安省证监会向邓越文追讨1000万，外加行政处罚
大中公益网096.ca 2012年10月04日 17:35 来源：大中报记者南茜（Nancy Jin）
OSC may allocate collected funds from Deng to investors
继安省证监会处罚聆讯后，证监会聆讯小组最近又对麦博集团和邓越文作出经济制裁和交易禁令。2011年8月，安省证监会公布的决定称，麦博集团和邓违反了《证券法》的规定。
Following an OSC’s sanctions and costs hearing, the hearing panel has recently imposed financial sanctions and trading bans against MP Global Financial Ltd and Joe Feng Deng. In Aug. 2011, the OSC issued a decision that found MP and Deng breached provisions of the Securities Act.
邓的律师表示，既无工作也无资产的邓离了婚，并失去住所。他目前回到中国，与其家人一起生活。
According to Deng’s lawyer, without a job or any assets, Deng has lost his marriage and personal residence. He has returned to China, and now lives with his family.
制裁聆讯
Hearing arguments
制裁聆讯中，除了$100万元的行政处罚，安省证监会还向邓追缴$790万元退款，该数额为邓向投资者所集资金（$2100万元）和支付给投资者的资金（$1310万元）之差。安省证监会还要求邓支付总额约为$31.8万元的聆讯费用。
In the sanctions hearing, apart from an administrative penalty of $1 million, the Commission also sought a disgorgement of $7.9 million from Deng, representing the difference between the amount he received ($21 million) and paid out ($13.1 million) to investors. The OSC also sought total hearing costs of about $318,000.
证监会认为，所寻求的制裁将起到震慑作用，并向他人提出警示，严重违规行为导致严厉的制裁。
The commission believes that the sanctions they were seeking would serve as a deterrent and send a signal that serious misconduct will result in severe sanctions.
但邓的律师在聆讯中辩称，不该对邓和麦博集团追缴退款或加以行政处罚，邓也不该支付法律费用。邓的律师还反对对其客户施行停止证券交易之禁令，并要求邓被准许在证监会自其首次颁布对邓的指控之五年后的2014年4月起，可与证监会进行注册，并成为基金经理。
Deng’s lawyer argued at the hearing that Deng and MP deserved no disgorgement order or administrative penalty and should not pay for legal costs. He was against the order to ban his client from trading permanently, arguing that Deng be allowed to become a registrant and a fund manager starting in April 2014, five years after the OSC issued its initial allegations against Deng.
聆讯小组裁决
Panel decision
据聆讯小组的裁决，邓违反了《证券法》的两项关键条款。他在没有进行所规定的注册的情况下交易证券，并在未事先向投资者提供所需信息的的情况下发行债券。如果邓曾向客户公布了相关的信息，包括其实际交易损失以及麦博集团承诺的高利回报，许多投资者可能会对与麦博集团的投资有所顾虑。
The panel’s decision indicates that Deng breached two key provisions of the Securities Act. He traded securities without registration and issued securities without providing required information to investors prior to their investment decision. If Deng had disclosed information such as his actual trading losses as well as MP high promised interest payments, many investors would have had serious concerns over investing in MP, according to the decision.
裁决书称，邓的严重违规行为应该受到严惩。作为证监会前注册人员，邓无顾注册要求，未根据《证券法》规定严格约束其行为。邓曾受到华人社区的尊敬，并获得同行的信任。但投资者信任不应被滥用，邓的违规行为应使他人引以为戒。
The decision states that Deng’s serious misconduct warrants significant sanctions. As a former registrant, Deng did not take the necessary steps to comply with the Ontario securities law but rather chose to disregard the registration requirements. Deng was respected in the Chinese community and trusted by his peers, and others in a similar position should be deterred from abusing the trust of their investors.
据裁决书称，麦博集团的交易行为仅有过几度短暂的获利，而交易总趋势为亏损。至 2009年3月，公司所集投资的94.5%在交易中损失。由于交易亏损和所承诺的高额回报，邓只得用新客户的投资支付老客户。但是，邓并未遭到欺骗或欺诈交易的指控。
According to the decision, the overall trend of MP’s trading was negative, with only some brief periods of gains. By Mar. 2009, 94.5% of investments collected had been lost in trading. The trading losses and high promised rate of return had led Deng to use new investors’ money to pay previous investors. However, no allegations of fraud or abusive trading were made against him.
