共產檔
MISH - MASH
Department of Justice
Office of Public Affairs
FOR IMMEDIATE RELEASE
Friday, September 24, 2021
Huawei CFO Wanzhou Meng Admits to Misleading Global Financial Institution
Meng Enters into Deferred Prosecution Agreement to Resolve Fraud Charges
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.
“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.”
“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.”
“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.”
“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.”
The Scheme to Defraud Financial Institutions
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.
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.
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.
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.
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.”
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.”
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.
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.
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.
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.
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.
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.
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.
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.
The DPA
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.
Assistant U.S. Attorneys Alexander A. Solomon, Julia Nestor, David K. Kessler, Sarah M. Evans and Meredith A. Arfa for the Eastern District of New York; Trial Attorneys Laura Billings and Christian Nauvel for the Criminal Division’s Money Laundering and Asset Recovery Section; and Trial Attorneys Thea D. R. Kendler, David Lim and R. Elizabeth Abraham of the National Security Division’s Counterintelligence and Export Control Section are prosecuting the case. Valuable assistance was provided by Assistant U.S. Attorneys Brian Morris and Brendan King of the Eastern District of New York’s Civil Division and Associate Director John Riesenberg, Attaché Andrew Finkelman of U.S. Embassy Paris and former Trial Attorney Margaret O’Malley of the Justice Department’s Office of International Affairs.
Attachment(s):
Download Meng DPA and Statement of Facts
Topic(s):
Financial Fraud
