纽约梅隆银行（BNY Mellon）将支付1,480万美元和解FCPA相关指控

纽约梅隆银行股份有限公司(Bank of New York Mellon Corp.，BK)同意支付1,480万美元，和解其向与中东主权财富基金有关联的外国政府官员的家人提供实习职位而违反《海外反腐败法》(Foreign Corrupt Practices Act，简称FCPA)的指控。

根据美国证券交易委员会(Securities and Exchange Commission, 简称SEC)，纽约梅隆银行向外国政府官员的家属提供学生实习职位，以影响这些官员，从而赢得或保留管理和服务中东主权财富基金资产的合同。

SEC称，纽约梅隆银行向上述人员提供实习职位时并未遵循标准的实习生聘用程序，被雇佣的实习生并不符合该行现有实习生项目的聘任标准。

根据SEC，该银行虽然有著海外反腐败法的合规政策，但在雇佣客户及客户亲属方面鲜有采取具体的管控措施。

纽约梅隆银行在和解上述指控时未承认或否认有任何错误行为。

By Lisa Beilfuss; Write to Lisa Beilfuss at [e-mail]

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以上译文，谨供参考。英文原文如下：

Bank of New York Mellon Settles SEC Bribery Charges

Bank of New York Mellon Corp. agreed on Tuesday to pay $14.8 million to settle allegations that it violated U.S. anti-bribery law.

The bank provided internships to family members of foreign government officials affiliated with a Middle Eastern sovereign wealth fund, but it didn’t evaluate or hire them through its existing internship program, the Securities and Exchange Commission said. Without admitting or denying the SEC’s findings, the bank agreed to pay a $5 million penalty, disgorge $8.3 million and pay $1.5 million in interest, the SEC said.

BNY Mellon had said in January it received a Wells notice, which indicates potential regulatory action, from the SEC. In April, people close to the matter told The Wall Street Journal that BNY Mellon was expected to settle the investigation in the coming months.

According to an administrative cease-and-desist order issued by the SEC, sovereign wealth fund officials requested that BNY Mellon provide family members with internships, and the officials made multiple follow-up requests regarding details about the internships. Delivering them “was seen by certain relevant [bank] employees as a way to influence the officials’ decisions,” the order said. BNY Mellon hired the relatives as interns, the order said, and the officials maintained—and in some cases increased—the sovereign wealth fund’s business with the bank.

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