美国财政部调整违反制裁行为的罚款计算方式
The Treasury Department building. 美国财政部大楼。 图片来源： MANDEL NGAN/AFP/GETTY IMAGES
The Treasury Department is changing how it calculates fines related to sanctions violations, a move that could signal larger penalties.
美国财政部将改变对违反制裁行为的罚款计算方式，此举可能意味着罚款金额增多。
The department will no longer credit all types of fines paid to other government agencies as part of joint settlements, Andrea Gacki, the director of the Office of Foreign Assets Control, said during an American Bar Association event in Washington, D.C.
美国财政部外国资产管制办公室(Office of Foreign Assets Control, 简称OFAC)主任Andrea Gacki在华盛顿美国律师协会(American Bar Association)的一个活动上称，财政部将不再把支付给其他政府机构的所有类型的罚款都算作联合和解的一部分。
The Treasury will only give credit for penalties imposed by other federal agencies that relate to “the same pattern of conduct for the same period of time” as the department’s own penalties, Ms. Gacki said, according to a copy of prepared remarks provided by the department.
据财政部提供的Gacki讲话稿的副本显示，财政部只会将其他联邦机构就“相同时期内的同类行为”开出的罚款算作财政部罚款的一部分。
Ms. Gacki identified two April sanctions settlements that fit with the Treasury’s new approach: The Treasury and other agencies reached settlements totaling $1.1 billion with Standard Chartered Bank PLC, which was charged with violating U.S. sanctions, including those against Iran; and settlements totaling $1.3 billion reached with UniCredit Group SpA, which faced similar charges.
Gacki举例说，4月份达成的两项制裁和解协议符合财政部的新计算方式，这包括财政部和其他部门与渣打银行(Standard Chartered Bank PLC)达成的总额11亿美元的和解协议，以及与裕信集团(UniCredit Group SpA)达成的总额13亿美元的和解协议。渣打银行被指违反美国对伊朗等国的制裁，裕信也受到了类似指控。
The Justice Department, the Federal Reserve and the New York State Department of Financial Services were part of those settlements. The U.K.’s Financial Conduct Authority also reached a separate settlement with Standard Chartered .
美国司法部、美国联邦储备委员会(Federal Reserve, 简称：美联储)和纽约州金融服务管理局(New York State Department of Financial Services)也是达成这些和解协议的相关方。英国金融行为监管局(Financial Conduct Authority)也与渣打银行达成了另外一份和解协议。
In the settlements, the Treasury deducted penalties paid to other agencies from its own for matching conduct occurring over the same period of time. Gacki said the department was trying to balance its desire to avoid “unnecessary piling-on” with “a strategic use of its enforcement authorities.”
在和解协议中，财政部在自己的罚金中扣除了支付给其他部门的、与发生在同一时期的行为相匹配的罚金。Gacki称，司法部试图在避免“不必要的加码”与“战略性地使用其执法机关”之间寻求平衡。
The Standard Chartered and UniCredit cases also demonstrated OFAC’s new expectations around compliance programs, Ms. Gacki said. The Treasury Department issued new guidance on how companies should design effective sanctions compliance programs in May.
Gacki称，渣打银行和裕信的案例也反映了OFAC对合规计划的新预期。财政部今年5月发布了新的指引，指导企业如何设计有效的制裁合规计划。
The settlements included detailed compliance commitments, such as the requirement to regularly conduct audits and provide ongoing sanctions compliance training, Ms. Gacki said.
Gacki称，和解协议包括详细的合规承诺，比如定期进行审计，以及持续地提供制裁合规培训等。
Dylan Tokar
（本文版权归道琼斯公司所有，未经许可不得翻译或转载。）
更多阅读：
道琼斯公司（Dow Jones）创建于1882年，旗下有道琼斯指数、Barron's《巴伦》、WSJ《华尔街日报》、MarketWatch、Factiva、VentureSource、Risk & Compliance等品牌。“道琼斯风险合规”是全球领先的风险合规服务商。本公众号由道琼斯风险合规中国团队运营。欢迎您关注或咨询：Johnson.Ma@dowjones.com