Counterintelligence and Export Control
Component(s):
Criminal - Money Laundering and Asset Recovery Section
National Security Division (NSD)
Press Release Number:
21-925
Updated September 24, 2021
美國司法部
公共事務辦公室
2021年9月24日
華為首席財務官孟晩舟承認誤導全球金融機構
孟晚舟簽署延期起訴協議以解決欺詐指控
華盛頓——華為技術有限公司首席財務官孟晚舟，49 歲，來自中華人民共和國，今天在布魯克林（Brooklyn）的聯邦地區法院出庭，簽署了一項延期起訴協議（DPA），並因被指控共謀實施銀行欺詐、共謀實施電信欺詐、銀行欺詐和電信欺詐而被傳訊。
紐約東區（Eastern District of New York）代理聯邦檢察官（Acting U.S. Attorney）妮可·博克曼（Nicole Boeckmann）表示：“孟在簽署延期起訴協議時已對她在實施一項欺詐一個全球金融機構的圖謀中的主要作用承擔責任。她在事實陳述中所承認的，證實在擔任華為首席財務官期間，孟就華為在伊朗的業務運營向一家金融機構的高級主管多次做出了嚴重的不實陳述，以試圖維護華為與這家金融機構的銀行業務關係。孟所隱瞞的華為在伊朗的業務的真相，本來會對該金融機構繼續其與華為的銀行業務關係的決定產生重要影響。孟所承認的證實了政府在起訴這起金融欺詐案中的有關指控的核心——孟及其他華為雇員共同從事了就華為在伊朗的活動欺騙全球金融機構、美國政府和公眾的行為。”
主管司法部（Justice Department）國家安全局（National Security Division）的代理助理司法部長（Acting Assistant Attorney General）馬克·萊斯科（Mark J. Lesko）說：“這項延期起訴協議將使在加拿大正在進行的引渡程序結束，否則該程序可能會持續許多個月，甚至數年。我們非常感謝加拿大司法部在這次引渡中兢兢業業，及其對法治的堅定遵循。”
主管司法部刑事局（Criminal Division）的助理司法部長小肯尼思·A·利奇（Kenneth A. Polite Jr.）表示：“金融機構是我們維護美國金融體係的安全和保障的第一道防線。因此，有關法律要求使用美國金融體係的公司向金融機構提供有關其業務運營的真實信息。華為技術公司首席財務官孟晚舟今天承認，她沒有說明關於華為在伊朗的業務的真相，結果導致有關金融機構繼續與華為開展業務，違反了美國法律。我們的檢控團隊繼續準備針對華為的審理，而且我們期待著在法庭上證實我們針對該公司的訴案。”
主管聯邦調查局（FBI）反情報處（Counterintelligence Division）的助理局長小艾倫·E·科勒（Alan E. Kohler Jr.）表示：“孟所承認的是以一貫的欺騙手段違反美國法律的證據。當有跡象表明在美國開展業務的公司做出藐視我們的法律的行為時，聯邦調查局將繼續展開積極調查。”
欺詐金融機構的圖謀
根據法庭文件，以及孟在延期起訴協議事實陳述中所認同的，星通技術有限公司（簡稱星通）是一家主要在伊朗運營的香港公司。截至2007年2月，星通由華為技術有限公司（簡稱華為）的子公司華盈管理（簡稱華盈）全資所有。2007年11月，華盈將其在星通的股份轉讓給華為控製的另一個實體Canicula控股公司（簡稱Canicula）。在華盈將其星通股份轉讓給Canicula時，孟在華盈擔任秘書。
2008年2月，在華為將星通的所有權從華盈轉讓給Canicula後，孟加入了星通董事會，該董事會由華為員工組成。她在董事會任職至2009年4月。孟離開星通董事會後，星通董事會成員仍是華為員工，Canicula繼續持有星通，而且Canicula繼續受華為掌控。截至2012年8月，在用英文所寫的公司文件中，華為將星通列入一份“華為其他子公司”的名單。
在2010年至2014年期間，華為控製了星通在伊朗的業務運營，而且星通由華為控製的一個實體所有。星通所有的重大業務決策都由華為做出。此外，星通的國家經理——業務主管——是一名華為員工。被星通雇傭的員工都認為他們是為華為工作的。
在同一時期，華為員工與一家英國人力公司接觸，在伊朗提供工程師以支持星通與伊朗電信服務提供商的合作。代表星通進行談判及合同事宜的是華為的員工。為支付這些承包商的費用，華為從星通在亞洲的銀行賬戶，其中包括從一家跨國金融機構（金融機構1），向該英國人力公司在英國的賬戶發送了至少750萬美元的大約80筆係列付款。這些交易以美元計價，並通過美國結算。
在2012年12月和2013年1月，據包括路透社（Reuters）在內的多家新聞機構報道，星通提出在伊朗銷售來自一家美國計算機設備製造商的“禁運”設備，有可能違反美國出口管製法，而且華為與星通有密切關係。在2012年12月的一篇文章中刊發的致路透社的一份聲明中，華為稱星通是其在伊朗的“主要當地合作夥伴”之一。據路透社報道，華為進一步聲明：“華為在伊朗的業務完全符合所有適用的法律和法規，其中包括聯合國、美國和歐盟的法律法規。我們公司一貫履行並嚴格遵守這一承諾。此外，我們也要求我們的合作夥伴遵循同樣的承諾並嚴格遵守相關的法律和法規。”
