【中英文对照PDF版】关于应对中共用证券投资为其军工企业融资之威胁的行政令

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Executive Order on Addressing the Threat from Securities Investments that Finance Communist Chinese Military Companies

关于应对中共用证券投资为其军工企业融资之威胁的行政令

 FOREIGN POLICY

外交政策

 Issued on: November 12, 2020

发布时间: 2020年11月12日

By the authority vested in me as President by the Constitution and the laws of the United States of America, including the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.) (IEEPA), the National Emergencies Act (50 U.S.C. 1601 et seq.), and section 301 of title 3, United States Code,

根据《宪法》和美利坚合众国法律赋予我的权力,包括《国际紧急经济权力法》(《美国法典》第50编第1701条及以后各条)、《国家紧急状态法》(《美国法典》第50编第1601条及以后各条)和《美国法典》第3编第301条,

I, DONALD J. TRUMP, President of the United States of America, find that the People’s Republic of China (PRC) is increasingly exploiting United States capital to resource and to enable the development and modernization of its military, intelligence, and other security apparatuses, which continues to allow the PRC to directly threaten the United States homeland and United States forces overseas, including by developing and deploying weapons of mass destruction, advanced conventional weapons, and malicious cyber-enabled actions against the United States and its people.

我,美利坚合众国总统唐纳德·J·川普,发现中华人民共和国(PRC)正越来越多地利用美国的资本,为其军事、情报和其他安全机构的发展和现代化提供资源和帮助,这继续让中华人民共和国能够直接威胁美国本土和美国海外部队,包括发展和部署大规模毁灭性武器、先进的常规武器以及针对美国及其人民的恶意网络行动。

Key to the development of the PRC’s military, intelligence, and other security apparatuses is the country’s large, ostensibly private economy.  Through the national strategy of Military-Civil Fusion, the PRC increases the size of the country’s military-industrial complex by compelling civilian Chinese companies to support its military and intelligence activities.  Those companies, though remaining ostensibly private and civilian, directly support the PRC’s military, intelligence, and security apparatuses and aid in their development and modernization.

中华人民共和国军事、情报和其他安全机构发展的关键是该国庞大的、看似的私营经济。 通过军民融合的国家战略,中华人民共和国通过迫使中国的民用公司来支持其军事和情报活动,扩大了中国军工综合体的规模。 这些公司虽然表面上仍是私营和民用企业,但却直接支持中华人民共和国的军事、情报和安全机构,并帮助其发展和现代化。

At the same time, those companies raise capital by selling securities to United States investors that trade on public exchanges both here and abroad, lobbying United States index providers and funds to include these securities in market offerings, and engaging in other acts to ensure access to United States capital.  In that way, the PRC exploits United States investors to finance the development and modernization of its military.

同时,这些公司通过向在国内外公开交易所交易的美国投资者出售证券、游说美国指数提供者和基金将这些证券纳入其市场发行中,以及涉入其他行为以确保获得美国资本的机会,从而筹集资本。 通过这种方式,中华人民共和国利用美国投资者为其军事发展和现代化提供资金。

I therefore further find that the PRC’s military-industrial complex, by directly supporting the efforts of the PRC’s military, intelligence, and other security apparatuses, constitutes an unusual and extraordinary threat, which has its source in substantial part outside the United States, to the national security, foreign policy, and economy of the United States.  To protect the United States homeland and the American people, I hereby declare a national emergency with respect to this threat.

我因此进一步发现,中华人民共和国的军工联合体通过直接支持该国的军事、情报和其他安全机构的活动,对美国的国家安全、外交政策和经济构成了异常和特殊的威胁,这个威胁在很大程度上来自美国境外。 为了保护美国的国土和美国人民,我在此宣布就这一威胁进入国家紧急状态。

Accordingly, I hereby order:

因此,我在此下令:

Section 1.  (a)  The following actions are prohibited:

第一条: (a) 禁止下列行为:

(i)   beginning 9:30 a.m. eastern standard time on January 11, 2021, any transaction in publicly traded securities, or any securities that are derivative of, or are designed to provide investment exposure to such securities, of any Communist Chinese military company as defined in section 4(a)(i) of this order, by any United States person; and

(i) 从2021年1月11日东部标准时间上午9时30分开始,任何美国人对本命令第4条(a)款(i)项所定义的任何中共军事公司的公开交易证券,或任何衍生证券,或旨在为此类证券提供投资风险的证券进行任何交易;以及

(ii)  beginning 9:30 a.m. eastern standard time on the date that is 60 days after a person is determined to be a Communist Chinese military company pursuant to section (4)(a)(ii) or (iii) of this order, any transaction in publicly traded securities, or any securities that are derivative of, or are designed to provide investment exposure to such securities, of that person, by any United States person.