裁决书写道：“虽然邓的行为谈不上掠夺与贪欲，但是他向投资者募集了大量资金，并且在其资金全部亏损后没有向投资者透露实情。”
“Deng’s behaviour was not predatory or rapacious. However he took large amounts of funds from investors and then was not forthcoming with them when all of their funds were lost,” the decision reads.
交易禁令
Trading bans
证监会聆讯小组裁决，邓自判决之日起15年内禁止从事证券交易工作，邓本人可通过注册代理人进行证券交易。邓还被禁止在15年内与证监会注册交易，或成为基金经理。
The decision imposed a cease trading order on Deng for 15 years, effective from the date of the decision, but allowed Deng to trade in securities on his own through a registered dealer. Deng is also banned from becoming a fund manager, or registrant for 15 years.
追缴，行政处罚和法律费用
Disgorgement, administrative penalty and legal costs
证监会调查发现邓将逾$200万元的投资者基金用于个人支出，近$50万元用于信用卡支出，其中$12.8万元用于购买珠宝。
Deng was found to have spent over $2 million of investors’ money on personal benefits, and less than half a million on credit card payments, which included the cost of jewelry totaling $128,000.
虽安省证监会要求向邓追缴$790万元，聆讯小组仅令邓和麦博集团退还$210万元，其中包括他用于个人的资金的逾$200万元，以及购买珠宝花费的$12.8万元。裁决并未要求邓归还其用于支付信用卡的资金。
Instead of $7.9 million of disgorgement that the OSC was seeking, the decision orders Deng and MP to pay back $2.1 million only, which includes over $2 million for his personal use, and the cost of jewellery in the amount of $128,000. He was not ordered to pay back the remaining amount on his credit card payments.
聆讯小组的裁决还将证监会向邓所要求施加的行政处罚降至$50万元，聆讯法律费用降至$15万元。
The decision also reduced the administrative penalty that the commission sought to $500,000, and reduced the hearing costs to $150,000.
聆讯小组称，该裁决未曾考虑麦博集团和邓的经济支付能力。
The panel stated that the decision was made without considering MP or Deng’s financial ability to make the payments.
裁决书称：“由于缺乏有关邓的经济状况的证据，邓的支付能力不是决定该制裁或金额处罚的一个重要因素。”
“Due to lack of evidence on Deng’s financial resources, I don’t consider Deng’s ability to pay as a significant factor in determining the sanctions or costs,” read the decision.
资金分配给麦博集团的投资者？
Fund allocated to MP investors?
据聆讯小组的裁决，麦博集团和邓支付的行政罚金和追缴金额应该分配给第三方，包括麦博集团的投资者。但是裁决书并非向麦博集团的投资者提供任何获得补偿资金的法律权利。
The panel decision appears to state that the disgorgement and administrative penalty paid back by MP and Deng shall be allocated to third parties, including MP investors. However the decision states that it does not offer any legal right for MP investors to receive any compensation.
《大中报》通过电子邮件询问安省证监会如果收到罚金，将会如何分配给投资者，但是截至发稿时并未得到任何答复。
Chinese News asked the OSC through an email as to how the funds, if collected, would be allocated to investors, but received no reply by press time.
