商务部工业与安全局和解案：软件公司向华为日本、深圳新思等清单客户供货更新 66项违规罚200万美元缓收
美国商务部工业与安全局（BIS）与马萨诸塞州光学软件公司Lambda Research达成和解：该公司在2021年至2025年间向受限制客户提供软件及软件更新，构成66项出口管制违规。BIS的和解罚金为200万美元，暂缓收取，条件是公司完成出口合规整改。
BIS指，Lambda的软件与更新流向三家客户：华为日本公司（Huawei Technologies Japan）与深圳新思科技有限公司（Shenzhen SiCarrier Technologies）——两者均在美国「实体清单」上，交易依法需要许可证，公司并未取得；第三家是位于广州的中山大学，该校在「未经核实清单」上，公司未按规定取得其声明文件。Lambda于2025年10月在内部调查后向BIS主动自我披露，BIS在和解中对此予以考虑。
和解条件包括：公司须在三个月内指定两名出口合规负责人员工并完成培训，九个月内完成对出口管制项目的内部审计并把报告提交BIS波士顿（Boston）外地办事处监督执行。此案再次显示，在出口管制口径下，自动推送的软件更新与实体货物一样构成「出口」，向清单实体供货前必须核查客户身份与许可要求。
Commerce's BIS Settles With Lambda Research: Software Updates to Huawei Japan and SiCarrier Broke Export Rules
The U.S. