美加检方起诉华为CFO孟晚舟全文公布

2018-12-10 09:02

当地时间12月6日，华为首席财务官孟晚舟于12月1日在加拿大被捕一事被曝光，引发了国内外的广泛关注。当地事件12月7日，孟晚舟的保释听证会在加拿大卑诗省最高法院举行。不过在当天的庭审上，法官并未进行相关判决。当地时间下周一，庭审将会继续。而在7日庭审当天，针对新闻媒体的禁止报道令已经被取消，所以在庭审之后，部分相关的庭审文件和资料也开始被曝光。

以下为美加检方起诉孟晚舟的全文（中英文对照，有删减）：

Summary of Facts

事实摘要

Wanzhou Meng （“Meng”）， also known as “Cathy Meng” and “Sabrina Meng，” is the Chief Financial Officer （“CFO”） of Huawei Technologies Co． Ltd．（Huawei”）， a corporation organized under the laws of the People’s Republic of China （“PRC”） and the world’s largest telecommunications equipment company． Meng is a citizen of the PRC and a daughter of Huawei’s founder， Ren Zhengfei． In addition to her role as CFO， Meng currently serves as Huawei’s Deputy Chairwoman of the Board， and serves or has served in various roles at other Huawei subsidiaries and affiliates． Meng also served on the board of Hong Kong－based Skycom Tech Co． Ltd．（“Skycom”） in or about and between February 2008 and April 2009． According to financial statements for Skycom for the years 2009 and 2010， the “principal activities of Skycom were engaged in ［sic］ investment holding and acting as a contractor for contracts undertaking ［sic］ in Iran．”

孟晚舟，英文名Cathy Meng或Sabrina Meng，是华为技术有限公司（以下简称“华为”）的首席财务官。华为依据中国的法律运营，是全球最大的电信设备提供商。孟晚舟是中国公民，其为华为创始人任正非的女儿。除了是CFO，她也是华为的副董事长。她还在多家华为子公司中担任过或正在担任职务。孟晚舟也曾于2008年2月至2009年4月前后，在总部位于香港的Skycom科技有限公司（以下简称“Skycom”）担任过董事。Skycom 2009和2010年的财报显示：Skycom的主要业务是投资控股并担任与伊朗（签订）的合同的承包商。

According to information obtained through an investigation by U．S． authorities， including the following， Huawei operated Skycom as an unofficial subsidiary to conduct business in Iran while concealing Skycom’s link to Huawei． In this manner and as explained in further detail below， Huawei could conceal the nature of certain business it was conducting in and related to Iran， which is generally considered a high－risk jurisdiction．

根据美国当局调查所获得的信息（以下有述）：华为将Skycom作为非官方的子公司运营，以此开展在伊朗的业务，同时隐瞒了两家公司间的联系。华为用这种方式隐瞒了它在伊朗境内开展的以及与伊朗有关的业务信息，而这一块通常被认为是一个高风险管辖区。具体细节如下》

Former employees of Skycom have stated， in sum and substance， that Skycom was not distinct from Huawei． For example， Skycom employees had Huawei email addresses and badges， individuals working in Iran used different sets of stationery （“Huawei” and “Skycom”） for different business purposes， and the leadership of Skycom in Iran were Huawei employees；

根据Skycom前雇员的陈述，无论是整体还是细节，Skycom都和华为关系密切。例如，Skycom的雇员用华为的电邮地址，有华为的徽章。在伊朗工作的人员根据不同的业务需要使用不同的文具（华为和Skycom都有）。Skycom在伊朗的领导层是华为的雇员；

Documents show that multiple Skycom bank accounts were controlled by Huawei employees， and Huawei employees were signatories on these accounts between 2007 and 2013；

文件显示，多个Skycom的银行账号是由华为雇员控制的，这些雇员2007－2013年间是账户的签字人；

Documents and email records show that persons listed as “Managing Directors” for Skycom were Huawei employees；

文档和电子邮件的记录显示：被列为“Skycom经理”的人员是华为的雇员；

Skycom official documents， including several Memoranda of Understanding， bore the Huawei logo；

Skycom的官方文件，包括几份备忘录，上面有Huawei的商标；

Email correspondence and other records show that all identified Skycom business was conducted using “＠huawei．com” email addresses； and

电邮通信和其它记录显示：所有被确认的Skycom的业务使用的都是包含“＠huawei．com”的电邮地址；

Documents show that a purportedly unrelated entity to which Skycom was supposedly “sold” in 2009 was actually also controlled by Huawei until at least in or about 2014．

