Deng”) shall cease; and
3.pursuant to clause 3 of subsection 127(1) of the Act that exemptions contained in Ontario securities law do not apply to Deng and MP Limited;
AND WHEREAS the Commission further ordered as part of the Temporary Order that, pursuant to subsection 127(6) of the Act, the Temporary Order shall take effect immediately and shall expire on the fifteenth day after its making unless extended by the Commission;
TAKE NOTICE that the Commission will hold a hearing pursuant to sections 127(1) and 127(7) of the Act at its offices at 20 Queen Street West, 17th Floor, Hearing Room B, on Monday, the 27th day of April, 2009 at 2:00 p.m. or as soon thereafter as the hearing can be held;
TO CONSIDER whether, pursuant to sections 127(1) and 127(7) of the Act, it is in the public interest for the Commission to:
1.extend the Temporary Order made April 13, 2009 until the conclusion of the hearing in this matter, pursuant to section 127(7) of the Act or until such other time as ordered by the Commission; and
2.to make such further orders as the Commission deems appropriate;
BY REASON of the facts cited in the Temporary Order and such further additional allegations as counsel may advise and the Commission may permit;
AND TAKE FURTHER NOTICE that any party to the proceedings may be represented by counsel at the hearing;
AND TAKE FURTHER NOTICE that upon failure of any party to attend at the time and place aforesaid, the hearing may proceed in the absence of that party and such party is not entitled to any further notice of the proceeding.
DATED at Toronto, this 14th day of April, 2009.
" John Stevenson "
John Stevenson
Secretary to the Commission
原文请看安省证监会网站：
http://www.osc.gov.on.ca/Enforcement/Proceedings/ENR/enr_20090416_mpglobal.jsp更多精彩文章及讨论，请光临枫下论坛 rolia.net
（加拿大新闻商业网www.newnews.ca 09年4月16日讯）唐炜臻案件还在调查之中，又有1名华人金融界名人中招，安省证监会于4月13日发出临时命令，鉴于邓越文本人及其所属麦博公司（M P GLOBAL FINANCIAL LTD）涉嫌无牌交易违反安省证券投资法，邓越文本人及其所属公司必须暂时停止进行任何证券交易15天，在这个期限之内邓越文所属公司的股权也不得交易转换，安省证监会将于4月27日举行聆讯，看将临时命令的期限延长是否符合公众利益。
邓越文及所属公司可能没有向证监会申报证券交易说明，或者没有发出收据，违反了证券法第53条。
安省证监会是基于保护公众利益发出上述通知。
证监会的临时命令上指出：麦博集团是在安省注册的有限公司；邓越文（包括别名邓峰Feng Deng）是安省居民。
证监会的临时命令包括：
1、邓越文及其所属麦博公司的股权交易要停止；
2、邓越文及其所属麦博公司禁止进行任何证券交易；
3、 安省证券法第127条第1款中的豁免条例，并不适用于邓越文及其所属公司；
4、这项临时命令从公布日起立即生效，到第15天截止，除非安省证监会颁布新的延期命令。
以下是安省证监会于4月13日发出的禁止交易令
IN THE MATTER OF THE SECURITIES ACT
R.S.O. 1990, c.S.5, AS AMENDED
AND
IN THE MATTER OF M P GLOBAL FINANCIAL LTD.,
AND JOE FENG DENG
TEMPORARY ORDER
Section 127(1) & 127(5)
WHEREAS it appears to the Ontario Securities Commission (the “Commission”) that:
1.M P Global Financial Ltd. (“MP Limited”) a company incorporated in Ontario;
2.Joe Feng Deng also known as Feng Deng, Yue Wen Deng and Deng Yue Wen (“Deng”) is an individual who resides in Ontario;
3.MP Limited and Deng traded securities without registration and without an exemption to the registration requirement contrary to section 25 of the Securities Act, R.S.O. 1990, c. S.5 (the “Act”); and
4.MP Limited and Deng may have traded securities without a prospectus having been filed and receipted by the Director contrary to section 53 of the Act.
AND WHEREAS the Commission is of the opinion that the time required to conclude a hearing could be prejudicial to the public interest as set out in s. 127(5) of the Act;
AND WHEREAS the Commission is of the opinion that it is in the public interest to make this order;
AND WHEREAS by Authorization Order made April 1, 2008, pursuant to subsection 3.5(3) of the Act, the Commission authorized each of W. David Wilson, James E. A. Turner, Lawrence E. Ritchie, Paul K. Bates and David L. Knight, acting alone, to exercise the powers of the Commission to make Orders under section 127 of the Act;
IT IS ORDERED pursuant to clause 2 of subsection 127(1) of the Act that all trading in securities of MP Limited shall cease.
IT IS FURTHER ORDERED pursuant to clause 2 of subsection 127(1) of the Act that all trading by Deng and MP Limited shall cease.
IT IS FURTHER ORDERED that pursuant to clause 3 of subsection 127(1) of the Act that the exemptions contained in Ontario securities law do not apply to Deng and MP Limited.
IT IS FURTHER ORDERED that pursuant to subsection 127(6) of the Act this order shall take effect immediately and shall expire on the fifteenth day after its making unless extended by order of the Commission.
Dated at Toronto, this 13th day of April, 2009.
安省证监会于4月14日发出的聆讯及延长临时禁止令通知
IN THE MATTER OF M P GLOBAL FINANCIAL LTD.,
AND JOE FENG DENG
NOTICE OF HEARING
(Section 127(1) and Section 127(7))
WHEREAS on the 13th day of April, 2009, the Ontario Securities Commission (the “Commission”) ordered;
1.pursuant to clause 2 of subsection 127(1) of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) that all trading in securities of M P Global Financial Ltd. (“MP Limited”) shall cease;
2.pursuant to clause 2 of subsection (1) of the Act that all trading by Joe Feng Deng also known as Feng Deng, Yue Wen Deng and Deng Yue Wen (“Deng”) shall cease; and
3.pursuant to clause 3 of subsection 127(1) of the Act that exemptions contained in Ontario securities law do not apply to Deng and MP Limited;
AND WHEREAS the Commission further ordered as part of the Temporary Order that, pursuant to subsection 127(6) of the Act, the Temporary Order shall take effect immediately and shall expire on the fifteenth day after its making unless extended by the Commission;
TAKE NOTICE that the Commission will hold a hearing pursuant to sections 127(1) and 127(7) of the Act at its offices at 20 Queen Street West, 17th Floor, Hearing Room B, on Monday, the 27th day of April, 2009 at 2:00 p.m. or as soon thereafter as the hearing can be held;
TO CONSIDER whether, pursuant to sections 127(1) and 127(7) of the Act, it is in the public interest for the Commission to:
1.extend the Temporary Order made April 13, 2009 until the conclusion of the hearing in this matter, pursuant to section 127(7) of the Act or until such other time as ordered by the Commission; and
2.to make such further orders as the Commission deems appropriate;
BY REASON of the facts cited in the Temporary Order and such further additional allegations as counsel may advise and the Commission may permit;
AND TAKE FURTHER NOTICE that any party to the proceedings may be represented by counsel at the hearing;
AND TAKE FURTHER NOTICE that upon failure of any party to attend at the time and place aforesaid, the hearing may proceed in the absence of that party and such party is not entitled to any further notice of the proceeding.
DATED at Toronto, this 14th day of April, 2009.
" John Stevenson "
John Stevenson
Secretary to the Commission
原文请看安省证监会网站：
http://www.osc.gov.on.ca/Enforcement/Proceedings/ENR/enr_20090416_mpglobal.jsp更多精彩文章及讨论，请光临枫下论坛 rolia.net