{"id":"court_sdny_273_1","court":"SDNY","case_no":"23-cr-00118","doc_number":273,"sub_number":1,"doc_type":"DECLARATION","filed_date":null,"title":"EXHIBIT A UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK","summary_zh":"证人声明（Exhibit A）——美国诉 Ho Wan Kwok（郭文贵 / Guo Wengui / Miles Guo）案，SDNY 1:23-cr-00118 ECF #273。声明人 Marlee B. Miller 系美国证券交易委员会（SEC）国际事务办公室高级特别顾问，声明说明 SEC 依据 IOSCO《多边谅解备忘录》向阿联酋证券与商品管理局（SCA）提出协助请求，经第一阿布扎比银行调取与被告关联的 ACA Capital Group 账户交易记录及 IP 日志记录的经过，并逐次列明各批记录的接收日期，用以证明相关境外银行记录的来源与真实性。声明于2024年4月在华盛顿特区签署。","summary_en":"Witness declaration (Exhibit A) in United States v. Ho Wan Kwok (Miles Guo / Guo Wengui), SDNY 1:23-cr-00118, ECF #273. Declarant Marlee B. Miller, a Senior Special Counsel in the SEC's Office of International Affairs, describes how the SEC used the IOSCO Multilateral Memorandum of Understanding to request assistance from the UAE Securities and Commodities Authority (SCA) in obtaining First Abu Dhabi Bank account records and IP logs for an account tied to ACA Capital Group linked to the defendant, listing the dates each production was received to establish provenance and authenticity of the foreign bank records. The declaration was executed in Washington, D.C. in April 2024.","body_en":"## EXHIBIT A\n\n## **UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK**\n\n UNITED STATES OF AMERICA, v. HO WAN KWOK, a/k/a \"Miles Guo\" a/k/a \"Miles Kwok,\" a/k/a \"Guo Wengui,\" a/k/a \"Brother Seven,\" a/k/a \"The Principal,\" Defendant **23 Cr. 118 (AT) DECLARATION OF MARLEE B. MILLER** I, Marlee B. Miller, declare:\n\n1. I am employed as a Senior Special Counsel in the Office of International Affairs (\"OIA\") of the United States Securities and Exchange Commission (\"SEC\"), in Washington, D.C. I work in OIA's Enforcement Policy and International Cooperation Group. My duties include, among other things, assisting the SEC's Division of Enforcement (\"Enforcement Division\") with investigations and litigation that require foreign assistance. From 2018-2023, I served as a manager in OIA with the title of Branch Chief. In my role as Branch Chief, from approximately June 2020 to June 2023, I served as the OIA case manager for the investigations conducted by the Enforcement Division related to the defendant.\n\n2. I am familiar with efforts to obtain evidence from foreign jurisdictions. I have worked in OIA at the SEC since November 2013, and prior to that for five years at the Department of Justice (Criminal Division)'s Office of International Affairs. During my time at both the SEC and DOJ, my practice has focused on international enforcement cooperation and mutual legal assistance.\n\n3. The SEC is a signatory to the International Organization of Securities Commissions (\"IOSCO\") Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (\"MMoU\"). The MMoU represents a common understanding among its signatories of how they should consult, cooperate, and exchange information for the purpose of regulatory enforcement regarding securities markets.\n\n4. When staff from the Enforcement Division needs documents from persons or entities who are not in the United States, OIA can obtain those documents by sending a written request for assistance under the MMoU to the securities authority in the foreign jurisdiction where the records sought are located. In the request, OIA specifies the assistance Enforcement Division staff is seeking.