唐炜臻的证券会活动
file:///C:/DOCUME~1/T/LOCALS~1/Temp/msohtmlclip1/01/clip_image002.gifOntario
Ontario Commission des Securities valeurs mobilieres Commission de !'Ontario
22nd Floor20 Queen Street WestToronto ON M5H 388
22e etage20, rue queen ouest Toronto ON M5H 388
file:///C:/DOCUME~1/T/LOCALS~1/Temp/msohtmlclip1/01/clip_image003.gif IN THEMATTER OF THE SECURITIES ACT,R.S.O. 1990, c. S.5, AS AMENDED - and - IN THE MATTER OF WEIZHEN TANG Order(Subsections 127(1) and 127(10)) WHEREAS on September 30, 2013, the OntarioSecuritiesCommission(the "Commission") issued a Noticeof Hearing pursuant to subsections 127(1) and 127(10) of the Securities Act, R.S.O. 1990 c. S.5 asamended (the "Act") accompanied by a Statement of Allegations ofStaff of the Commission ("Staff ') dated September 30, 2013 withrespecttoWeizhen Tang ("Tang"); AND WHEREAS the Notice of Hearing stated that ahearing wouldbeheld attheoffices of the Commissionon November 13, 2013; AND WHEREAS on November 13, 2013, Staff attended thehearing andfiledthe Affidavits of Service of Jeff Thomson sworn October 4, 2013 demonstrating personalservice of the Noticeof Hearingand Statement of Allegationson Tang; AND WHEREASTang did not attend the hearingnor was he representedby counsel; AND WHEREASTang's wife attended the hearingand addressed the Panel; AND WHEREAS on November13, 2013, Staff requestedthat thehearingbeadjoumed to January 2014;
AND WHEREAS the Commission ordered that the hearing beadjourned to January 21,2014 at10:00 a.m.; AND WHEREAS on January 21, 2014, Counselfor Staff attended the hearingandfiledthe Affidavit of Service of TiaFaerber sworn January 17, 2014asExhibit "l" demonstratingservice of theCommission'sOrder dated November13, 2013 on Tang; ANDWHEREAS Tang did not attend the hearing nor was he representedbycounsel; AND WHEREASTang'swife, Hong Xiao, attended the hearing andaddressed thePanel; AND WHEREAS on January 21, 2014, Counsel for Staffrequested that the hearing be adjourned to February 24, 2014; AND WHEREAS on January 21, 2014, the Commissionordered that the hearing beadjourned toFebruary24, 2014 at10:00 a.m.; AND WHEREAS in advance of the hearing onFebruary24,2014, Stafffiledthe Affidavit of Service of Tia Faerber,sworn February 18, 2014 demonstrating service of the Commission'sOrder dated January21, 2014 on Tang; AND WHEREAS on February 24, 2014, Counsel forStaff attendedthehearing andmadesubmissions; ANDWHEREAS Tang did not attend the hearing nor was he representedbycounsel; AND WHEREASTang'swife, Hong Xiao, attendedthe hearing andaddressedthePanel;
AND WHEREAS the Commission ordered thatthehearing beadjournedto October 27, 2014 at 2:00p.m.; AND WHEREAS in advance of the hearing on October 27,2014, Staff filed the Affidavit of Alice Hewitt sworn October 22, 2014demonstrating serviceofthe Commission'sOrder datedFebruary24, 2014on Tang; AND WHEREAS on October 27, 2014, Counsel for Staff attended the hearingand made submissions; AND WHEREAS Tang did not attend the hearing nor washe representedbycounsel; AND WHEREAS the Commission ordered thatthe hearingbe adjournedto April 27, 2015 at9:00a.m.; AND WHERES in advance of the hearing on April 27,2015, Staff filed the Affidavit of Service of Alice Hewitt sworn March 2, 2015demonstrating service of the Commission's Order dated October 28, 2014 onTang; AND WHEREAS on April 27, 2015, Counsel for Staff attended the hearing andmade submissions; AND WHEREASTang did not attend the hearingnor was he representedby counsel; AND WHEREAS on April 27, 2015, the Commission ordered thatthe hearingbe adjourned toSeptember14, 2015 at10:00 a.m.; AND WHEREAS in advance of the hearing on September14, 2015, Staff filedtheAffidavit of Service of Alice Hewitt swornJune 23, 2015 demonstrating service of the Commission'sOrder dated April27, 2015 onTang;
