中兴遭22.9亿美元处罚（通告全文）

中兴遭美国22.9亿美元处罚

2018年6月7日周四， 美国商务部公布了对中兴通讯的最新处罚通告，

处罚通告主要内容如下：

1、此次将新缴纳10亿美元的罚金，同时在第三方账户存放4亿美金保证金，加上之前的8.92亿罚金， 累计罚款总额22.9亿美金 （注：这差不多相当于中兴2017年净利润的3倍）。

2、中兴通讯相关公司必须在30天内更换全部董事会和管理层。

3、中兴通讯必须聘请美国商务部挑选的合规团队对企业进行监督，为期10年。

4、此次为暂停，未来10年美国随时有权利重新激活禁令。

以下是美国商务部的最新处罚通告全文

（中文翻译仅供参考）

Secretary Ross Announces $1.4 Billion ZTE Settlement; ZTE Board, Management Changes and Strictest BIS Compliance Requirements Ever 罗斯部长宣布与中兴通讯达成14亿美元和解;中兴董事会、管理层变动及最严格的BIS合规要求

FOR IMMEDIATE RELEASE

Thursday, June 7, 2018

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 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.  威尔伯•罗斯(Wilbur Ross)商务部长今天宣布, 中国深圳中兴电信设备公司(“中兴通讯”)和深圳中兴康讯电信有限公司,中国(“中兴康讯”)(统称,“中兴通讯”)已同意重大、额外的处罚金额并采纳合规措施， 以取代美国商务部工业安全局（BIS)对中兴通讯违反2017年3月和解协议而发出的拒绝令。根据新协议，在BIS将中兴从黑名单上除名之前，中兴通讯必须支付10亿美元，并将额外支付4亿美元的暂缓执行的罚款作为保证金。除了这些罚款，此前，根据2017年3月达成的和解协议，中兴通讯已经向美国支付了8.92亿美元的罚款。

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.  新协议还要求中兴通讯雇佣由BIS挑选并负责的特别合规协调员团队，期限为10年。他们的职责是实时监控中兴是否遵守美国的出口管制法规。这是BIS第一次在任何情况下实现如此严格的合规措施。根据新的协议，中兴还需要更换两家公司的整个董事会和高层领导。最后，新协议再一次签发了一项新的、暂缓执行的拒绝命令；期限为10年；在十年的观察期间内， BIS可以在（如果）中兴发生额外的违规事件时激活该拒绝令。这是美国工业安全局BIS对一家公司所施加的最严厉的惩罚 （史上最严厉）。

“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.” 美国商务部长罗斯(Ross)表示:“今天，BIS 实施有史以来最严厉的惩罚，并要求中兴采取前所未有的合规措施。”我们将密切监控中兴的行为。如果他们再犯任何违法行为，我们将再次阻止他们获得美国技术，并收取额外的4亿美元代管费用。与中兴通讯达成的首笔和解，创下了一起出口管制案件中民事和刑事处罚的记录。这项新的和解协议创造了另一项纪录，将对中兴通讯的罚款总额提高到22.9亿美元。

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.  和解协议的目的是修改中兴通讯的行为，同时为监管设定新的先例，以确保遵守美国法律。向监管公司派驻合规官员，将极大地提高商务部发现和处理任何违规行为的速度。

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

以上通告发布后，高通的股票猛涨5%。看来，中兴复盘在即。

不过据新浪财经快讯报道，美国参议院民主党领袖舒默放言：如果要逆转中兴的协定，需要通过国会的同意。

看来，美国的反华议员在中兴事件上仍然是不停叫嚣。特朗普政府能否在此事件上摆平国会，二者的政治博弈将结果如何？拭目以待。

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