\n\n1\n\n5. If the foreign authority is able to assist, it will use its domestic procedures to obtain the requested records and transmit the requested records to the SEC. The records are produced in paper or digital form (e.g., PDF images or other digital format), and the method of transmission may be via email (for digital records) or mail/courier (for paper or digital records loaded to storage media).\n\n6. In connection with the Enforcement Division's investigations related to the defendant, on February 23, 2021, the SEC requested bank records from the Securities and Commodities Authority of the United Arab Emirates (\"SCA\"), pursuant to the IOSCO MMoU, to which both the SEC and SCA are signatories. Specifically, the SEC, through OIA, requested account records from First Abu Dhabi Bank for an account held in the name of ACA Capital Group Limited ending in -026 (the \"ACA Account\") for the period January 1, 2020 through the present. This request was identified as OIA No. 2020-01309-006 (\"Request Number 2020- 01309-006\"). I signed this request in my then position as Branch Chief in OIA.\n\n7. On May 23, 2021 and June 20, 2021, OIA received productions from the SCA (by email) consisting of records of the ACA Account for the period January 25, 2020 to April 20, 2021. SCA identified these productions as responses to Request Number 2020-01309-006. I have reviewed the documents bearing bates numbers USAO-REL\\_000048362 through USAO-REL\\_000048365, USAO-REL\\_000048384, USAO-REL\\_000048388, USAO-REL\\_000084447, USAO-REL\\_000486537, USAO-REL\\_000486563, USAO-REL 000486572, USAO-REL\\_000048394, USAO-REL\\_000084452, USAO-REL 000486545, USAO-REL 0000486585, USAO-REL\\_000084463, USAO-REL\\_000084455, USAO-REL\\_000084457, USAO-REL 000486539, USAO-REL\\_000084448, USAO-REL 000486543, USAO-REL 000486548, USAO-REL 000486554, USAO-REL 000486573, USAO-REL 000486575, USAO-REL 000486581, and USAO-REL 000486588. These documents are the records of the ACA Account provided by the\n\n2\n\nSCA to OIA on May 23, 2021 and June 20, 2021 in response to Request Number 2020-01309-006.\n\n8. On March 14, 2022, the SEC submitted a supplemental request to the SCA, pursuant to the IOSCO MMoU, for updated records from First Abu Dhabi Bank for the ACA Account. Specifically, the SEC, through OIA, requested records for the ACA Account for the period April 21, 2021 through the present. This request was identified as OIA No. 2022-00509-005 (\"Request Number 2022-00509- 005\"). I signed this request in my then position as Branch Chief in OIA.\n\n9. On May 20, 2022, OIA received a production from the SCA (by email) consisting of: (1) account transaction records for the ACA Account for the period April 21, 2021 to March 23, 2022; and (2) IP log records for the ACA Account for the period January 25, 2022 to April 26, 2022. On June 14, 2022, OIA received an additional production (by email) from the SCA of account transaction records for the ACA Account for the time period April 21, 2021 to March 23, 2022. SCA identified these productions as responses to Request Number 2022-00509-005. I have reviewed the documents bearing bates numbers: USAO-REL 000486606, USAO-REL 000486657, USAO-REL 000486658, and USAO-REL 000486659. These documents are the records of the ACA Account provided by the SCA to OIA on May 20, 2022 and June 14, 2022 in response to Request Number 2022-00509- 005.\n\n10. The above-referenced productions on May 23, 2021, June 20, 2021, May 20, 2022, and June 14, 2022 constitute the SCA's official response to our February 23, 2021 and March 14, 2022 requests and were provided to the SEC in a manner consistent with the routine practice for transmitting foreign bank records responsive to requests under the IOSCO MMoU.