美國司法部報道孟晚舟簽訂暫緩起訴協議新聞翻譯

譯文說明：

孟晚舟女士與美國司法部達成延遲起訴協議（Deferred Prosecuation Agreement），於加拿大釋放，並已回到祖國的懷抱。美國司法部就該事件發布新聞文章，文章內容說明孟晚舟女士簽訂協議的主要義務是承認部分其所作陳述不實，但並不構成認罪，並且美國司法部同意暫緩起訴，並立即終止加拿大的引渡程序。本譯文僅供參考，如有紕漏或錯誤敬請指證。 

譯文文本： 

華為首席財務官孟晚舟承認誤導國際金融機構 孟晚舟簽訂延期起訴協議以解決欺詐指控 

華為技術有限公司首席財務官孟晚舟，49歲，來自中華人民共和國，今天在布魯克林的聯邦地區法院出庭，簽訂了一份延期起訴協議（DPA），並因被指控串謀實施銀行欺詐和串謀實施電信欺詐、銀行欺詐和電信欺詐而被提審。 

紐約東區美國代理檢察官Nicole Boeckmann稱：「在簽訂延期起訴協議（DPA）時，孟晚舟已經為她在實施欺騙一家國際金融機構的計劃中所扮演的主要角色承擔責任。」孟晚舟在事實陳述中的承認證實，在擔任華為首席財務官期間，她就華為在伊朗的業務運營向一家金融機構的高管作出了多項重大失實陳述，以努力維護華為與該金融機構的銀行關係。孟晚舟所隱瞞的關於華為在伊朗業務的真相，本該對金融機構決定是否繼續保持與華為的銀行關係起重要作用。孟晚舟的承認證實了這一起金融詐騙訴訟中政府指控的關鍵——即孟晚舟以及她下屬的華為員工通謀並共同就華為在伊朗開展業務方面欺騙了國際金融機構、美國政府以及公眾。 

司法部國家安全司代理助理總檢察長Mark J. Lesko稱：「這項延期起訴協議將使加拿大當前進行的引渡程序終止，否則該程序可能會持續數月，甚至數年。我們非常感謝加拿大司法部在這次引渡中的敬業工作，以及對法治的堅定遵守。」 

司法部刑事司的助理司法部長Kenneth A. Polite Jr.稱：「金融機構是我們維護美國金融系統安全的第一道防線，這就是為什麼法律要求利用美國金融系統的公司向金融機構提供有關其業務運營的真實信息。華為技術有限公司首席財務官孟晚舟今天承認，她沒有說出關於華為在伊朗業務的真相，導致金融機構在違反美國法律的情況下繼續與華為合作。我們的起訴團隊繼續對華為的審判做準備，期待在法庭上與該公司的對抗中勝訴。」 

聯邦調查局反間諜部門的助理局長Alan E. Kohler Jr.稱：「孟晚舟的承認證明了存在一種違反美國法律的持續欺詐模式。當有跡象表明在美國執業的公司的行為藐視我們的法律時，聯邦調查局將繼續積極調查。」 

欺詐金融機構的計劃 

根據相關法律文件，以及孟晚舟在延期起訴協議中的事實陳述，星通技術有限公司（Skycom Tech.Ltd.Ltd.，下稱星通）是一家主要在伊朗經營的香港公司。2007年2月，星通技術有限公司是由華盈公司（Hua Ying Management，下稱華盈）全資擁有，華盈則是華為技術有限公司（Huawei Technologies Co.，下稱華為）的子公司。2007年11月，華盈將其在星通公司的股份轉讓給華為控制的另一實體——Canicula控股公司（Canicula Holdings下稱Canicula）。華盈將其持有的星通公司股份轉讓給Canicula期間，孟晚舟是華盈公司的公司秘書。 

2008年2月，華為將星通公司的所有權從華盈轉移給Canicula後，孟晚舟加入了星通公司的董事會，且該董事會由華為員工組成。她在董事會任職至2009年4月。孟晚舟離開星通公司董事會後，星通公司的董事會成員仍然是華為員工，Canicula繼續擁有星通公司，且Canicula繼續受華為控制。2012年8月，華為在以英文書寫的公司文件中，將星通列入”其他華為子公司”名單。 

2010年至2014年期間，華為控制了星通在伊朗的業務運營，且星通由華為控制的公司實體擁有。星通的重大業務決策都由華為做出。此外，星通的國家經理——公司內主管某國業務的職位，是一名華為員工。星通雇用的個體員工則表示他們在為華為工作。 

