Guo Wengui / Miles Guo — bankruptcy case · JUDGMENT · ECF #1410-2

1 Whoever intentionally does the following shall be imprisoned up to three years or fined accordingly:

a. disclose confidential information entrusted to them in their capacity as a member of an executive or supervisory body, employee, representative, or liquidator of a bank or a person in accordance with Article 1b, as member of a body or employee of an audit firm or that they have observed in this capacity;

b. attempt to induce an infraction of the professional secrecy;

c. disclose confidential information to third parties or use this information for own benefits or the benefit of others.

- 1 bi[s2] Whoever enriches themselves or others with an action in accordance with (1)(a) or (c) shall be punished with imprisonment for up to five years or fined accordingly. - 2 Whoever acts in negligence shall be penalized with a fine of up to CHF 250,000.

- 4 The violation of the professional confidentiality shall remain punishable even after a bank license has been revoked or a person has ceased his/her official responsibilities. - 5 The federal and cantonal provisions on the duty to provide evidence or on the duty to provide information to an authority shall be exempted from this provision. - 6 Prosecution and judgment of offenses pursuant to these provisions shall be incumbent upon the cantons. The general provisions of the Swiss Penal Code shall be applicable.

1 Unofficial translation by KPMG (http).

2 In force since July 1, 2015.

3 Deleted as of January 1, 2016. Art. 271 SPC[4] Unlawful activities on behalf of a foreign state

1. Any person who carries out activities on behalf of a foreign state on Swiss territory without lawful authority, where such activities are the responsibility of a public authority or public official,

any person who carries out such activities for a foreign party or organisation,

any person who facilitates such activities

shall be liable to a custodial sentence not exceeding three years or to a monetary penalty, or in serious cases to a custodial sentence of not less than one year.

- 2. Any person who abducts another by using violence, false pretences or threats and takes him abroad in order to hand him over to a foreign authority, party or other organisation or to expose him to a danger to life or limb shall be liable to a custodial sentence of not less than one year. - 3. Any person who makes preparations for such an abduction shall be liable to a custodial sentence or to a monetary penalty.

Any person who seeks to obtain a manufacturing or trade secret in order to make it available to an external official agency, a foreign organisation, a private enterprise, or the agents of any of these, or,

any person who makes a manufacturing or trade secret available to a foreign official agency, a foreign organisation, a private enterprise, or the agents of any of these,

shall be liable to a custodial sentence not exceeding three years or to a monetary penalty, or in serious cases to a custodial sentence of not less than one year. Any custodial sentence may be combined with a monetary penalty.

4 Unofficial translation by the Federal Office of Justice (http).

5 Unofficial translation by the Federal Office of Justice (http).