\n\n3\n\n11. Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct.\n\nExecuted this 8 day of April 2024 in Washington, D.C.\n\n## MBmiller\n\nMarlee B. Miller","body_zh":"附件 A\n\nUNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK（美国纽约南区联邦地区法院）\n\nUNITED STATES OF AMERICA（美利坚合众国）诉 HO WAN KWOK（郭文贵），又名“Miles Guo”，又名“Miles Kwok”，又名“Guo Wengui”，又名“Brother Seven（七哥）”，又名“The Principal（校长）”，被告 23 Cr. 118 (AT) MARLEE B. MILLER 的声明 我，Marlee B. Miller，声明如下：\n\n1. 我受雇于位于华盛顿特区的 United States Securities and Exchange Commission（美国证券交易委员会，简称“SEC”）的 Office of International Affairs（国际事务办公室，简称“OIA”），担任高级特别法律顾问。我在 OIA 的执法政策与国际合作组工作。我的职责包括协助 SEC 的 Division of Enforcement（执法部）进行需要外国协助的调查和诉讼等。2018年至2023年期间，我在 OIA 担任管理职务，职衔为处长。在我担任处长期间，自约2020年6月至2023年6月，我担任 OIA 针对执法部开展的与被告相关调查的案件主管。\n\n2. 我熟悉从外国司法管辖区获取证据的相关工作。我自2013年11月起在 SEC 的 OIA 工作，在此之前曾在 Department of Justice（司法部，刑事司）的国际事务办公室工作过五年。在 SEC 和司法部工作期间，我的业务重点一直是国际执法合作和司法协助。\n\n3. SEC 是 International Organization of Securities Commissions（国际证券事务监察委员会组织，简称“IOSCO”）《关于磋商与合作以及信息交流的多边谅解备忘录》（Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information，简称“MMoU”）的签署方。该 MMoU 代表了各签署方之间关于为证券市场监管执法目的应如何进行磋商、合作和信息交流的共识。\n\n4. 当执法部的工作人员需要不在美国境内的个人或实体的文件时，OIA 可以根据 MMoU 向所寻求记录所在的外国司法管辖区的证券监管机构发送书面协助请求，以获取这些文件。在请求中，OIA 会具体说明执法部工作人员所寻求的协助。\n\n5. 如果外国监管机构能够提供协助，其将使用其国内程序获取所请求的记录，并将所请求的记录转交给 SEC。记录以纸质或电子形式（例如 PDF 图像或其他电子格式）提供，传输方式可以通过电子邮件（针对电子记录）或邮件/快递（针对加载到存储介质上的纸质或电子记录）。\n\n6. 关于执法部与被告相关的调查，2021年2月23日，SEC 根据 IOSCO MMoU（SEC 和 SCA 均为签署方）向 Securities and Commodities Authority of the United Arab Emirates（阿拉伯联合酋长国证券和商品管理局，简称“SCA”）请求获取银行记录。具体而言，SEC 通过 OIA 请求获取 First Abu Dhabi Bank（阿布扎比第一银行）以 ACA Capital Group Limited（ACA资本集团有限公司）名义开立的尾号为 -026 的账户（简称“ACA 账户”）自2020年1月1日至今期间的账户记录。该请求被标识为 OIA 编号 2020-01309-006（简称“请求编号 2020-01309-006”）。我以当时担任的 OIA 处长职务签署了该请求。\n\n7. 2021年5月23日和2021年6月20日，OIA 收到了 SCA（通过电子邮件）提交的文件，包括 ACA 账户自2020年1月25日至2021年4月20日期间的记录。SCA 将这些提交的文件标识为对请求编号 2020-01309-006 的答复。我审阅了带有贝茨编号 USAO-REL_000048362 至 USAO-REL_000048365、USAO-REL_000048384、USAO-REL_000048388、USAO-REL_000084447、USAO-REL_000486537、USAO-REL_000486563、USAO-REL 000486572、USAO-REL_000048394、USAO-REL_000084452、USAO-REL 000486545、USAO-REL 0000486585、USAO-REL_000084463、USAO-REL_000084455、USAO-REL_000084457、USAO-REL 000486539、USAO-REL_000084448、USAO-REL 000486543、USAO-REL 000486548、USAO-REL 000486554、USAO-REL 000486573、USAO-REL 000486575、USAO-REL 000486581 以及 USAO-REL 000486588 的文件。这些文件即为 SCA 于2021年5月23日和2021年6月20日为答复请求编号 2020-01309-006 而向 OIA 提供的 ACA 账户的记录。\n\n8. 2022年3月14日，SEC 根据 IOSCO MMoU 向 SCA 提交了一份补充请求，请求获取阿布扎比第一银行针对 ACA 账户的更新记录。具体而言，SEC 通过 OIA 请求获取 ACA 账户自2021年4月21日至今期间的记录。该请求被标识为 OIA 编号 2022-00509-005（简称“请求编号 2022-00509-005”）。我以当时担任的 OIA 处长职务签署了该请求。\n\n9. 2022年5月20日，OIA 收到了 SCA（通过电子邮件）提交的文件，其中包括：(1) ACA 账户自2021年4月21日至2022年3月23日期间的账户交易记录；以及 (2) ACA 账户自2022年1月25日至2022年4月26日期间的 IP 日志记录。2022年6月14日，OIA 从 SCA 处收到了关于 ACA 账户自2021年4月21日至2022年3月23日期间的账户交易记录的补充提交文件（通过电子邮件）。SCA 将这些提交的文件标识为对请求编号 2022-00509-005 的答复。我审阅了带有贝茨编号 USAO-REL 000486606、USAO-REL 000486657、USAO-REL 000486658 以及 USAO-REL 000486659 的文件。这些文件即为 SCA 于2022年5月20日和2022年6月14日为答复请求编号 2022-00509-005 而向 OIA 提供的 ACA 账户的记录。\n\n10. 上述于2021年5月23日、2021年6月20日、2022年5月20日及2022年6月14日提交的文件构成了 SCA 对我们2021年2月23日和2022年3月14日请求的正式答复，并且是按照符合转交响应 IOSCO MMoU 项下请求的外国银行记录的常规惯例的方式提供给 SEC 的。\n\n11. 依据 28 U.S.C. § 1746，我谨在接受伪证处罚的前提下声明，前述内容真实且正确。\n\n于2024年4月8日在华盛顿特区签署。\n\nMBmiller\n\nMarlee B. Miller","key_entities":["Guo","Kwok","Miles Guo","Ho Wan Kwok","CIPA"],"ecf_references":[],"word_count":949,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 07:23:59"}