在同一時期，華為員工與一家英國人事公司合作，為星通提供在伊朗的工程師，以此支持星通與伊朗電信服務提供商的合作。華為員工代表星通進行談判以及簽訂合同。為了支付這些承包商的費用，華為從星通在亞洲地區的銀行賬戶中撥款，包括星通在一家跨國金融機構（下稱金融機構1）的賬戶，以一系列大約80筆的付款向該英國人事公司支付了至少750萬美元。這些交易款項以美元計價，並通過美國進行結算。 

2012年12月和2013年1月，包括路透社在內的多家新聞機構報道，星通主動在伊朗銷售由一家美國計算機設備製造商生產的「禁運」設備，此舉涉嫌違反美國出口管制法，並且華為與星通的關係密切。2012年12月，華為在發表在路透社的一份聲明中聲稱星通是其在伊朗的 「主要當地合作夥伴」之一。路透社報道稱，華為進一步表示，「華為在伊朗的業務完全符合所有適用的法律和法規，包括聯合國、美國和歐盟的法律和法規，我們公司一直在履行和嚴格遵守這一承諾。此外，我們也要求我們的合作夥伴遵循同樣的承諾，嚴格遵守相關的法律和法規」。 

2013年1月，路透社後續的一篇文章報道稱，孟晚舟在2008年2月至2009年4月期間擔任星通的董事會成員，並指證了星通的董事與華為其他方面的聯繫。該文章還引用了華為的以下聲明：「華為和星通之間的關係是正常的商業合作。華為已建立了符合行業最佳實踐的貿易合規體系，我們在伊朗的業務完全符合所有適用的法律和法規，包括聯合國的法律和法規。我們也要求我們的合作夥伴，例如星通，做出同樣的承諾」。這一說法是不正確的，因為華為實際經營和控制着星通；因此星通不是華為的商業 “夥伴”。 

這些文章發表後，金融機構1和其他向華為提供包括美元清算在內的國際銀行服務的全球金融機構（以下統稱 “金融機構”），針對上述媒體的報道向華為進行了詢問。2013年初，華為員工向金融機構表示，星通只是華為在伊朗的一個當地商業夥伴，且星通沒有利用其在金融機構的賬戶進行與伊朗有關的交易。 

為了解決新聞報道中的指控，華為要求與金融機構1的一名高級雇員進行當面會談。2013年8月22日，雙方在香港進行會談，當時孟晚舟與金融機構1負責亞太地區業務的一名高管會面。會議期間，孟晚舟展示了一份用中文寫成的PowerPoint演示文稿，並由一名口譯員翻譯成英文。孟晚舟表示，使用口譯員是為了讓自己的語言表達更精確。 

在孟晚舟的陳述中，她表示，除開其他方面，華為與星通的關係既是「正常的商業合作」，也是「正常且可控的商業合作」，她將星通描述為「合作夥伴」、「華為的商業夥伴」、「華為在伊朗合作的第三方」。這些陳述是不真實的，因為孟晚舟知道，星通不是華為的商業夥伴，也不是與華為合作的第三方；相反，華為控制着星通，而星通的員工實際上是華為的員工。對於金融機構1來說，本該有必要知道華為控制着星通這一信息。 

此外，孟晚舟表示，華為「曾經是星通的股東」，但已經「出售了其在星通的所有股份」。這些陳述是不真實的，因為正如孟晚舟所知，華為已將其股份 “出售 “給華為控制的一個實體。確切來說，華為將星通的股份從華為的一個子公司（華盈）轉移到另一個由華為控制的實體（Canicula）。對於金融機構1來說，本該有必要知道星通是從一個受華為控制的實體轉移到另一個仍受華為控制的實體。 

最後，孟晚舟表示，華為「在伊朗的運營嚴格遵守應適用的法律、法規和制裁」，而且「華為或與華為合作的任何第三方沒有違反出口管制條例」。這些陳述是不真實的，因為華為對星通的運營導致了金融機構為華為在伊朗的業務提供被禁止的服務，包括銀行服務，而華為卻隱瞞了星通與華為的聯繫，這違反了美國財政部外國資產管控辦公室的《伊朗貿易和制裁條例》（《聯邦法規匯編》標題31第560部分）。此外，在2010年至2014年期間，華為使星通公司通過金融機構1進行了價值約1億美元的交易，這些交易通過美國清算，其中至少有一些是在違反美國法律的情況下用於支持華為在伊朗的業務，包括為開展伊朗業務支付給來自英國人事公司的伊朗本地承包商的750萬美元。 

