那些隱跡于紐約奢華公寓的全球富豪(3)
法庭文件顯示，馬爾金極力否認參與了有組織犯罪，稱加拿大當局的說法沒有依據(jù)，并指出自己前往其他國家時皆暢通無阻。馬爾金起訴了加拿大當局，2009年6月，一名法官裁定應(yīng)對該案進行重審，因為馬爾金早前沒有回應(yīng)相關(guān)指控的機會。
Mr. Malkin was allowed to visit Canada in 2012, his lawyer, Gregory Sidlofsky of Toronto, said inan email, adding, “Canadian authorities never had nor provided any evidence of anywrongdoing by Mr. Malkin.” In the Angola debt case, he said, Swiss investigators ultimatelyfound no wrongdoing. Mr. Sidlofsky said the $48.8 million was a dividend reflecting hisclient’s share of the intermediary company. As for the long-running renovation of the TimeWarner condo, he said, “Mr. Malkin does not own the apartment, nor has he had any recentinvolvement in the renovation.”
馬爾金在多倫多的律師格雷戈里·希德洛夫斯基(Gregory Sidlofsky)在電子郵件中說，馬爾金于2012年獲許進入加拿大，并表示，“加拿大當局從未掌握或提供任何證據(jù)，表明馬爾金有任何不端行為。”他說，在安哥拉債務(wù)一事中，瑞士調(diào)查結(jié)構(gòu)最終也并未發(fā)現(xiàn)馬爾金有不端行為。他說，那4880萬美元是其當事人在該公司所持股份帶來的分紅。至于時代華納中心那套共管公寓長時間翻修一事，他表示，“馬爾金不是那處公寓的所有人，近期也未參與任何翻修。”
The American Bar Association suggests that government officials like Mr. Malkin warrantenhanced scrutiny in real estate deals, but its guidelines are voluntary. Marc Isaacs, the NewYork lawyer who handled the condo purchase, said his firm’s client vetting goes beyond anonline search, but he would not elaborate. Asked about Mr. Malkin, Mr. Isaacs said he could notdiscuss specific clients.
美國律師協(xié)會(American Bar Association)表示，在房地產(chǎn)交易中，肯定應(yīng)該對馬爾金這樣的政府官員給予更密切的關(guān)注，但該機構(gòu)的指導(dǎo)方針是自愿執(zhí)行的。經(jīng)手那宗共管公寓交易的紐約律師馬克·伊薩克斯(MarcIsaacs)表示，他所在的律所對客戶的審核不只是在線搜索而已，但他不愿詳細解釋。在被問及馬爾金時，伊薩克斯表示自己不能討論某個具體客戶。
The real estate agents on the Time Warner deal included Brenda S. Powers and Elizabeth L.Sample, who represent many foreign clients and who live in the building. Ms. Sample said thather focus when vetting buyers was this: “They have to have the money. Other than that, that’sit. That’s all we need.”
負責時代華納中心那筆交易的房產(chǎn)經(jīng)紀是布倫達·S·鮑爾斯(Brenda S. Powers)和伊麗莎白·L·桑普爾(Elizabeth L. Sample)，她們就住在樓里，代理了許多外國客戶。桑普爾表示，在審核買家時她關(guān)注的重點是：“他們必須要有買房的錢。其他的就算了。我們只需要知道這一點。”
A Blind Eye
不聞不問
Federal banking guidelines are clear: “Banks should take all reasonable steps to ensure thatthey do not knowingly or unwittingly assist in hiding or moving the proceeds ofcorruption.” This means screening customers to determine whether they are “politicallyexposed people” — foreign officials and their relatives and associates — and filing a“suspicious activity report” if the customers transfer unusually large amounts of money.
