麦博集团邓越文涉嫌违规 被证监会令停交易并聆讯(图)
【北美在线 NAOL.CA/NAOL.US】
2009/04/17 分类:加拿大财经
北美在线(NAOL.CA/NAOL.US):早在上个月唐炜臻案爆发时,就有人透露邓越文也已出事,目前这位“金融奇才”难觅踪影,但是已遭安省证监会点名暂停交易,并令其接受聆讯。
邓跃文(右)2008年当选“加拿大华人十大杰出青年”
2009年被授予“多伦多华人社区杰出贡献奖”
(北美在线记者了然摄影)
安省证监会临时命令
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(MP
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。
证监会勒令邓越文及麦博集团立即停止证券交易15天。
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:
M P Global Financial Ltd. (“MP Limited”)
a company incorporated in Ontario;
Joe Feng Deng also known as Feng Deng,
Yue Wen Deng and Deng Yue Wen (“Deng”)
is an individual who resides in Ontario;
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
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;
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;
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
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:
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
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.
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