2013年1月，路透社的一篇後續文章報道，孟在2008年2月至2009年4月曾擔任星通董事會成員，並指明了星通董事成員們與華為之間的其他聯係。文章還引用了華為的聲明如下：“華為和星通之間的關係是一種正常的商務夥伴關係。華為已經建立了一個符合產業最佳實踐的貿易合規體係，而且我們在伊朗的業務完全符合所有適用的法律和法規，其中包括聯合國的法律法規。我們也要求我們的合作夥伴，例如星通，做出同樣的承諾。”這一陳述是不正確的，因為華為曾運營並掌控星通；因此星通不是華為的商務“夥伴”。
在這些文章發表後，“金融機構1”和其他向華為提供過包括美元結算在內的國際銀行服務的其他全球金融機構（統稱“金融機構”），針對上述媒體報道向華為查詢。2013年年初，華為員工向“金融機構”表明，星通隻是華為在伊朗的一個當地商務夥伴，而且星通沒有利用其在“金融機構”的賬戶進行與伊朗有關的交易。
為了回應新聞報道中的指稱，華為要求與“金融機構1”的一名高級雇員進行麵談。該會麵於2013年8月22日在香港進行，當時孟會見了“金融機構1”負責亞太地區業務的一名高管。在會麵中，孟進行了一次以中文為文稿的PowerPoint演示，並由一名口譯員翻譯成英文。孟表示，她使用口譯員是為了使自己的語言精準。
孟在她的陳述中所談內容之一是，華為與星通的關係是“正常商務合作”和“正常與可控的商務合作”，她形容星通是一個“夥伴”，“華為的商務夥伴”，以及在伊朗“與華為共事的第三方”。這些陳述不屬實，因為正如孟所知，星通不是華為的商務夥伴或與之共事的第三方；華為掌控星通，星通的雇員其實是華為的雇員。如果“金融機構1”知道華為掌控星通，這會對它具有實質意義。
此外，孟稱華為“曾一度是星通的股東”，但已經“出售了在星通的全部股份”。這些陳述不屬實，因為，正如孟所知，華為將它的股份“售給了”一個華為控製的實體。具體而言，華為將星通的股份從華為一個子公司（華盈）轉到了另一個由華為控製的實體（Canicula）。如果“金融機構1”知道星通是被從一個華為控製的實體轉到另一個實體，這會對它具有實質意義。
最後，孟稱華為“在伊朗的運營嚴格遵守相關法律、規章和製裁規定”，並且“華為或華為與之共事的任何第三方”“沒有違背出口控製規定”。這些陳述不屬實，因為華為運營星通致使“金融機構”為華為設在伊朗的商務提供違禁服務，包括銀行業務，而華為掩蓋了星通與華為的聯係，故違反了美國財政部（U.S. Department of the Treasury）外國資產管製辦公室（ Office of Foreign Assets Control）的 《伊朗交易和製裁條例》（Iranian Transactions and Sanctions Regulations，31 C.F.R. Part 560）。此外，在2010年至2014年期間，華為使星通通過“金融機構1”從事了經美國準許的價值大約一億美元的交易，其中至少有一些支持了違反美國法律的它在伊朗的業務，包括有750萬美元用於英國人事公司提供的在伊朗工作的合同人員。
在會議期間或結束後的任何時候，孟——她知道路透社報道了華為有關星通發布的公開聲明——沒有撤銷或者修改其中任何一項聲明。而且，也出席了8月會議的華為財務官沒有更正或修改孟作出的任何聲明。
在孟與“金融機構1”的會議後不久，華為在“金融機構1”的要求下，準備了一份英文版演示文稿說明（PowerPoint presentation）。孟後來安排於2013年9月將演示文稿說明的紙質拷貝送交給她曾會晤過的“金融機構1”的高管。英文版演示文稿說明中的陳述緊密跟隨孟在會議中的陳述。
在會議後和接到孟的演示文稿說明後，“金融機構1”決定繼續它與華為的關係。其他“金融機構”也同樣將各自與華為的關係繼續下去。
延期起訴協議
根據延期起訴協議的條件，孟同意，關於她有意對“金融機構1”作不實之詞的一項四頁事實陳述準確。孟還同意不犯其他聯邦、州或地方罪。如果孟違背協議，她將可受到此案第三份替代起訴書對她的所有指控。政府還同意撤回向加拿大司法部提出的將孟引渡美國的要求。
紐約東區助理聯邦檢察官亞曆山大·所羅門（Alexander A. Solomon）、茱莉亞·內斯特（Julia Nestor）、戴維·凱斯勒（David K. Kessler）、薩拉·埃文斯（Sarah M. Evans）和梅雷迪斯·阿爾法（Meredith A. Arfa）；刑事局防洗錢和追回資產處（Money Laundering and Asset Recovery Section）出庭律師勞拉·比林斯（Laura Billings）和克裏斯蒂安·瑙維爾（Christian Nauvel）；國家安全局反情報和出口管製處（Counterintelligence and Export Control Section）出庭律師西婭·肯德勒（Thea D. R. Kendler）、戴維·利姆（David Lim）和伊麗莎白·亞伯拉罕（R. Elizabeth Abraham）正在起訴此案。紐約東區民事處（Civil Division）助理聯邦檢察官布賴恩·莫裏斯（Brian Morris）和布倫丹·金（Brendan King）以及司法部國際事務辦公室（Office of International Affairs）出庭律師安德魯·芬克爾曼（Andrew Finkelman）、瑪格麗特·奧馬利（Margaret O’Malley）和約翰·賴森伯格（John Reisenberg）提供了寶貴協助。