聯(lián)邦銀行業(yè)指導(dǎo)原則說得很明白：“銀行應(yīng)采取一切合理措施，確保不會在有意或無意中，協(xié)助隱藏或轉(zhuǎn)移外國高級政治人物及其親友通過腐敗獲得的收入”。也就是說，銀行應(yīng)對客戶進行審查，查明他們是否是“政治敏感人物”——外國官員及其親友——并在客戶轉(zhuǎn)移巨額資金時，提交“可疑活動報告”。
But such checks are not required on money flowing into the country through shell companiesto purchase high-end real estate.
但通過空殼公司流入美國并購買高端房地產(chǎn)的資金，并未被要求接受這類審查。
L.L.C.s and other entities can be established in various states without revealing their trueowners. Even when such companies move money through a bank account, banks are notrequired to know who is behind the transaction because of a loophole in the law.
在很多州，有限公司和其他企業(yè)實體成立時都可以不透露其實際所有人。因為法律漏洞，即便在這類公司通過銀行賬戶轉(zhuǎn)移資金時，銀行也未被要求知曉相關(guān)交易的背后都有什么人。
In many ways, the government has allowed the real estate industry to turn a blind eye to thesource of money used to buy luxury properties.
在很多方面，政府允許房地產(chǎn)行業(yè)對購買豪華房地產(chǎn)的資金的來源不聞不問。
It might not have turned out this way. In the late 1990s, after congressional hearingshighlighted corrupt foreign officials with money in the United States, the Justice Departmentsought to expand the list of industries required to screen the financial activities of politicallyexposed people. That included jewelry sales, hedge funds and real estate.
這種局面本來可以避免。上世紀90年代末，在多次國會聽證會讓外國腐敗官員將錢轉(zhuǎn)移至美國的問題突顯出來后，司法部(Justice Department)尋求擴充行業(yè)名單，要求被列入名單的行業(yè)審查政治敏感人物的財務(wù)活動。該名單本應(yīng)包括珠寶商、對沖基金和房地產(chǎn)商。
The proposal gained momentum after Sept. 11, when the Justice Department pushed to makeit part of the Patriot Act. The rules were included in the law and handed to the TreasuryDepartment to put into effect.
9·11事件后，這項提案贏得了更多的支持。司法部推動其成為《愛國者法案》(Patriot Act)的一部分。相關(guān)規(guī)定被寫進了法律，并被轉(zhuǎn)交給財政部執(zhí)行。
The real estate and legal professions sprang into action, arguing that background checks wereimpractical and would hurt the economy. “The money-laundering risks presented by realestate closings are relatively small, compared to other types of financial assets,” the AmericanLand Title Association said in comments on the proposed rules.
房地產(chǎn)和法律行業(yè)迅速行動起來，聲稱背景審查不切實際，且會損害經(jīng)濟。“和其他類型的金融資產(chǎn)相比，房地產(chǎn)交易帶來的洗錢風險相對較小，”美國土地產(chǎn)權(quán)協(xié)會(American Land Title Association)在對監(jiān)管規(guī)則提案的意見書中說。
Businesses insisted that tainted money was not likely to flow into real estate. “Anonymity andliquidity, two characteristics important to money launderers, typically do not exist in realestate transactions,” the Dechert law firm wrote.
相關(guān)企業(yè)則堅稱，不法資金不太可能流入房地產(chǎn)市場。“對洗錢者十分重要的匿名和流動性這兩個特征，在房地產(chǎn)交易中往往不存在，”德杰律師事務(wù)所(Dechert)寫道。
The industry’s assertions ignored the increasing use of shell companies and how often wealthyforeigners sought out high-end real estate as a safe deposit box.
該行業(yè)的論斷忽略了空殼公司的使用越來越普遍，以及富有的外國人常尋找高端房地產(chǎn)，將其作為安全的存款箱。
At the Time Warner Center, for instance, at least a dozen purchases would have receivedgreater scrutiny under the expanded rules.
