中興遭22.9億美元處罰（通告全文）

科技 06-09

中興遭22.9億美元處罰（通告全文）

區塊鏈首席

區塊鏈從入門到精通。在這裡，憋大招！

中興遭22.9億美元處罰（通告全文）

中興遭美國22.9億美元處罰

2018年6月7日周四，美國商務部公布了對中興通訊的最新處罰通告:

處罰通告主要內容如下：

1、此次將新繳納10億美元的罰金，同時在第三方賬戶存放4億美金保證金，加上之前的8.92億罰金， 累計罰款總額22.9億美金（註：這差不多相當於中興三四年白乾，幾萬人的公司啊）。

2、中興通訊相關公司必須在30天內更換全部董事會和管理層。

3、中興通訊必須聘請美國商務部挑選的合規團隊對企業進行監督，為期10年。

4、此次為暫停，未來10年美國隨時有權利重新激活禁令。

以下是美國商務部的最新處罰通告全文

（中文翻譯僅供參考）

Secretary Ross Announces $1.4 Billion ZTE Settlement; ZTE Board, Management Changes and Strictest BIS Compliance Requirements Ever羅斯部長宣布與中興通訊達成14億美元和解;中興董事會、管理層變動及最嚴格的BIS合規要求

FOR IMMEDIATE RELEASE

Thursday, June 7, 2018

Office of Public Affairs

(202) 482-4883

publicaffairs@doc.gov

Secretary of Commerce Wilbur Ross today announced that Zhongxing Telecommunications Equipment Corporation, of Shenzhen, China (「ZTE Corporation」) and ZTE Kangxun Telecommunications Ltd. of Hi-New Shenzhen, China (「ZTE Kangxun」) (collectively, 「ZTE」) has agreed to severe additional penalties and compliance measures to replace the U.S. Commerce Department』s Bureau of Industry and Security (BIS) denial order imposed as a result of ZTE』s violations of its March 2017 settlement agreement. Under the new agreement, ZTE must pay $1 billion and place an additional $400 million in suspended penalty money in escrow before BIS will remove ZTE from the Denied Persons List. These penalties are in addition to the $892 million in penalties ZTE has already paid to the U.S government under the March 2017 settlement agreement. 威爾伯?羅斯(Wilbur Ross)商務部長今天宣布, 中國深圳中興電信設備公司(「中興通訊」)和深圳中興康訊電信有限公司,中國(「中興康訊」)(統稱,「中興通訊」)已同意重大、額外的處罰金額並採納合規措施，以取代美國商務部工業安全局（BIS)對中興通訊違反2017年3月和解協議而發出的拒絕令。根據新協議，在BIS將中興從黑名單上除名之前，中興通訊必須支付10億美元，並將額外支付4億美元的暫緩執行的罰款作為保證金。除了這些罰款，此前，根據2017年3月達成的和解協議，中興通訊已經向美國支付了8.92億美元的罰款。

ZTE will also be required by the new agreement to retain a team of special compliance coordinators selected by and answerable to BIS for a period of 10 years. Their function will be to monitor on a real-time basis ZTE』s compliance with U.S. export control laws. This is the first time BIS has achieved such stringent compliance measures in any case. ZTE is also required under the new agreement to replace the entire board of directors and senior leadership for both entities. Finally, the new agreement once again imposes a denial order that is suspended, this time for 10 years, which BIS can activate in the event of additional violations during the ten-year probationary period. These collectively are the most severe penalty BIS has ever imposed on a company. 新協議還要求中興通訊僱傭由BIS挑選並負責的特別合規協調員團隊，期限為10年。他們的職責是實時監控中興是否遵守美國的出口管制法規。這是BIS第一次在任何情況下實現如此嚴格的合規措施。根據新的協議，中興還需要更換兩家公司的整個董事會和高層領導。最後，新協議再一次簽發了一項新的、暫緩執行的拒絕命令；期限為10年；在十年的觀察期間內， BIS可以在（如果）中興發生額外的違規事件時激活該拒絕令。這是美國工業安全局BIS對一家公司所施加的最嚴厲的懲罰（史上最嚴厲）。

「Today, BIS is imposing the largest penalty it has ever levied and requiring that ZTE adopt unprecedented compliance measures,」 said Secretary Ross. 「We will closely monitor ZTE』s behavior. If they commit any further violations, we would again be able to deny them access to U.S. technology as well as collect the additional $400 million in escrow. The first settlement with ZTE set a record for civil and criminal penalties in an export control case. This new settlement agreement sets another record, and brings the total penalties assessed on ZTE to $2.29 billion.」美國商務部長羅斯(Ross)表示:「今天，BIS 實施有史以來最嚴厲的懲罰，並要求中興採取前所未有的合規措施。」我們將密切監控中興的行為。如果他們再犯任何違法行為，我們將再次阻止他們獲得美國技術，並收取額外的4億美元代管費用。與中興通訊達成的首筆和解，創下了一起出口管制案件中民事和刑事處罰的記錄。這項新的和解協議創造了另一項紀錄，將對中興通訊的罰款總額提高到22.9億美元。

The purpose of this settlement is to modify ZTE』s behavior while setting a new precedent for monitoring to assure compliance with U.S. law. Embedding compliance officers into the company vastly improves the speed with which the Department of Commerce can detect and deal with any violations. 和解協議的目的是修改中興通訊的行為，同時為監管設定新的先例，以確保遵守美國法律。向監管公司派駐合規官員，將極大地提高商務部發現和處理任何違規行為的速度。

BACKGROUND: 背景信息

On April 15, 2018, BIS activated the suspended denial order against ZTE in response to ZTE falsely informing the U.S. Government that it would or had disciplined numerous employees responsible for the violations that led to the March 2017 settlement agreement. ZTE instead rewarded that illegal activity with bonuses. This action followed the March 2017 settlement agreement, in which ZTE agreed to a then record-high BIS civil penalty of $661 million, after engaging in a multi-year conspiracy to supply, build, and operate telecommunications networks in Iran using U.S.-origin equipment in violation of the U.S. trade embargo, and committing hundreds of U.S. sanctions violations involving the shipment of telecommunications equipment to North Korea. They also made false statements and obstructed justice by creating an elaborate scheme to prevent disclosures to and affirmatively mislead the U.S. Government. In addition to monetary penalties, ZTE had agreed to a seven-year suspended denial of export privileges, which could be activated if any aspect of the agreement was not met and/or if the company committed additional violations of the Export Administration Regulations.

The Commerce Department』s BIS is the principal agency involved in the implementation and enforcement of export controls for commercial technologies and many military items. The BIS Office of Export Enforcement detects, prevents, investigates and assists in the sanctioning of illegal exports of such items. For more information, please visit us at www.bis.doc.gov

中興遭22.9億美元處罰（通告全文）