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唐炜臻能否不在安省而在加拿大其它省操盘?

Defiant Weizhen Tang slapped with OSC warning
来源: 大中报 南茜(Nancy Jin)



在唐炜臻大张旗鼓地宣布他将重操旧业、再返投资行业之后,安省证监会日前发布新闻消息,警告安省投资者不要参与唐炜臻的投资活动。安省证监会新闻称,证监会向唐炜臻发布永久禁令,不准许他进入安省资本市场,且禁止他所拥有的任何公司向安省居民集资,或向其提供投资建议,购买或兜售证券或金融产品。证监会的这一近期新闻发布被华文媒体广为报道。

In the wake of Weizhen Tang's recent announcement of his intention to resume investment activities, OSC, the Ontario securities watchdog is warning not to invest with him or his companies. "Mr. Tang is permanently banned from participating in Ontario's capital markets, and none of the companies associated with him are permitted to solicit investments from Ontario residents or to provide advice on investing in, buying or selling securities," stated a recent OSC news release which is widely reported by news media in the Chinese community.

从不服软的唐炜臻就安省证券监管机构发表的警告称,他很高兴证监会的消息再次让他成为新闻人物。“我没有什么可怕的,光脚的不怕穿鞋的。我可以在安省以外重操旧业。离开安省你就管不着我了!”

The defiant Tang reacted to the warning by the province securities regulator as saying that he is happy that he has made the news again. "I have nothing to fear and nothing to lose…I am not feeling intimidated at all. I could continue my practice in provinces other than Ontario, where the OSC has no jurisdiction."



但唐炜臻实在是低估了加拿大最大的证券监管机构的执法能力和权限。与许多发达国家不同,加拿大的确没有国家级的证券管理机构,但唐炜臻想逃避安省证监会的监管,利用这一分散的监管体系钻漏洞。为了加强对证券违法者的监管,加国各省监管机构竭力合作沟通,并定期与全国各地警方交流情报和信息。

However, Tang may have underestimated the enforcement power of Canada's largest securities regulator. Canada, unlike many developed countries, does not have securities regulatory authority at the federal government level, but Tang has limited ability to take advantage of the fragmented securities system. To stay on top of the offenders of securities law, provincial regulators across Canada make a best effort to work and communicate with each other, regularly sharing information with law enforcement authorities across Canada.



证监会公共关系部经理Kristen Rose表示:“对不断伤害安省投资人并违反证监会命令者,我们会与警方合作追究其刑事或准刑事责任。”

 "When individuals continue to victimize Ontario investors and breach our orders, we work with our police partners to pursue them criminally and quasi-criminally," said Kristen Rose, Manager, Public Affairs of OSC.



加拿大的省级管理机构通过“法定互惠条款”建立了一套联合执法体系,意味着由安省证监会发布的停止交易令将在这一体系的其他省份和司法管辖区内自动生效。这一执法体系涵盖加国各大省份,从阿尔伯塔省,新斯科舍省和魁北克省到爱德华王子岛,萨斯喀彻温省和育空地区。由于唐炜臻在安省遭到停牌禁令而不准许他进入安省资本市场,他也不准许在这一执法体系中的任何其他省份进行证券投资和交易。

Provincial regulators in Canada have also established an enforcement network through "statutory reciprocal order provision." A cease trade order issued by the OSC will automatically take effect in all jurisdictions that have adopted the provisions. The network covers major provinces in Canada, ranging from Alberta, Nova Scotia, and Quebec to Prince Edward Island, Saskatchewan, and Yukon. As Mr. Tang faces permanent ban in participating in Ontario's capital market, he is not allowed to invest or trade securities in any of these provinces either.

安省证监会最近有关“被定欺诈罪的唐炜臻”的新闻稿是证监会所发布的投资警告之一。这类投资警告是提请公众小心免受可能正在进行的投资活动的伤害。

The OSC's recent news release targeting the "convicted fraudster Weizhen Tang” was one of the investor alerts issued by the regulator to warn the public about possible harmful activity in progress.



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