Authors: Aaron Wolfson, 胡梅 Meg Utterback, New York Office, King and Wood Mallesons

2020624日,美国国防部公布了其认定在美经营的与中国军方有关联的20家中国公司清单。这一清单是根据国防委员会于2001财年修订的《1999财年国防授权法》第1237条制定的。第1237条要求,美国国防部每年向各国会委员会和行政部门负责人提交在美直接或间接从事经营的中共军事公司清单(1237条清单清单)。尽管第1237条清单目前较短,且大多数在列公司早已被列入美国商务部实体清单中,中国公司仍需注意以下几点:

(1) 1237条清单可能进一步扩展

美国国防部在致函美国参议员汤姆·科顿(Tom Cotton)的信(随附第1237节清单)中称,这20家公司为一个“初始清单”。第1237条同时要求国防部长“根据最新获得的信息,每年对清单进行增补或删减……”。因此,国防部2020年6月24日公布的清单可能仅仅是对中国公司新一轮贸易措施的开端。

(2) 国防部对第1237条中​​的定义进行了宽泛解释

第1237条明确了“中共军事公司”、 “中国人民解放军”等概念。“中国人民解放军”指的是由中国共产党领导的中国政府的“陆、海、空三军军队、警察和情报部门,以及前述集体的任何成员。”

根据美国五角大楼发言人约翰·霍夫曼(John Hoffman)于2020年6月24日的声明,美国国防部扩大了第1237条的适用范围,将一切具体概念纳入第1237条清单范围。为落实第1237条的目的,美国国防部将对“有关联”和“国防工业”进行何种程度的宽泛解释尚待观察。

(3)1237条为加急制裁程序

尽管第1237条清单不是制裁清单也不会触发任何制裁措施或要求所列实体立即改变违规行为,但依照该条规定,美国总统无需宣布国家紧急状态即可根据《国际紧急经济权力法》(“IEEPA”)对清单中的公司实施制裁并行使权力。事实上,美国国会在通过《1999财年国防授权法》时已经代表总统宣布了国家紧急状态,且该法案已于1998年10月经总统签署生效。

IEEPA赋予美国总统的权力非常广泛,其中包括禁止以美元计价的交易,冻结位于美国境内或者由美国人拥有或控制的任何地方的财产,以及禁止与美国人进行交易。此次发布第1237条清单后,总统可引用第1237条以绕过IEEPA中的前提条件直接对清单中的公司实施制裁,从而有效地将所列公司从美国供应链和美元支付体系中剔除。

美国总统是否会在未来几周内颁布行政命令对所列公司实施制裁则尚待观察。

金杜美国合规团队在经济制裁方面拥有丰富的经验,可协助客户应对瞬息万变的美国合规环境。我们可为您进一步介绍被列入第1237条清单的潜在影响以及后续应对方案。

金杜美国合规团队在经济制裁方面拥有丰富的经验,可协助客户应对瞬息万变的美国合规环境。我们可为您进一步介绍被列入第1237条清单的潜在影响以及后续应对方案。

详询Aaron Wolfson律师(aaron.wolfson@us.kwm.com)

Meg Utterback律师(meg.utterback@us.kwm.com)。

 


Client Alert: List of Chinese Companies operating in the United States with Ties to Chinese Military published by the U.S. Department of Defense

On June 24, 2020, the U.S. Department of Defense (DOD) released a list of 20 Chinese companies operating in the U.S. which the U.S. believes has links to the Chinese military. The list was compiled pursuant to section 1237 of the National Defense Authorization Act for Fiscal Year 1999, as amended by the National Defense Authorization, Fiscal Year 2001, which requires the DOD to report annually a list of persons operating directly or indirectly in the United States that are identified as Communist Chinese military companies to different congressional committees and heads of executive branch agencies (“Section 1237 List” or “List”).  While the Section 1237 List is at present relatively short, and most of the listed companies have already been added to the U.S. Department of Commerce’s Entity List, Chinese companies should take note of the following implications:

(1) The Section 1237 List is likely to expand

In a letter to U.S. Senator Tom Cotton, which enclosed the Section 1237 List, the DOD stated that the 20 companies form an “initial list.” Section 1237 also requires the Secretary of Defense to “make additions or deletions to the list … on an annual basis based on the latest information available.” DOD’s publication on June 24, 2020 is therefore only the beginning of a possible new series of trade actions on Chinese companies.

(2) The DOD has interpreted the definitions under section 1237 broadly

Section 1237 clarifies definitions of “Communist Chinese military companies” and “People’s Liberation Army”.

It appears from Pentagon spokesman John Hoffman’s statement on June 24, 2020, however, that the DOD has broadened the scope of section 1237 by including these definitions in the Section 1237 List. It remains to be seen how broadly the DOD will apply its “affiliated with” and “defense industry” terms for the purpose of section 1237.

(3) Section 1237 serves as an expedited sanctions process

While the Section 1237 List is not a sanctions list and does not trigger any penalties or require any immediate change of behavior, it allows the President of the United States to impose sanctions and exercise powers under International Emergency Economic Powers Act (IEEPA) on the listed companies without the President first having to declaring a national emergency. In effect, Congress declared the national emergency on the President’s behalf when it passed the National Defense Authorization Act for Fiscal Year 1999 and the President signed it into law in October 1998.

The President’s powers under IEEPA are very broad and include prohibiting U.S. dollar-denominated transactions, freezing property in the U.S. or in the possession or control of U.S. persons anywhere, and prohibiting transactions with U.S. persons. With the issuance of the Section 1237 List, the President can cite section 1237 to bypass the prerequisites under the IEEPA and impose sanctions on the listed companies, effectively cutting them off from the supply chain and dollar payment system in the U.S.

It remains to be seen whether the President will issue any Executive Orders imposing sanctions on the listed companies in the coming weeks.

Our U.S. regulatory compliance team at King & Wood Mallesons has extensive experience in economic sanctions and helps clients navigate the everchanging U.S. regulatory compliance landscape. We are available to discuss the implications of placement on the Section 1237 List and the steps to take going forward.

Please contact Aaron Wolfson at aaron.wolfson@us.kwm.com

or Meg Utterback at meg.utterback@us.kwm.com.