文件显示：据传2009年收购了Skycom的一家先前被认为并不相关的实体事实上也是由华为控制的，直到2014年前后。

Transactional records and other documents obtained by U．S． authorities further demonstrate that Huawei operated Skycom as an unofficial subsidiary to conduct business in Iran while concealing Skycom’s link to Huawei． Among other things， records obtained through the investigation show that Skycom was used to transact telecommunications business in Iran for major Iranian－based telecommunications companies．

美国当局获取的交易记录和其他文件进一步显示：华为把Skycom作为非官方的子公司来运营，目的是为了在伊朗开展业务，同时隐瞒起了Skycom与华为的关系。此外，调查的记录显示，Skycom被用来为伊朗主要的电信公司经营电信业务。

PROVISIONAL ARREST REQUEST FOR WANZHOU MENG

孟晚舟临时逮捕请求书

The investigation by U．S． authorities has revealed a conspiracy between and among Meng and other Huawei representatives to misrepresent to numerous multinational financial institutions， including a global financial institution which conducts business in the United States （“Financial Institution 1”）， Huawei’s business practices， particularly Huawei’s control of Skycom in or about and between 2009 and 2014． Specifically， Meng and other Huawei representatives repeatedly lied about the nature of the relationship between Huawei and Skycom and the fact that Skycom operated as Huawei’s Iran－based affiliate in order to continue to obtain banking services from multinational financial institutions．

美国当局的调查显示：孟晚舟和其他华为代表共谋向众多跨国金融机构做了虚假陈述，包括一家在美国开展业务的全球性金融机构（以下简称为：金融机构1）。虚假陈述的内容涉及华为的业务，重点是华为在2009－2014年间对Skycom的控制权。具体而言，孟晚舟和其他华为代表在华为和Skycom关系的实质上反复撒谎，隐瞒了Skycom作为华为在伊朗的附属公司运营的事实，这些行为的目的是为了从跨国金融机构处继续获得银行服务。

The motivation for these misrepresentations stemmed from Huawei’s need to move money out of countries that are subject to U．S． or E．U． sanctions ? such as Iran， Syria， or Sudan ? through the international banking system． At various times， both the U．S． and E．U． legal regimes have imposed sanctions that prohibit the provision of U．S． or E．U． services to Iran， such as banking services． Of particular relevance， companies such as Huawei operating in sanctioned countries often need to repatriate income out of those countries by relying on U．S．－dollar clearing transactions， which typically pass through the United States， or Euro－clearing transactions， which typically pass through E．U． countries． Huawei was a customer of Financial Institution 1 and the other victim institutions， and conducted a significant amount of its international banking activity， including U．S．－dollar－clearing transactions， with Financial Institution 1． The financial institutions at issue， including Financial Institution 1， maintained policies by which they would not onboard Iran－based clients or process Iran－related transactions through the United States， so as to avoid exposure to U．S． civil and criminal liability． In response to due diligence inquiries by the banks regarding these internal policies， Meng and other Huawei representatives repeated stated that Huawei did not operate Skycom and that， with respect to Financial Institution 1， Huawei would not use Financial Institution 1 to process any Iran－related transactions．

这些虚假陈诉的动机源于华为需要通过国际银行系统将资金从受美国或欧盟制裁的国家（如伊朗、叙利亚或苏丹）转移出去。美国和欧盟的法律体系多次实施制裁，禁止向伊朗提供美欧的服务（如银行服务）。尤其需要注意的是，华为这样在受制裁国家开展业务的公司经常需要依靠美元结算交易（通常通过美国）或欧元结算交易（通常通过欧盟国家），从受制裁国家转回收入。华为曾是金融机构1和其他受害机构的客户。华为与金融机构1进行了大量的国际银行业务，包括美元结算交易。涉及的包括金融机构1在内的金融机构都有相关政策，不与总部在伊朗的客户进行交易，也不通过美国处理与伊朗相关的交易，以免承担美国的民事或刑事责任。针对银行就这些内部政策进行的尽职调查，孟晚舟和其他华为代表反复表示：华为不控股Skycom，也不会利用金融机构1来处理任何与伊朗相关的交易。

