华为技术有限公司首席财务官，孟晚舟，49岁，中华人民共和国国籍（PRC），今天，在位于布鲁克林的联邦地区法院出庭，签署一份暂缓起诉协议（DPA），并因银行欺诈共谋和电汇欺诈共谋、银行欺诈和电汇欺诈而被提审。

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.

纽约东区代理检察官Nicole Boeckmann表示：“在达成这项暂缓起诉协议时，孟已经对自己在实施欺诈一家全球性金融机构的计划中所扮演的主要角色承担责任。” 她在事实陈述中的供认证实，在担任华为首席财务官期间，关于华为在伊朗的运营，孟曾向一家金融机构的高级主管作出了多项重大失实陈述，以维持华为与这家金融机构的银行业务关系。孟晚舟所隐瞒的关于华为在伊朗业务的真相，对该金融机构决定继续与华为的银行业务关系非常重要。孟的供认也证实了政府在这场金融欺诈诉讼中指控的关键点——孟与她的华为员工同事一道，协调一致，就华为在伊朗的活动，欺诈了全球金融机构、美国政府以及公众。

“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.”

司法部国家安全部门代理助理总检察长Mark J. Lesko说，“这份暂缓起诉协议将终结加拿大正在进行的引渡程序，要不然，该引渡程序可能会持续好几个月，甚至数年。”“我们非常感谢加拿大司法部在引渡问题上的敬业专注和对法治的恪守。”

“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.”

“金融机构是我们维护美国金融系统安全的第一道防线，”司法部刑事部门助理总检察长Kenneth A. Polite Jr.说，“这就是为什么法律要求利用美国金融系统的公司应当向金融机构提供有关其业务运营的真实信息。华为技术公司首席财务官孟晚舟今天供认，她没有说出华为在伊朗业务的真相，致使该金融机构在违反美国法律的情况下继续与华为开展业务。我们的起诉团队仍在为针对华为的审判做准备，我们期待通过庭审来证明我们对该公司的指控。”

“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.”

“孟所供认的揭露出一种违反美国法律的一贯的欺诈模式，”联邦调查局反情报部门助理局长Alan E. Kohler Jr.说，“当有迹象表明在美国做生意的公司蔑视我们的法律时，FBI将会一如既往，积极地对它们实施调查。”

“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.”

欺诈金融机构的计划

The Scheme to Defraud Financial Institutions

根据法庭文件，孟在DPA的事实陈述中同意Skycom Tech Co. Ltd. （Skycom）是一家主要在伊朗运营的香港公司。自2007年2月起，Skycom由华为技术有限公司（华为）的子公司华盈管理（华盈）全资拥有。2007年11月，华莹将其在Skycom的股份转让给华为控股的另一个实体Canicula Holdings (Canicula)。华莹将Skycom股份转让给Canicula时，孟是华莹的秘书。

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.

2008年2月，在华为将Skycom的所有权由华盈转移给Canicula后，孟加入了Skycom的董事会，该董事会由华为员工组成。她在董事会任职至2009年4月。孟离开Skycom董事会后，Skycom的董事会成员仍然是华为员工，Canicula继续拥有Skycom，而Canicula仍由华为控制。自2012年8月起，华为在其公司的英文文件中将Skycom列入“其他华为子公司”名录。

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.

2010年至2014年间，华为控制了Skycom在伊朗的业务运营，而Skycom则由华为控制的一家实体所有。Skycom所有重要的商业决策均由华为做出。此外，Skycom的国家区域经理——业务主管——系华为的一名员工。Skycom雇佣的个人相信他们是在为华为工作。

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.

在同一时期，华为的员工还与一家英国人力资源公司合作，向伊朗派送工程师，以支持Skycom与伊朗电信服务提供商的合作。华为的员工代表Skycom进行了谈判和签约。为了支付这些承包商的费用，华为从Skycom在亚洲的银行账户，包括一家跨国金融机构（金融机构1），向这家英国人力资源公司在英国的账户转移了至少750万美元，共计约80笔款项。这些交易以美元计价，并通过美国来结算。

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.

2012年12月和2013年1月，包括路透社在内的多家新闻机构报道称，Skycom提出在伊朗出售一家美国电脑设备制造商的“禁运”设备，者可能违反了美国的出口管制法律，而且华为与Skycom有密切联系。在 2012 年 12 月发表的一篇给路透社的声明中，华为称Skycom是其在伊朗的“主要当地合作伙伴”之一。据路透社报道，华为进一步表示，“华为在伊朗的业务完全符合所有可适用的法律和法规，包括联合国、美国和欧盟的规定，我们公司一直在履行和严格遵守这一承诺。此外，我们也要求我们的合作伙伴遵循同样的承诺，严格遵守相关的法律和法规。”

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.”