AND WHEREAS on September 14, 2015, Counsel for Staffattendedthehearing and made submissions; ANDWHEREAS Tangattendedthe hearing and made submissions; AND WHEREAS the Commission ordered that the hearing beadjourned to October2,2015 at 9:00a.m.; AND WHEREAS in advance of the hearingon October 2, 2015,Staff filed theAffidavitof Alice Hewitt swornSeptember 23, 2015 demonstrating service oftheCommission's Order datedSeptember14, 2015 onTang; AND WHEREAS on October 2, 2015, Counsel for Staffattended the hearing and made submissions; ANDWHEREAS Tangattendedthe hearing and made submissions; AND WHEREAS on October 2, 2015, the Commission orderedthat a pre-hearing conference be scheduled for Friday, November 6, 2015 at9:00a.m.,and thehearingonthemerits (the "Merits Hearing") be scheduled for January13, 14and15,2016; AND WHEREAS in advance of the pre-hearing conferenceon November 6, 2015, Staff filed the Affidavit of Service of AliceHewitt sworn October7, 2015demonstratingservice ofthe Commission's Order dated October2, 2015 on Tang andalso filed theAffidavitof Serviceof Anne Paiement sworn October 5, 2015demonstrating service of Staff s first tranche of disclosure in connectionwiththis proceedingon Tang; AND WHEREAS in advance of the pre-hearing conferenceon November 6, 2015, Tang filed Pre-Hearing Conference Submissions, expressinghis intentiontocall anumberof investorsand current and formerCommission staff membersas witnesses; AND WHERAS in advance of the pre-hearing conference onNovember 6, 2015, Tang brought anapplicationseekingrelief pertainingtothe freezingof certainfunds heldby
Interactive Brokers Ltd. on behalf of corporations controlled by Tang byOrder of the Ontario SuperiorCourtof Justice (the "Frozen Funds Application"); AND WHEREAS on November 6, 2015, Counsel for Staffattended the pre-hearing conference and made submissions and Tang attended thepre-hearing conference and made submissions; AND WHEREAS the Commission is of the opinion thatitisin thepublicinterest tomake this Order; ITIS ORDERED THAT:(a) Subject to the authority of the Panel presidingover theMeritsHearing, Tangshall not be permitted tosummon as witnesses at the Merits Hearing anyofthe threeStaff membersidentifiedasprospective witnessesinTang's Pre-Hearing ConferenceSubmissions;(b) Subject to the authority of the Panelpresidingover theMerits Hearing,Tangshall be permitted to summon no more than sixinvestor witnesses at the Merits Hearing unless Tang provides the Panel withcompellingreasons for doing so;(c) Subject to the authority of the Panel presidingover the Merits Hearing, the evidence that Tang may leadat the Merits Hearingshall be restrictedto matters relevant tothe appropriatesanction or sanctions thatmaybe imposedonTang under subsection127(10) of the SecuritiesAct;(d) Tang shall file and serve witness statementsfor the witnesses he intends to summonby no later than November20, 2015, setting out their names and disclosing the substance of theiranticipated evidence at the hearingon the merits;(e) Any hearing of the Frozen Funds Application,which wouldincludea determination of the authority of a Panelto grant any relief in respect of such Application, shall be adjourned sine die pending the disposition of themotion brought by Representative Counsel before the Superior Court of Justiceand served on Tang on November 6, 2014;(f) Staff shall advise the Commission, through the office oftheSecretary,of thedispositionof suchmotionby Representative Counseland, ifthemotion isnot
disposedof in a timely fashion, Staff shall so alert the office of the Secretary forthe purposeof permittingthe Frozen Funds Applicationto be spoken to further; (g) Staff and Tang shall each deliver a HearingBrief bynolater thanDecember1, 2015; and(h) A further pre-hearingconference shall be held on November25, 2015 at 9:00 a.m. DATEDat Toronto this11th day of November,2015. file:///C:/DOCUME~1/T/LOCALS~1/Temp/msohtmlclip1/01/clip_image005.gif Christopher Portner
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