(ii) 在根据本命令第(4)条(a)款(i)项或(ii)项确定某人为中共军事公司后60天的东部标准时间上午9时30分开始,任何美国人对该人的公开交易证券或任何衍生证券或旨在为这种证券提供投资风险的证券进行任何交易。

(b)  Notwithstanding subsection (a)(i) of this section, purchases for value or sales made on or before 11:59 p.m. eastern standard time on November 11, 2021, solely to divest, in whole or in part, from securities that any United States person held as of 9:30 a.m. eastern standard time on January 11, 2021, in a Communist Chinese military company as defined in section 4(a)(i) of this order, are permitted.

(b) 尽管有本条(a)(i)款项的规定,但允许在2021年11月11日东部标准时间晚上11:59或之前进行价值购买或销售,其完全是为了剥离任何美国人在2021年1月11日东部标准时间上午9:30持有的本命令第4条(a)款(i)项所定义的中共军事公司的证券的全部或部分。

(c)  Notwithstanding subsection (a)(ii) of this section, for a person determined to be a Communist Chinese military company pursuant to section 4(a)(ii) or (iii) of this order, purchases for value or sales made on or before 365 days from the date of such determination, solely to divest, in whole or in part, from securities that any United States person held in such person, as of the date 60 days from the date of such determination, are permitted.

(c) 尽管有本条(a)(ii)款项的规定,对于根据本命令第4条(a)款(ii)或(iii)项被确定为中共军工公司的人来说,允许在确定之日起365天或之前进行价值购买或销售,其完全是为了剥离任何美国人在确定之日起60天内持有的证券的全部或部分。

(d)  The prohibitions in subsection (a) of this section apply except to the extent provided by statutes, or in regulations, orders, directives, or licenses that may be issued pursuant to this order, and notwithstanding any contract entered into or any license or permit granted before the date of this order.

(d) 本条(a)款中的禁令适用,除法规或根据本命令可能颁发的条例、命令、指令或许可证中规定外,即使是本命令日期之前签订的任何合同或颁发的任何许可证或执照。

Sec. 2.  (a)  Any transaction by a United States person or within the United States that evades or avoids, has the purpose of evading or avoiding, causes a violation of, or attempts to violate the prohibitions set forth in this order is prohibited.

第2条: (a) 禁止美国人或在美国境内进行任何逃避或避免、以逃避或避免为目的,导致违反或企图违反本命令规定的禁令的交易。

(b)  Any conspiracy formed to violate any of the prohibitions set forth in this order is prohibited.

(b) 禁止为违反本命令规定的任何禁令而产生的任何阴谋。

Sec. 3.  (a)  The Secretary of the Treasury, after consultation with the Secretary of State, the Secretary of Defense, the Director of National Intelligence, and the heads of other executive departments and agencies (agencies) as deemed appropriate by the Secretary of the Treasury, is hereby authorized to take such actions, including the promulgation of rules and regulations, and to employ all powers granted to the President by IEEPA, to carry out the purposes of this order.  The Secretary of the Treasury may, consistent with applicable law, redelegate any of these functions within the Department of the Treasury.  All agencies shall take all appropriate measures within their authority to carry out the provisions of this order.

第3条: (a) 财政部长在与国务卿、国防部长、国家情报局局长以及财政部长认为适当的其他行政部门和机构(机关)负责人协商后,特此授权财政部长采取包括颁布规则和条例在内的行动,并行使IEEPA授予总统的一切权力,以实现本命令的目的。 财政部长可在符合适用法律的情况下,在财政部内的转授任何这些职能。 所有机构应在其职权范围内采取一切适当措施,执行本命令的规定。

(b)  Rules and regulations issued pursuant to this order may, among other things, establish procedures to license transactions otherwise prohibited pursuant to this order.  But prior to issuing any license under this order, the Secretary of the Treasury shall consult with the Secretary of State, the Secretary of Defense, and the Director of National Intelligence.

(b) 根据本命令颁布的规则和条例,除其他外,可制定程序对根据本命令禁止的交易颁发许可证。 但在根据本命令发放任何许可证之前,财政部长应与国务卿、国防部长和国家情报局局长协商。

Sec. 4.  Definitions.  For purposes of this order:

第4条:定义。 就本命令而言:

(a)  the term “Communist Chinese military company” means

(a) 术语 “中共军事公司 “是指

(i)    any person that the Secretary of Defense has listed as a Communist Chinese military company operating directly or indirectly in the United States or in any of its territories or possessions pursuant to section 1237 of Public Law 105-261, as amended by section 1233 of Public Law 106-398 and section 1222 of Public Law 108-375, as of the date of this order, and as set forth in the Annex to this order, until such time as the Secretary of Defense removes such person from such list;

(i) 国防部长根据公法第105-261编第1237条,经修正的公法第106-398编第1233条和公法第108-375编第1222条及本命令附件规定,自本命令发布之日起,已将其列为在美国或其任何领土或属地直接或间接经营的中国共产党军事公司的任何人,直至国防部长将其从该名单中除名。