孟晚舟在知道華為在路透社做出了關於星通的公開聲明的情況下，在會談期間或會談之後的任何時間點，都沒有對這些陳述做出任何修改和收回。此外，華為的財務主管也參加了8月的會談，也沒有糾正或修改孟晚舟的任何陳述。 

在孟晚舟與金融機構1會談後不久，華為應金融機構1的要求準備了一份英文版本的PowerPoint演示文稿。後來，孟晚舟安排將該PowerPoint演示文稿的紙質版交付給她在2013年9月會見過的金融機構1的高管。英文版本的PowerPoint演示文稿中的表述與孟晚舟在會談期間的表述密切相關。 

在會談結束以及收到孟晚舟的PowerPoint演示文稿後，金融機構1決定繼續與華為合作。其他金融機構也同樣繼續與華為保持各自的關係。 

延期起訴協議（DPA） 

根據延期起訴協議（DPA）的條款，孟晚舟同意保證一份四頁的事實聲明的準確性，其中詳細說明了她向金融機構1所作的明知是虛假的陳述。孟晚舟還同意不再實施其他聯邦、州或地方犯罪。如果孟晚舟違反協議，她將受到本案第三份補充起訴書中對她提出的所有指控的起訴。美國政府亦同意撤回其向加拿大司法部提出的將孟晚舟引渡到美國的請求。 

紐約東區的美國助理檢察官Alexander A. Solomon、Julia Nestor、David K. Kessler、Sarah M. Evans、Meredith A. Arfa，刑事司洗錢和資產追回科的審判律師Laura Billings和Christian Nauvel，以及國家安全司反間諜和出口管制科的審判律師Thea D. R. Kendler、David Lim、R. Elizabeth Abraham正在起訴此案。紐約東區民事部門的美國助理檢察官Brian Morris和Brendan King，美國駐巴黎大使館的副主任John Riesenberg、隨員Andrew Finkelman以及司法部國際事務辦公室的前審判律師Margaret O』Malley都提供了寶貴的協助。 

原文文本： 

Huawei CFO Wanzhou Meng Admits to Misleading Global Financial Institution 

Meng Enters into Deferred Prosecution Agreement to Resolve Fraud Charges 

The Chief Financial Officer of Huawei Technologies Co. Ltd., Wanzhou Meng, 49, of the People’s Republic of China (PRC), appeared today in federal district court in Brooklyn, entered into a deferred prosecution agreement (DPA) and was arraigned on charges of conspiracy to commit bank fraud and conspiracy to commit wire fraud, bank fraud and wire fraud. 

「In entering into the deferred prosecution agreement, Meng has taken responsibility for her principal role in perpetrating a scheme to defraud a global financial institution,」 said Acting U.S. Attorney Nicole Boeckmann for the Eastern District of New York. 「Her admissions in the statement of facts confirm that, while acting as the Chief Financial Officer for Huawei, Meng made multiple material misrepresentations to a senior executive of a financial institution regarding Huawei’s business operations in Iran in an effort to preserve Huawei’s banking relationship with the financial institution. The truth about Huawei’s business in Iran, which Meng concealed, would have been important to the financial institution’s decision to continue its banking relationship with Huawei. Meng’s admissions confirm the crux of the government’s allegations in the prosecution of this financial fraud — that Meng and her fellow Huawei employees engaged in a concerted effort to deceive global financial institutions, the U.S. government and the public about Huawei’s activities in Iran.」 

「This Deferred Prosecution Agreement will lead to the end of the ongoing extradition proceedings in Canada, which otherwise could have continued for many months, if not years,」 said Acting Assistant Attorney General Mark J. Lesko for the Justice Department’s National Security Division. 「We are enormously grateful to Canada’s Department of Justice for its dedicated work on this extradition and for its steadfast adherence to the rule of law.」 