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如意如玉
2012-11-30 01:14
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唉，老唐不是共产党员真是太可惜了！！！不应该在加国混啊，应该回到红朝大国去才是大展其长的地方啊！
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流浪在北美
2012-11-30 14:12
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回去红潮，早就成了王立军手指下的蚂蚁了。
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runyingw
2012-11-29 18:24
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"差不多快看清楚了！！
人这一类嘛。。。有钱就有罪，没钱也有罪！
加拿大的法律太复杂，只有法官律师等看的懂！
无耻！！
强烈建议：
成立 华人司法保护基金，为众多无法在司法程序中获得保护的华人 提供法律资金支持！
请看数年前的文章：
加拿大有些人实在吃的太饱啦！
可怜那些加拿大的纳税人，这次几百万，上千万又打水漂啦！！
加拿大有些人实在吃的太饱啦！
警察，律师，法官还有社工等等都是人，他们中的一些，也都一样！
“以保护为名，行破坏之实，收渔翁之利”发现了别人家国的小矛盾，一定下手快,下手狠；一点点小事，本来并不存在生命和财产危险，一定要让你妻离子散，家破人亡！不将你家国砸碎，不将你变成现代奴隶，怎么好管理嘛！
没有矛盾可以发现矛盾，发现不了矛盾可以制造矛盾；没有仇恨，可以制造仇恨；要是发现不了仇恨，制造不了仇恨，没这点本事，凭什么拿年薪几万，几十万！！
警察，律师，法官还有社工也是人，也一样！这些。。。我们应当理解！！
可怜那些加拿大的纳税人，这次几百万，上千万又打水漂啦！！
人嘛，有好的，有坏的；有正的，也有邪的；有聪明的，也有白痴！。。。
警察，律师，法官还有社工也是人，也一样嘛：有好的，有坏的；有正义的，也有邪恶的；有聪明的，也有白痴！这些。。。我们应当理解！！
好与坏，正与邪，聪明或白痴。。。这些都可以随不同的时间，地点，人物，原因，经过转化为不同的结果的！！您要明白嘛。。。
关键问题是什么时候这些人变好，什么时候变坏；什么时候表现出正义，什么时候表现出邪恶；什么时候变得聪明，什么时候变得白痴？！
西方资本社会价值尺度，一定要向钱看，用钱才能说了算！用钱来分析原因，经过还有结果，社会现象差不多都能明白个八九不离十。
警察，律师，法官甚至社工，还有生活在这样一个社会的所有人们，主动也好，被动也罢，都是要向钱看的！
没有钱，可以发现钱，可以制造机会赚钱:
法制产业，没有矛盾，可以发现矛盾，可以制造矛盾；没有仇恨，可以发现仇恨，可以制造仇恨；若仇恨都没有啦，这个产业不就随之没有啦！警察，律师，法官甚至社工说：“不可以”！！实在别人家国里的一点点小事，本来不存在生命和财产危险，一定要让你妻离子散，家破人亡！不将你家国砸碎，不将你变成现代奴隶，怎么好管理嘛！
您这次算是点背啦，但想一想伊拉克总统，想一想利比亚的总统，还有想一想拉登！您这位家里面的总统，能保住老命，这也算是不幸中的万幸啦！
危险的地方聪明人不会去，想一想，您的家对某些人是不是太安全啦！！
被某些别有用心的人发现了你家国的小矛盾，那些人一定下手快，下手狠！一点点小事，本来不存在生命和财产危险，一定要让你妻离子散，家破人亡！别人家的事，别人国的事管的太宽了！带枪到别人家国去，会被打成筛子，太危险！聪明的一定会在没有危险的地方找！再想一想：您的家对某些人是不是太安全啦！！
您这次算是点背啦，您这次也算是有机会啦！关键看你怎么用！
这桩案子，不大不小，正好；对您来说，可大可小，正好！把握机会才是智者！
是英雄，就对抗到底！直到世界大同！
是狗熊，忍忍算啦！世界本无大同的！.
记住：没有矛盾可以发现矛盾，发现不了矛盾可以制造矛盾；没有仇恨，可以制造仇恨；发现不了仇恨，可以制造不了仇恨！没有钱可以发现钱，可以制造机会赚钱；不然，凭什么拿年薪几万，几十万！！
邪乎哉？不邪也！！
加拿大有些人实在吃的太饱啦！
可怜那些加拿大的纳税人，这次几百万，上千万又打水漂啦！！
教师 发表于 2012-11-29 13:34 "
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你的意思是不是想说: 还是中国好, 欠人家几钱万, 出门就会直接被车祸. 这可以省纳税人多少钱哪.
paqeu 发表于 2012-11-29 17:54 [/quo
It is not only tax payers money . Only welfare people and some lower income people use free legal aids.
Most people have to pay legal fee from their own pocket.
When two people fight and go through lawyers and court , both will get hurt badly financially. Nobody can be a winner. It end up both lose tons of money and get lawyers rich.
That is why lawyers are rich.
If you dont believe me , you can try a couple of cases and you will find how much you will lose. To sue people and to be sued is not a joke.
Same ideas can be used between country and country.
Some people create fighting for money.
If you dont want to lose money , then try to stay away from fighting.
Take care of yourself before taking care of lawyers. hahahahaha...........
Sorry i cant type Chinese on my computer.
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paqeu
2012-11-30 01:50
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Nobody would like to try. While, if you are one of the victims of MR. Tang, what could you do?
Agree with your point: "Take care of yourself before taking care of lawyers".
检控官要求判唐炜臻10年 追款289万