美国财政部新设“全球调查司”,中国企业仍为被调查重点

September 12, 2019

2019年8月29日,美国财政部下属的金融犯罪执法网络(FinCEN)宣布启动一个全新的“全球调查司(Global Investigation Division,简称GID)”,该部门将根据银行保密法(BSA),实施由FinCEN特殊授权的针对性调查,以全面打击美国国内和国际范围内的非法金融威胁(行为)和相关犯罪。近期,一些之前并不为大家所熟知的监管机构也频频出现在人们的视野,例如美国海外投资委员会(CFIUS);由他们主导的调查,连同美国司法部的“中国行动计划”,无疑对所有从事跨境交易的中国公司都将带来重大的影响。

 

GID前身为FinCEN执法部门的特别监察办公室(OSM)。近年来,FinCEN遵从《爱国者法案》中“311条款”,并通过执行例如特定地区报告指令(Geographic targeting order)及海外金融机构监管权限来战略性的增大其监管力度。GID的成立也旨在将前述监管权限的作用发挥到最大化,并加强与联邦调查局(FBI)、证监会(SEC)、商品期货交易委员会 ( CFTC )、金融业监管局(FINRA)以及(主要来自西欧和日本的)国际相关机构的合作,以有效加强其监管范围及效果;最终实现广泛地发现并阻止对国家安全和金融系统构成的潜在威胁,包括与大规模杀伤性武器扩散、无赖政权行动者、跨国有组织犯罪、国际毒品贩运以及与恐怖主义有关的威胁。

 

根据Bloomberg Law于2017发布的《加密货币及相关交易的合规指南》中指出:“FinCEN以故意违反反洗钱法律为原由,对BTC-e(一家加密货币运营商)判处1.1亿美元民事罚款。同时,其外籍首席执行官Vinnik因其在违法事件中的角色,被单独判处了1200万美元的罚款”。

 

由上述案例可见,FinCEN原本所掌控的权利就不容小觑。现今,GID的正式成立,加之调查和执法行动力度的幅度增大,其对相关跨境企业所造成的合规压力可以想象。尤其中国企业一直处于FinCEN监管范围中较为敏感的地位,例如上文中所提到的特定地区报告指令,中国就高居被监管名单的榜首之位。

 

我们建议目前活跃于中美市场的跨境企业,密切关注GID的最新动向;定期参阅其官网提供的合规指南。另外,广大企业主还需格外谨记,在当前的政治氛围下,即使看似很小的合规失误或无意的违规行为,也将受到相关部门的严厉审查,甚至带来牢狱惩罚及大额罚款等严肃后果。

 

欢迎您持续关注JLG伯盛仲合,未来我们还将及时跟进相关进展,为跨境企业提供最新动向解读,协助其积极做出合规调整。您也可以点击此处与我们取得联系,我们将针对具体问题竭诚为您解答。

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