比如，在時代華納中心，若按照擴充后的規(guī)定，至少有12筆交易本應(yīng)受到更嚴格的審查。
But the Treasury Department never imposed the requirement on real estate or some otherindustries. Similarly, a proposal to extend the concept of the “know your customer” bankingrule to the identities of people behind L.L.C.s and other shell companies that open bankaccounts has been stalled for nearly three years in the Treasury Department.
但財政部從未對房地產(chǎn)或其他行業(yè)實行這一要求。同樣地，另一項提議也已在財政部擱置了近三年。該提議要求將有限公司及其他開設(shè)銀行賬戶的空殼公司背后的人的身份，納入銀行業(yè)“了解客戶”規(guī)定的范圍。
Banking associations say it would impose undue costs on them because there are no reliablefederal or state databases with shell company owners.
銀行業(yè)協(xié)會表示，這么做會給它們帶來高昂的成本，因為沒有可靠的聯(lián)邦或州一級空殼公司所有人數(shù)據(jù)庫。
In fact, registering shell companies has become profitable for states like Delaware and Nevada,which also have lobbied against transparency.
實際上，對游說反對透明的特拉華和內(nèi)華達等州來說，注冊空殼公司已變得有利可圖。
“I don’t see some kind of global effort to stop all this because the money’s too good,” saidDavid M. Crane, a Syracuse University law professor who oversaw the United Nations’ effort torecover money from Charles Taylor, the former Liberian president who was convicted of warcrimes and thought to have plundered his country.
“我沒看到有某種全球范圍的努力來阻止這一切的跡象，因為收益實在太大了，”雪城大學(xué)(SyracuseUniversity)法學(xué)教授戴維·M·克蘭(David M. Crane)說。他曾經(jīng)負責監(jiān)督聯(lián)合國從利比里亞前總統(tǒng)查爾斯·泰勒(Charles Taylor)那里追回資金的工作。泰勒被裁定犯有戰(zhàn)爭罪，還被外界認為對利比里亞進行了大肆掠奪。
A number of states do not require people forming companies to reveal the names of theowners or show any identification.
美國很多州并不要求開辦公司的人透露所有者的姓名，或出示任何身份證件。
This opacity presents challenges for law enforcement officials, who say billions of dollars insuspicious money move through shell companies each year. “It can be very, very difficult topenetrate who is the beneficial owner of these shell companies,” said Leslie R. Caldwell, chiefof the Justice Department’s criminal division.
這種不透明性對執(zhí)法人員提出了挑戰(zhàn)。美國司法部透露，每年通過本土空殼公司轉(zhuǎn)移的可疑資金數(shù)以億計。“非常、非常難以摸查到究竟誰是這些空殼公司的權(quán)益擁有人，”司法部刑事領(lǐng)域負責人萊斯莉·R·考德威爾(LeslieR. Caldwell)說。
She said that the department’s Kleptocracy Initiative has found that foreign officials often useshell companies or immediate family members to move large amounts of money to UnitedStates real estate.
她還表示，該部門的“反高層盜用國有資源項目”(Kleptocracy Initiative)經(jīng)常發(fā)現(xiàn)，外國官員往往通過空殼公司或直系親屬，將大量資金投入美國的房地產(chǎn)行業(yè)。
In 2010, a Senate committee investigating corrupt money moving into the country drewattention to a shell company used by the sister of the president of Gabon to buy a $2 millionresidence in Manhattan, and to an L.L.C. used by the son of the president of Equatorial Guineato purchase a $30 million home in Malibu, Calif.
2010年，參議院一個負責調(diào)查流入美國的貪腐款項的委員會披露，加蓬總統(tǒng)的姊妹利用一家空殼公司在曼哈頓購買了一處價值200萬美元的居所，而赤道幾內(nèi)亞總統(tǒng)的兒子利用一家有限責任公司在加利福尼亞州馬里布購買了一處價值3000萬美元的房產(chǎn)。
The proliferation of shell companies incorporated in the United States has hurt Washington’sattempt to get other countries to crack down on Americans who move money offshore toavoid taxes.