Because Meng and other Huawei representatives misrepresented to Financial Institution 1 and the other financial institutions about Huawei’s relationship with Skycom， these victim banking institutions were induced into carrying out transactions that they otherwise would not have completed． As a result， they violated the banks’ internal policies， potentially violated U．S． sanctions laws， and exposed the banks to the risk of fines and forfeiture． In particular， these relationships included the clearing of hundreds of millions of U．S．－dollar transactions through correspondent accounts at financial institutions in Eurozone countries． In essence， these misrepresentations exposed the financial institutions to serious harm and denied the institutions the opportunity to make decisions based on the true risk of processing certain transaction and the reputations risk associated with banking high－risk clients such as Huawei．

因为孟晚舟和其他华为代表向金融机构1和其他金融机构虚假陈述了华为与Skycom的关系，这些受害的银行机构被诱使进行了原本不会发生的交易。结果，它们违反了银行的内部政策，并有可能因此违反了美国的制裁法案，面临着罚款和被吊销资格的风险。注意，华为与Skycom的关系包括通过欧元区国家金融机构的往来账户结算了数亿美元的交易。实质上，这些虚假陈述使金融机构面临着巨大的危险，使它们无法判断出进行某些交易的真实风险，并根据这些真实风险做出判断，也使他们无法判断与华为这样的银行高风险客户进行交易所冒的声誉风险。

For example， during the relevant timeframe， Financial Institution 1 was under investigation for U．S． sanctions violations involving Iran and later entered into a deferred prosecution agreement pertaining to U．S． sanctions violations involving Iran， and could therefore have suffered criminal consequences for processing Huawei’s Iran－based transactions．

例如，在相关时限内，金融机构1正因为违反了美国对伊朗的制裁（法案）而接受调查，之后达成了延迟起诉协议，并可能因为违反了上述法案（处理了华为在伊朗的交易）而面临着刑事处罚。

Relying on the misrepresentations by Meng and other Huawei representatives， Financial Institution 1 and its U．S． subsidiary cleared more than ＄100 million worth of transactions related to Skycom through the United States between approximately 2010 and 2014．

根据孟晚舟和其他华为代表所做的虚假陈述，金融机构1及其美国的子公司在2010－2014年前后通过美国结算了超过1亿美元与Skycom相关的交易。

Many of the misrepresentations at issue were in direct response to a series of articles published by Reuters describing how Huawei controlled Skycom， and alleging that Skycom had attempted to import U．S．－manufactured computer equipment into Iran in violation of U．S． sanctions． One of the Reuters articles reported that Meng was a member of the board of directors of Skycom for several years． In statements reported in those Reuters articles， Huawei denied control of Skycom or violations of law．

许多相关的虚假陈述都是直接回应路透社发表的一系列描述华为如何控股Skycom的文章。这些文章还指出，Skycom试图违反美国的制裁法案，将美国制造的计算机设备进口到伊朗。一篇路透社的文章报道说，孟晚舟担任Skycom的董事会成员已经数年。华为针对这些文章发表的声明中否认了控股Skycom和违反法律。

According to information obtained from international financial institutions that conducted business with Huawei， after the Reuters articles were published， several of them， including Financial Institution 1， asked Huawei whether the allegations regarding their control of Skycom and business with Iran made in the Reuters articles were true． In response to those questions， Huawei employees and executives made a series of misrepresentations， both publicly and in private communications， with various banking executives， among other things， denying Huawei’s control of Skycom and claiming Huawei did not violate U．S． sanctions law．

根据与华为开展业务的国际金融机构的信息，路透社的文章发表以后，包括金融机构1在内的数家机构都询问了华为：路透社文章中提及的关于控股Skycom和与伊朗开展业务的指控是否属实。作为对问题的回应，华为的雇员和高管们在公开场合以及私下沟通中都对银行高管做了一系列的不实陈述，重点否认了华为控股Skycom，并宣称华为没有违反美国的制裁法。

For example， after the Reuters articles were published， Financial Institution 1 requested that Huawei provide further information and clarification regarding the relationship of Huawei and Skycom． Although those inquiries were not addressed to Meng， on or about August 2013， Meng arranged for a meeting with an executive of Financial Institution 1， and during that meeting， made a number of misrepresentations to an executive of Financial Institution 1．

例如，路透社的文章发表以后，金融机构1要求华为就其与Skycom的关系提供进一步的信息，并作出澄清。尽管在2013年8月前后，这些询问并不是针对孟晚舟本人的，但她安排了一次与金融机构1高管的会面。这次会面中，她对金融机构1的这位高管做了一些虚假陈述。

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