公平基金第一批分配令（2022年9月12日）中英对照全文

2022年1月31日，执法部依据授权，依照委员会《公平基金及吐出非法所得分配方案规则》（以下简称“委员会规则”）第1103条²，发布《拟议分配方案及征求意见通知》（以下简称“通知”）¹，并同时公布拟议分配方案（以下简称“拟议方案”）。

On January 31, 2022, the Division of Enforcement, pursuant to delegated authority, published a Notice of Proposed Plan of Distribution and Opportunity for Comment (“Notice”),1 pursuant to Rule 1103 of the Commission’s Rules on Fair Fund and Disgorgement Plans (“Commission’s Rules”),2 and simultaneously posted the Proposed Plan of Distribution (the “Proposed Plan”).

通知告知利害关系人，可从委员会公共网站取得拟议方案副本，或向美国证券交易委员会Noel Gittens提出书面请求，地址为华盛顿哥伦比亚特区东北区F街100号，邮政编码20549-5876。

The Notice advised interested persons that they could obtain a copy of the Proposed Plan from the Commission’s public website or by submitting a written request to Noel Gittens, United States Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-5876.

通知还告知，任何拟对拟议方案提出意见的人，均可在通知发布后30日内提交书面意见。

The Notice also advised that all persons desiring to comment on the Proposed Plan could submit their comments, in writing, within 30 days of the Notice.

委员会在征求意见期间收到255条关于拟议方案的意见。

The Commission received 255 comments on the Proposed Plan during the comment period.

2022年4月7日，经全面审查和充分考虑，委员会发布命令，不作修改地批准拟议方案³，并公布获批的分配方案（以下简称“方案”）。

On April 7, 2022, after thorough review and substantial consideration, the Commission issued an order approving the Proposed Plan without modification,3 and posted the approved Plan of Distribution (the “Plan”).

方案规定，公平基金加上累计利息、扣除税款、费用及开支后，按方案规定的方法分配给受损投资者。

The Plan provides for the distribution of the Fair Fund, plus accumulated interest, less taxes, fees, and expenses, to harmed investors according to the methodology set forth in the Plan.

鉴于本次分配规模庞大，且预计获取信息及核验申报金额存在困难，方案规定分2个阶段分配。

Because of the magnitude of this distribution and the foreseen challenges in obtaining information and verification of claim amounts, the Plan provides for a two-stage distribution.

依方案，公平基金可供分配净额⁴的首批款项（以下简称“首批款项”）应支付给申报表已全部处理完毕，且依分配计算方案确定的核定损失超过50.00美元的申领人。

Pursuant to the Plan, the initial tranche (“Initial Tranche”) of the Net Available Fair Fund4 is to be disbursed to those claimants whose claim forms have been fully processed, and whose Recognized Loss, as calculated pursuant to the Plan of Allocation, is determined to exceed $50.00.

首批支付款项至少为收款人核定损失的50%。

Payments disbursed in the Initial Tranche represent at least 50% of the Payee’s Recognized Loss.

依方案，基金管理人已向委员会工作人员提交付款文件，并附函就其中信息的完整性和准确性提供合理保证。

Pursuant to the Plan, the Fund Administrator has submitted a payment file to Commission staff with a reasonable assurances letter as to the completeness and accuracy of the information contained therein.

委员会工作人员已审查并接受该付款文件，现依委员会规则第1101(b)(6)条，即《联邦法规汇编》第17编第201.1101(b)(6)条，请求委员会授权将77,915,851.58美元从公平基金划入该基金在亨廷顿国民银行的托管账户，由基金管理人依方案向本次首批分配中被认定为收款人的合格申领人分配。

The Commission staff has reviewed and accepted the payment file and requests, pursuant to Rule 1101(b)(6) of the Commission’s Rules, 17 C.F.R. § 201.1101(b)(6), that the Commission authorize the transfer of $77,915,851.58 from the Fair Fund to the Fair Fund’s escrow account at The Huntington National Bank for distribution by the Fund Administrator in accordance with the Plan to those Eligible Claimants deemed to be Payees in the Initial Tranche of this distribution.

据此，兹命令：委员会工作人员应将77,915,851.58美元从公平基金划入该基金在亨廷顿国民银行的托管账户，基金管理人应依方案将该款项分配给首批分配中被认定为收款人的合格申领人。

Accordingly, it is hereby ORDERED, that Commission staff shall transfer $77,915,851.58 from the Fair Fund to the Fair Fund’s escrow account at The Huntington National Bank, and the Fund Administrator shall distribute such monies to the Eligible Claimants deemed Payees in the Initial Tranche in accordance with the Plan.

执法部依据授权，代表委员会发布。⁵

For the Commission, by the Division of Enforcement, pursuant to delegated authority.5

秘书 Vanessa A. Countryman

Vanessa A. Countryman Secretary

1　《证券交易法》公告第94107号（2022年1月31日）。

1 Exchange Act Rel. No. 94107 (Jan. 31, 2022).

2　《联邦法规汇编》第17编第201.1103条。

2 17 C.F.R. § 201.1103.

3　《分配方案批准令》，《证券交易法》公告第94628号（2022年4月7日）。

3 Order Approving Plan of Distribution, Exchange Act Rel. No. 94628 (Apr. 7, 2022).

4　本命令中使用但未定义的所有首字母大写术语，均与方案赋予的含义相同。

4 All capitalized terms used herein but not defined shall have the same meanings ascribed to them in the Plan.

5　《联邦法规汇编》第17编第200.30-4(a)(21)(v)条。

5 17 C.F.R. § 200.30-4(a)(21)(v).