Yesterday, November 18, the DOJ and SEC announced new FCPA-related enforcement actions against BIT Mining Ltd., a cryptocurrency mining company that used to be known as 500.com Ltd., which operated as a Chinese online sports lottery company, and 500.com's former CEO, Zhengming Pan.
昨天，11月18日，美国司法部（DOJ）和证券交易委员会（SEC）宣布了针对BIT Mining Ltd.的新《反海外腐败法》(FCPA)相关的执法行动。该公司曾被称为500.com Ltd.，是一家中国在线体育彩票公司（以下简称“500彩票网”），同时还有针对500彩票网前首席执行官潘正明的执法行动。
According to the documents in this case, between 2017 to 2019, 500.com engaged in a widespread bribery scheme to influence numerous foreign government officials, including members of Japan’s parliament, in its effort to enter the integrated resort market in Japan. At the time, Japan had recently lifted its longstanding ban on casinos and passed legislation to legalize gambling. Pan, who was both the CEO of 500.com and a director at 500.com's Japanese subsidiary, authorized the payment of approximately $2.5 million in cash, entertainment, and extravagant trips for Japanese officials, and many of these payments were made through third-party consultants. Following a Japanese enforcement action charging the consultants and Japanese officials with bribery, 500.com was unable to enter the integrated resort market in Japan. The illicit payments were inaccurately reflected in the company’s books and records.
根据本案文件，2017年至2019年间，500彩票网参与了一项广泛的贿赂计划，企图通过影响包括日本议会议员在内的多名外国政府官员，以进入日本的综合度假村市场。当时，日本刚刚解除了长期的赌场禁令，并通过了合法化赌博的立法。作为500彩票网的首席执行官兼日本子公司的董事，潘授权支付大约250万美元现金、娱乐活动及豪华旅行给日本官员，其中许多支付是通过第三方顾问进行的。在日本执法机构指控顾问和日本官员受贿后，500彩票网未能进入日本的综合度假村市场。这些非法支付未在公司账目中准确反映。
In a settled administrative proceeding initiated on November 18, 2024, the SEC ordered BIT Mining to cease and desist violations of the anti-bribery, books and records, and internal controls provisions of the FCPA and further ordered the company to pay a civil penalty of $4 million.
在2024年11月18日发起的一项已解决的行政程序中，美国证券交易委员会（SEC）命令BIT Mining停止违反《反海外腐败法》（FCPA）中的反贿赂、账簿和记录以及内部控制条款的行为，并进一步命令该公司支付400万美元的民事罚款。
On the same date, the DOJ entered into a deferred prosecution agreement with BIT Mining, under which the company agreed to pay a criminal fine of $10 million, which was reduced from $54 million due to the company's inability to pay, and to report to the DOJ on the status of the company's anticorruption compliance for a term of three years. The $54 million fine represented a 10 percent reduction off the bottom of the sentencing guidelines range. The DOJ agreed to credit up to $4 million against the penalty for money paid to the SEC in its parallel proceeding. Both the SEC and DOJ noted the company's cooperation and remediation.
同一天，美国司法部（DOJ）与BIT Mining达成了一项延期起诉协议，根据该协议，公司同意支付1000万美元的刑事罚款，由于该公司无力支付，罚款从5400万美元减少到1000万美元。并向美国司法部报告该公司的反腐败合规状况，为期三年。5400万美元的罚款是在量刑指南范围下限的基础上减少了10%。司法部同意，对于公司在平行程序中支付给SEC的款项，可抵扣高达400万美元的罚款。SEC和DOJ均注意到该公司所表现出的合作态度及补救措施。
Finally, yesterday, the DOJ unsealed a previously filed indictment against Pan alleging a conspiracy to violate the anti-bribery and books and records provisions of the FCPA as well as direct violations of the anti-bribery and books and records provisions of the FCPA. The case against Pan is ongoing.
最终，昨天，美国司法部（DOJ）解封了一项先前提交的针对潘的起诉书，指控其密谋违反《反海外腐败法》（FCPA）的反贿赂和账簿记录条款，以及直接违反这些条款。对潘的案件正在进行中。
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