美國政府試圖讓其他國家打擊那些為了避稅而把錢轉(zhuǎn)移到海外的美國人。然而，在美國注冊的空殼公司泛濫，削弱了華盛頓的這種努力。
“We are in a totally inconsistent position,” said Carl Levin, a Michigan Democrat who pushed fortransparency in shell companies when he served in the Senate. “We’re way behind in terms ofkeeping up with what the international standard is, and it weakens our argument when we go totry to crack down the use of these offshore tax havens.”
“我們秉持的立場完全不統(tǒng)一，”曾在參議院推動空殼公司透明化的密歇根州民主黨人卡爾·萊文(Carl Levin)說。“在緊跟國際標準上，我們遠遠落在后面。當我們試圖打擊美國人利用這些離岸避稅天堂的活動時，這令我們的立場遭到削弱。”
About a year ago, after the Group of 8 industrialized nations issued goals requiringidentification of shell company owners, a British representative met with Justice Departmentofficials to complain about the United States’ failure to comply.
大約一年前，工業(yè)化國家組成的八國集團發(fā)布了要求明確空殼公司所有者的目標。之后，一名英國代表特意與美國司法部官員會面，抱怨美國沒有遵循這些要求。
According to two people at the meeting, the British representative, Dominic Martin, delivered astern message: The lax American laws were being used by other countries as an excuse forinaction.
兩名與會者表示，英國代表多米尼克·馬丁(Dominic Martin)傳達了一條嚴厲的訊息：美國寬松的法律正在被其他國家用作不采取行動的借口。
Such a message resonates with Justice Department officials who have advocated tightening therules.
主張收緊規(guī)則的司法部官員也有同樣的看法。
“For a long time we’ve taken the view that you have to focus on the people that manage thegateway to the financial system, and those guys are not only the banks,” said Stefan Cassella, aJustice Department lawyer. “Bad guys who are trying to invest money in the financial system —they use lawyers, they use accountants, they use real estate, they use jewelers and privatejets.”
“很長一段時間以來，我們都以為，必須把側(cè)重點放在管理金融系統(tǒng)門戶的那些人身上，但這不僅僅包括銀行，”曾在司法部政策辦公室任律師的斯特凡·卡斯拉(Stefan Cassella)說。該部門當時在謀求讓《愛國者法案》采納涵蓋面更廣的金融規(guī)則。“壞人試圖將資金投入到美國金融體系中——他們會聘請律師和會計師，會利用房地產(chǎn)、珠寶和私人飛機。”
Transactions amid Investigations
調(diào)查正進行，交易仍如常
Just two months after the collapse of the Ponzi scheme run by Bernard L. Madoff in 2008,another Ponzi schemer was arrested: James Nicholson, whose Time Warner condominium wasfrozen. Mr. Nicholson’s $8.5 million unit would become the only one in the complex to be seizedand sold off by law enforcement officials, even though other owners have been accused ofwrongdoing. The difference is that Mr. Nicholson is an American citizen.
2008年，伯納德·L·麥道夫(Bernard L. Madoff)的龐氏騙局崩塌短短兩個月后，另一個龐氏騙局的主腦詹姆斯·尼科爾森(James Nicholson)遭到了逮捕，其位于時代華納中心第52層的公寓也被查封。尼科爾森的這套公寓價值850萬美元。它成為了樓中唯一一所遭執(zhí)法官員收繳和拋售的公寓，雖然也有其他業(yè)主被指控從事了不法行為。所不同的是，尼科爾森為美國公民。
Foreigners who buy real estate in the United States often have an easier time keeping it out ofthe reach of investigators, victims and plaintiffs back home.