(ii)   any person that the Secretary of Defense, in consultation with the Secretary of the Treasury, determines is a Communist Chinese military company operating directly or indirectly in the United States or in any of its territories or possessions and therefore lists as such pursuant to section 1237 of Public Law 105-261, as amended by section 1233 of Public Law 106-398 and section 1222 of Public Law 108375, until such time as the Secretary of Defense removes such person from such list; or

(ii) 国防部长与财政部长协商后确定是在美国或其任何领土或属地直接或间接经营的中国共产党军事公司的任何人,根据公法第106-398编第1233条和公法第108 375编第1222条,经修正的公法第105-261编第1237条将其列入名单,直至国防部长将其从名单中除名;或

(iii)  any person that the Secretary of the Treasury publicly lists as meeting the criteria in section 1237(b)(4)(B) of Public Law 105-261, or publicly lists as a subsidiary of a person already determined to be a Communist Chinese military company, until the Secretary of the Treasury determines that such person no longer meets that criteria and removes such person from such list.

(iii) 财政部长公开将符合公法第105-261编第1237条(b)款(4)项(B)句标准的人列入名单,或将已被确定为中国共产党军事公司的人的子公司公开列入名单,直到财政部长确定此人不再符合这一标准并将其从名单中删除;

(b)  the term “entity” means a government or instrumentality of such government, partnership, association, trust, joint venture, corporation, group, subgroup, or other organization;

(b) 术语”实体 “是指政府或该政府的机构、合伙企业、协会、信托、合资企业、公司、集团、分集团或其他组织;

(c)  the term “person” means an individual or entity;

(c)  术语”人 “是指个人或实体;

(d)  the terms “security” and “securities” include the definition of “security” in section 3(a)(10) of the Securities Exchange Act of 1934, Public Law 73-291, as codified as amended at 15 U.S.C. 78c(a)(10), except that currency or any note, draft, bill of exchange, or banker’s acceptance which has a maturity at the time of issuance of not exceeding 9 months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited, shall be a security for purposes of this order.

(d) 术语”证券 “和 “多种证券 “包括1934年《证券交易法》第3条(a)款(10)项中 “证券 “的定义,经修订后编入《美国法典》第15编78c条(a)款(10)项,但货币或任何票据、汇票、汇票或银行承兑汇票,如果在发行时到期日不超过9个月(不包括宽限期),或其到期日同样受到限制的任何续期,应是本命令中所言的证券。

(e)  the term “transaction” means the purchase for value of any publicly traded security; and

(e) 术语”交易 “是指购买任何公开交易的证券的价值;以及

(f)  the term “United States person” means any United States citizen, permanent resident alien, entity organized under the laws of the United States or any jurisdiction within the United States (including foreign branches), or any person in the United States.

(f) 术语”美国人 “是指任何美国公民、永久居住的外国人、根据美国法律或美国境内任何司法管辖区(包括外国分支机构)组建的实体,或在美国的任何人;

Sec. 5.  The Secretary of the Treasury, in consultation with the Secretary of State and, as appropriate, the Secretary of Defense, is hereby authorized to submit the recurring and final reports to the Congress on the national emergency declared in this order, consistent with section 401(c) of the NEA (50 U.S.C. 1641(c)) and section 204(c) of IEEPA (50 U.S.C. 1703(c)).

第5条:在与国务卿协商,并酌情与国防部长协商下, 特此授权财政部长根据《国家环境法》第401条(c)款(《美国法典》第50编第1641条(c)款)和《IEEPA》第204条(c)款(《美国法典》第50编第1703条(c)款),向国会提交关于本命令宣布的国家紧急状态的经常性报告和最后报告。

Sec. 6.  General Provisions.  (a)  Nothing in this order shall be construed to impair or otherwise affect:

第6条: 一般规定。 (a) 本命令的任何内容均不得解释为损害或以其他方式影响:

(i)   the authority granted by law to an executive department or agency, or the head thereof; or

(i) 法律授予的行政部门或机构或其负责人的权力;或

(ii)  the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals.

(ii)  管理及预算办公室主任与预算、行政或立法提案有关的职能。

(b)  This order shall be implemented consistent with applicable law and subject to the availability of appropriations.

(b)  本命令的执行应符合适用的法律,并应视拨款情况而定。

(c)  This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

(c) 本命令无意,也不会产生任何对美国、其各部门、机构或实体、其官员、雇员或代理人或任何其他人强制执行的任何实质性或程序性权利或利益。

DONALD J. TRUMP

唐纳德·J·川普

THE WHITE HOUSE,

白宫

November 12, 2020.

2020年11月12日

图片来源:https://www.whitehouse.gov/news/

翻译:【文所未闻】 校对:【GM31】编辑:【GM31】【Isaiah4031】

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