2013年1月，路透社随后报道称，孟曾在2008年2月至2009年4月期间担任Skycom董事会董事，并发现了Skycom董事会与华为之间的其他联系。这篇报道还引用了华为的以下声明：“华为与Skycom之间的关系是正常的商业伙伴关系。华为已经建立了符合行业最佳做法的贸易合规体系，我们在伊朗的业务完全符合包括联合国在内的所有可适用的法律法规。我们也要求Skycom等合作伙伴履行相同的承诺。”这一声明是不正确的，因为Skycom是由华为运营和控制，因此，Skycom不是华为的业务“合作伙伴”。

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.”

在这些报道发表后，金融机构1与其他为华为提供国际银行服务包括美元结算的全球金融机构（统称“金融机构”），就上述这些媒体报道向华为进行了询问。2013年初，华为的员工向这些金融机构表示，Skycom只是华为在伊朗的当地商业伙伴，并没有利用其在金融机构的账户进行与伊朗有关的交易。

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.

为了应付新闻报道中的指控，华为要求与金融机构1的一名资深员工会面。2013年8月22日，孟在香港会见了金融机构1负责亚太地区业务的一名高管。在会面期间，孟晚舟演示了一份用中文写成的PPT文稿，并通过一名口译员翻译成英文。孟晚舟表示，她使用口译员，只是为了让自己的语言表述更精确。

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.

孟在她的演示中表示，除了其他事项外，华为与Skycom的关系是“正常的商业合作”和“正常的、可控的商业合作”，她将Skycom描述为“合作伙伴”，“华为的商业伙伴”，以及在伊朗“华为合作的第三方”。这些声明是不真实的，因为孟知道，Skycom不是华为的商业伙伴，也不是与华为合作的第三方；相反，Skycom由华为所控，而Skycom的员工实际上是华为的员工。对金融机构1来说，知道Skycom由华为所控制，意义重大。

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.

此外，孟还表示，华为“曾是Skycom的股东”，但已经“出售了其在Skycom的所有股份”。这些声明是不真实的，因为孟知道，华为已经将其股份“出售”给了华为控股的一家实体。具体来说，华为将Skycom的股份从华为子公司（华盈）转移给了华为控股的另一个实体（Canicula）。对于金融机构1来说，知道Skycom被从华为控制的一个实体转移给另一个实体，意义重大。

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.

最后，孟表示，华为“在伊朗的运营严格遵守了可适用的法律、法规和制裁”，“华为或与华为合作的任何第三方”“没有违反出口管制规定”。这些陈述是不真实的，因为华为对Skycom的运营导致金融机构为华为在伊朗的业务提供了被禁止的服务包括银行服务，同时华为隐瞒了与Skycom的联系，违反了美国财政部外国资产控制办公室的《伊朗交易和制裁条例》（31 C.F.R. Part 560）。此外，在2010年至2014年间，华为使Skycom通过金融机构1进行了价值约1亿美元的交易，这些交易是通过美国来结算，其中至少有一些支持了其在伊朗的违反美国法律的工作，其中包括750万美元支付给英国人力资源公司在伊朗开展工作的伊朗承包商。

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.

孟明知华为在路透社发表的关于Skycom的公开声明，在会面期间或会后，她并没有收回或修改任何这些陈述。此外，华为的财务主管也参加了8月份的会面，也没有对孟的任何陈述进行纠正或修改。

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.

孟与金融机构1会面后不久，应后者的要求，华为准备了一份英文版的PPT演示文稿。孟随后又安排了一份PPT演示文稿的纸质副本，交给了2013年9月与之会面的金融机构1的高管。英文版本的演示文稿陈述与孟在会面期间所做的陈述密切相关。

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.

会面结束后，在收到孟的PPT报告后，金融机构1决定继续与华为保持合作关系。其他的金融机构也继续与华为维持着各自的关系。

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.

缓起诉协议（DPA）

The DPA

根据DPA条款的规定，孟同意一份四页的事实陈述是准确的，其中详细说明了她在知情的情况下向金融机构1所做的虚假陈述。孟还同意不实施其他联邦、州或地方犯罪。如果违反协议，孟将受到本案第三份补充起诉书中对她提出的所有指控的起诉。政府也同意撤回向加拿大司法部提出的将孟引渡到美国的请求。

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.

原文链接：https://www.justice.gov/opa/pr/huawei-cfo-wanzhou-meng-admits-misleading-global-financial-institution