Dear Valued Business Partner:
尊敬的业务合作伙伴：
At ZTE, we understand that export compliance benefits both our company and our business partners. This update describes some of our efforts in Q4 2019 to ensure export control compliance, to prevent future problems and to maintain strong relationships with our business partners.
中兴通讯了解出口合规能够让我们和我们的业务合作伙伴达到双赢。本篇通讯稿介绍了我们在2019年第四季度为确保出口管制合规、防患风险以及为维护与业务合作伙伴稳固关系而作出的努力。
●2019 ZTE Multinational Enterprise Trade Compliance Forum: ZTE hosted the first ZTE Multinational Enterprise Trade Compliance Forum in Shenzhen in November 2019. Guests from ZTE, industry associations, industry-renowned law firms, and multinational companies were invited to discuss and exchange views on the compliance management in the global trade operation of multinational enterprises and controlling international operation risks in the new era. Sessions included "Compliance Organizational Structure and Local Compliance of Transnational Enterprises", "Compliance Culture Cultivation", “Reexports, License Exceptions and Licensing”, “Export Compliance Training and Reaching Different Audiences within the Corporation”, and several other important topics. Chief Operating Officer ("COO") of ZTE Xie Junshi and Chief Legal Officer ("CLO") of ZTE Shen Nan shared with the guests ZTE executives' views on the importance of the trade compliance culture. During the Forum, Chief Export Compliance Officer ("CECO") of ZTE Lawrence Koh and several experts in the Export Control Compliance field of his team shared the theme of ZTE's understanding and achievements in Export Control Compliance. The Forum received enthusiastic feedback from the participants. At the Forum, ZTE demonstrated its achievements in developing an export compliance program and its steps in building export control compliance system.
2019中兴通讯跨国企业贸易合规论坛：2019年11月份，中兴通讯在深圳举办了中兴通讯首届跨国企业贸易合规论坛。本次论坛邀请了来自中兴通讯、行业协会、业界知名律所和跨国企业的嘉宾，共同就关于新时期跨国企业全球化经营及其中风险的合规管理进行了讨论和交流。论坛分享了包括如“跨国企业的合规组织架构及本地合规遵从”、“合规文化培育”、“再出口，许可例外和许可”、“面向公司不同员工实施的出口合规培训”在内的许多重要议题。中兴通讯的首席运营官（“COO”）谢峻石先生和首席法务官（“CLO”）申楠先生作为发言嘉宾，向与会嘉宾分享了中兴通讯高层对于贸易合规文化重要性的见解。在专场交流中，中兴通讯首席出口管制合规官（“CECO”）许绍勤先生及其团队的多位出口管制合规领域专家就中兴通讯在出口管制合规方面的理解和成绩做了主题分享。本次论坛得到了与会人员的热烈反响。通过这次论坛的举办，中兴通讯向外界展示了在出口合规体系建设的成绩，也展示了中兴通讯在建设出口管制合规体系道路上的步伐。
●2020 ZTE Global Partners Conference: On November 7, 2019, ZTE held the Global Partners Conference 2020 with the theme of "5G Era, Creating the Future" in Shenzhen. More than 200 strategic and core suppliers from around the world were invited. Chief Executive Officer (“CEO”) of ZTE Xu Ziyang, COO Mr. Xie Junshi, and CLO Mr. Shen Nan, and other senior managements attended the meeting and made speeches. In his opening speech, Mr. Xu Ziyang stressed once again the ZTE’s general requirements of adhering to compliance as the strategic cornerstone of enterprise development and embedding compliance work in every aspect of daily business. Mr. Shen Nan also introduced the current progress of ZTE's compliance system construction, including promoting investment in resources, improving compliance awareness, and coordinating between organizations, and strengthening tool development and compliance digital transformation at the same time. At the end of the speech, Mr. Shen Nan also expressed the company's willingness to continue to cultivate legal compliance brands in the future and build compliance with the partners..
2020年度中兴通讯全球合作伙伴大会：2019年11月7日，中兴通讯在深圳召开以“5G时代，共创未来”为主题的2020年度全球合作伙伴大会。大会邀请了中兴通讯来自全球200余家战略、核心供应商参加。包括中兴通讯总裁（“CEO”）徐子阳先生，中兴通讯首席运营官谢峻石先生，中兴通讯首席法务官申楠先生等多位中兴通讯高管出席了会议并做了发言。徐子阳先生在开幕致辞中，再次强调了中兴通讯坚持把合规作为企业发展的战略基石，将合规工作嵌入到日常业务的每个环节的总体要求。申楠先生也对中兴通讯当前的合规体系建设进展做了重点介绍：包括从资源投入、合规意识提升、组织协同三个方面推进，同时加强工具开发与合规数字化转型。在致辞最后，申楠先生还表达了未来公司将持续培育法律合规品牌，与广大合作伙伴共建合规的意愿。
●Continuous in-depth Export Control Compliance training: ZTE Export Control Compliance training is continuing to expand in breadth and depth. Considering the Export Control Compliance training requirements of overseas local employees, some courses are available in multiple languages. At the same time, the content of training is also evolving to more position-related training, including online compliance awareness courses for functional areas. Currently, ZTE has also started planning for 2020 Export Compliance Training
持续深入出口管制合规培训：中兴通讯出口管制合规培训正持续向广度及深度发展。考虑到海外本地员工的出口管制合规培训需求，目前已有部分课件实现了多语言化。同时，培训的内容也在逐步提高与岗位的关联度，例如，目前就已经上线针对关键领域的线上合规意识课程。目前，中兴通讯也已经开始了2020年出口合规培训的规划。
●Continued Progress on SCEP: ZTE's subsidiary compliance enhancement plan ("SCEP") has completed the second phase plan including the on-site visit of the subsidiary, and the project has entered the third phase – the implementation of the enhancement action plan and the review of the implementation results. Currently, the SCEP checklist for 2019 is being reviewed. It is expected that the checklist will be completed by the end of the year, and such ZTE entities are scheduled to sign the Export Control Compliance Certificate before January 31, 2020. ZTE further strengthened and consolidated the implementation of Export Control Compliance in controlled subsidiaries/branches through the implementation of SCEP in 2019.
继续推进SCEP：中兴通讯的子公司合规提升计划（“SCEP”）已完成包括子公司现场访问在内的第二阶段规划，并进入第三阶段——执行提升行动计划和审查执行结果，目前正在对2019年SCEP检查清单进行审核。该动作预计年底完成。以上计划涉及的中兴实体规划于2020年1月31日之前签署出口管制合规证明书。通过2019年SCEP的实施进一步加强和巩固了出口管制合规在控股、控制子公司/分支机构的落地执行。
●Obligations under the Agreements with the US Government: ZTE continues to fully cooperate with the Special Compliance Coordinator (“SCC”), Roscoe Howard Jr., and the Monitor, James M. Stanton, who have been appointed by the US government under its agreements. The suggestions made by the SCC team and the Monitor team will support the Company to strengthen its Export Compliance Program and further improve the Company's Export Control Compliance system..
与美国政府协议下的义务：中兴通讯将继续完全配合与美国政府协议下指定的特别合规协调员（”SCC”）Roscoe Howard Jr. 和监察官James M. Stanton的工作。 SCC团队和监察官团队提出的建议，将会支撑公司强化其出口合规项目，并进一步完善公司的出口管制合规体系。
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ZTE thanks our business partners for their continued support. If you have questions, please do not hesitate to contact ZTE by your point of contact.
中兴通讯感谢各位业务合作伙伴给予一贯的支持。如您有任何疑问，请随时与您的中兴通讯接口人联系。
Lawrence Koh
许绍勤
Chief Export Control Compliance Officer
首席出口管制合规官
ZTE Corporation
中兴通讯股份有限公司
Lawrence.koh@zte.com.cn
+65 84999511 (Singapore/新加坡)
+86 18588454350 (China/中国)
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