「Financial institutions are our first line of defense in maintaining the safety and security of the U.S. financial system,」 said Assistant Attorney General Kenneth A. Polite Jr. of the Justice Department’s Criminal Division. 「That is why the law requires that companies who avail themselves of the U.S. financial system provide financial institutions with truthful information about their business operations. Meng Wanzhou, CFO of Huawei Technologies, admitted today that she failed to tell the truth about Huawei’s operations in Iran, and as a result the financial institution continued to do business with Huawei in violation of U.S. law. Our prosecution team continues to prepare for trial against Huawei, and we look forward to proving our case against the company in court.」 

「Meng’s admissions are evidence of a consistent pattern of deception to violate U.S. law,」 said Assistant Director Alan E. Kohler Jr. of the FBI’s Counterintelligence Division. 「The FBI will continue to aggressively investigate companies doing business in the United States when there are signs they behave with contempt for our laws.」 

The Scheme to Defraud Financial Institutions 

According to court documents, and as agreed to by Meng in the DPA’s statement of facts, Skycom Tech. Co. Ltd. (Skycom) was a Hong Kong company that primarily operated in Iran. As of February 2007, Skycom was wholly owned by a subsidiary of Huawei Technologies Co., Ltd. (Huawei), Hua Ying Management (Hua Ying). In November 2007, Hua Ying transferred its shares of Skycom to another entity that Huawei controlled, Canicula Holdings (Canicula). At the time Hua Ying transferred its Skycom shares to Canicula, Meng was the Secretary of Hua Ying. 

In February 2008, after Huawei transferred ownership of Skycom from Hua Ying to Canicula, Meng joined Skycom’s Board of Directors, which was comprised of Huawei employees. She served on the Board until April 2009. After Meng departed from Skycom’s Board, Skycom’s Board members continued to be Huawei employees, Canicula continued to own Skycom, and Canicula continued to be controlled by Huawei. As of August 2012, Huawei included Skycom among a list of 「other Huawei subsidiaries」 in Huawei corporate documents written in English. 

Between 2010 and 2014, Huawei controlled Skycom’s business operations in Iran, and Skycom was owned by an entity controlled by Huawei. All significant Skycom business decisions were made by Huawei. Moreover, Skycom’s countrymanager – the head of the business – was a Huawei employee. Individuals employed by Skycom believed they worked for Huawei. 

During the same time period, Huawei employees engaged with a U.K. staffing company to provide engineers in Iran to support Skycom’s work with Iranian telecommunications service providers. Negotiations and contracting on behalf of Skycom were conducted by Huawei employees. To pay for these contractors, Huawei sent at least $7.5 million to the U.K. staffing company in a series of approximately 80 payments from Skycom’s bank accounts in Asia, including at a multinational financial institution (Financial Institution 1), to the U.K. staffing company’s account in the United Kingdom. The transactions were denominated in U.S. dollars and cleared through the United States. 

In December 2012 and January 2013, various news organizations, including Reuters, reported that Skycom offered to sell 「embargoed」 equipment from a U.S. computer equipment manufacturer in Iran in potential violation of U.S. export controls law, and that Huawei had close ties with Skycom. In a statement to Reuters published in a December 2012 article, Huawei claimed that Skycom was one of its 「major local partners」 in Iran. Reuters reported that Huawei had further stated that 「Huawei’s business in Iran is in full compliance with all applicable laws and regulations including those of the U.N., U.S. and E.U. This commitment has been carried out and followed strictly by our company. Further, we also require our partners to follow the same commitment and strictly abide by the relevant laws and regulations.」 

In January 2013, a subsequent Reuters article reported that Meng served on the Board of Directors of Skycom between February 2008 and April 2009 and identified other connections between Skycom directors and Huawei. The article also quoted the following statement from Huawei: 「The relationship between Huawei and Skycom is a normal business partnership. Huawei has established a trade compliance system which is in line with industry best practices and our business in Iran is in full compliance with all applicable laws and regulations including those of the UN. We also require our partners, such as Skycom, to make the same commitments.」 This statement was incorrect, as Huawei operated and controlled Skycom; Skycom was therefore not Huawei’s business 「partner.」 

After these articles were published, Financial Institution 1 and other global financial institutions that provided international banking services to Huawei (collectively, the 「Financial Institutions」), including U.S. dollar-clearing, made inquiries to Huawei in response to the above-described press reports. In early 2013, Huawei employees represented to the Financial Institutions that Skycom was just a local business partner of Huawei in Iran and that Skycom had not conducted Iran-related transactions using its accounts at the Financial Institutions. 