在美國購置房產(chǎn)的外國人，往往更容易避開本國的調(diào)查機構(gòu)、受害者和原告對這些房產(chǎn)的追討。
Take the case of Pablo Ardila, a former provincial governor in Colombia known for huntingtrophies and lavish spending. Mr. Ardila acknowledged to The Times in 2004 that he and hisparents had set up a shell company to buy a $4 million condo in the building. In 2007, while hewas in office, Mr. Ardila was arrested and immediately jailed by local officials on charges ofenriching himself illicitly.
巴勃羅·阿迪拉(Pablo Ardila)就是一個這樣的例子。他曾是哥倫比亞的一名省長，出了名地喜歡戰(zhàn)利品狩獵和奢侈消費。阿迪拉本人在2004年向時報承認，為了購買這棟大樓中一所售價400萬美元的公寓，他和父母成立了一家空殼公司。2007年，當他還在任上時，哥倫比亞官員指控他中飽私囊，將其逮捕并隨即監(jiān)禁起來。
While Mr. Ardila was behind bars, the shell company sold the condo, making a $2 million profit.By then, the forwarding address on property records was no longer in Colombia, but went toa Jhon Ballesteros, in Weston, Fla. John Burger, a real estate agent who represented the seller,said recently that he did not know Mr. Ardila was involved.
當阿迪拉身陷囹圄時，這家空殼公司出售了這所公寓，賺取了200萬美元的利潤。到了此時，房產(chǎn)記錄里登記的轉(zhuǎn)發(fā)地址已經(jīng)不再位于哥倫比亞，而是指向了佛羅里達州韋斯頓的霍內(nèi)·巴列斯特羅斯(Jhon Ballesteros)。代表賣家的房地產(chǎn)經(jīng)紀人約翰·伯格(John Burger)在接受采訪時說，他甚至都不知道阿迪拉牽涉其中。
An extensive Colombian government analysis of Mr. Ardila’s holdings filed in court failed tounearth the Time Warner condo.
哥倫比亞政府向法庭提交了一份報告，對阿迪拉持有的資產(chǎn)進行了詳盡的分析，但未能挖掘出這套位于時代華納中心的公寓。
Despite international agreements, the authorities in smaller countries have difficulty recoveringassets from abroad. “Judges in Colombia have been struggling a lot to get this money back toColombia,” said Elisabeth Ungar Bleier, executive director of the Colombia branch ofTransparency International, an anticorruption nonprofit.
盡管存在國際合作協(xié)議，但小國政府卻難以從境外追回資產(chǎn)。“哥倫比亞的法官非常努力地想把這筆錢追回，”伊麗莎白·溫加爾·布萊爾(Elisabeth Ungar Bleier)說。她是倡導(dǎo)反腐的非營利組織透明國際(Transparency International)哥倫比亞分部的執(zhí)行總監(jiān)。
Mr. Ardila was released from jail after two years and nine months without having beenconvicted. However, Arnulfo Mendez Castro, a spokesman for Colombian prosecutors, said Mr.Ardila was still under investigation.
在看守所待了兩年零九個月后，阿迪拉獲得釋放，并未定罪。然而，哥倫比亞檢察部門發(fā)言人阿努爾福·門德斯·卡斯特羅(Arnulfo Mendez Castro)表示，阿迪拉仍在接受調(diào)查。
Mr. Ardila’s lawyer, Mauricio Cristancho, said his client was the victim of “an absurdprosecution.” Despite what Mr. Ardila had told The Times about the condo, the lawyer said, theunit belonged to Mr. Ardila’s father, a wealthy businessman. He said Mr. Ballesteros, who didnot reply to inquiries, was an assistant to the family.
關(guān)于這所公寓，不管阿迪拉對時報的說法如何，他的律師毛里齊奧·克里斯坦喬(Mauricio Cristancho)表示，公寓屬于阿迪拉的富商父親。他說，阿迪拉是“一起荒謬訴訟”的受害人，而巴列斯特羅斯是阿迪拉家族的一名助理。巴列斯特羅斯未回應(yīng)詢問。
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