To address the allegations in the news reports, Huawei requested an in-person meeting with a senior Financial Institution 1 employee. That meeting occurred on Aug. 22, 2013 in Hong Kong, at which time Meng met with an executive of Financial Institution 1 responsible for operations in the Asia Pacific region. During the meeting, Meng delivered a PowerPoint presentation written in Chinese, which was translated by an interpreter into English. Meng stated that she was using an interpreter to be precise in her language. 

In her presentation, Meng stated, among other things, that Huawei’s relationship with Skycom was 「normal business cooperation」 and 「normal and controllable business cooperation,」 and she described Skycom as a 「partner,」 a 「business partner of Huawei,」 and a 「third party Huawei works with」 in Iran. Those statements were untrue because, as Meng knew, Skycom was not a business partner of, or a third party working with, Huawei; instead, Huawei controlled Skycom, and Skycom employees were really Huawei employees. It would have been material to Financial Institution 1 to know that Huawei controlled Skycom. 

In addition, Meng stated that Huawei 「was once a shareholder of Skycom」 but had 「sold all its shares in Skycom.」 Those statements were untrue, because, as Meng knew, Huawei had 「sold」 its shares to an entity that Huawei controlled. Specifically, Huawei transferred Skycom shares from a Huawei subsidiary (Hua Ying) to another entity that was controlled by Huawei (Canicula). It would have been material to Financial Institution 1 to know that Skycom was transferred from one Huawei-controlled entity to another. 

Finally, Meng stated that Huawei 「operates in Iran in strict compliance with applicable laws, regulations and sanctions」 and that 「there has been no violation of export control regulations」 by 「Huawei or any third party Huawei works with.」 These statements were untrue because Huawei’s operation of Skycom, which caused the Financial Institutions to provide prohibited services, including banking services, for Huawei’s Iran-based business while Huawei concealed Skycom’s link to Huawei, was in violation of the U.S. Department of the Treasury’s Office of Foreign Assets Control’s Iranian Transactions and Sanctions Regulations, 31 C.F.R. Part 560. Moreover, between 2010 and 2014, Huawei caused Skycom to conduct approximately $100 million worth of U.S.-dollar transactions through Financial Institution 1 that cleared through the United States, at least some of which supported its work in Iran in violation of U.S. law, including $7.5 million for Iran-based contractors from the U.K. staffing company to do work in Iran. 

At no point during or after the meeting did Meng, who was aware of Huawei’s public statements about Skycom in Reuters, retract or amend any of those statements. Moreover, Huawei’s Treasurer, who also attended the August meeting, did not correct or amend any of the statements made by Meng. 

Shortly after the meeting between Meng and Financial Institution 1, Huawei prepared an English version of the PowerPoint presentation at Financial Institution 1’s request. Meng later arranged for a paper copy of that PowerPoint presentation to be delivered to the Financial Institution 1 executive she had met with in September 2013. The representations in the English version of the PowerPoint presentation closely tracked the ones Meng had made during the meeting.

After the meeting and subsequent to receipt of Meng’s PowerPoint presentation, Financial Institution 1 decided to continue its relationship with Huawei. The other Financial Institutions similarly continued their respective relationships with Huawei. 

The DPA 

Under the terms of the DPA, Meng has agreed to the accuracy of a four-page statement of facts that details the knowingly false statements she made to Financial Institution 1. Meng also has agreed not to commit other federal, state or local crimes. If Meng breaches the agreement, she will be subject to prosecution of all the charges against her in the third superseding indictment filed in this case. The government also agreed to withdraw its request to the Ministry of Justice of Canada that Meng be extradited to the United States. 

Assistant U.S. Attorneys Alexander A. Solomon, Julia Nestor, David K. Kessler, Sarah M. Evans and Meredith A. Arfa for the Eastern District of New York; Trial Attorneys Laura Billings and Christian Nauvel for the Criminal Division’s Money Laundering and Asset Recovery Section; and Trial Attorneys Thea D. R. Kendler, David Lim and R. Elizabeth Abraham of the National Security Division’s Counterintelligence and Export Control Section are prosecuting the case. Valuable assistance was provided by Assistant U.S. Attorneys Brian Morris and Brendan King of the Eastern District of New York’s Civil Division and Associate Director John Riesenberg, Attaché Andrew Finkelman of U.S. Embassy Paris and former Trial Attorney Margaret O』Malley of the Justice Department’s Office of International Affairs.

（全文轉自深圳大學合規研究院微信公號，原文已被刪除）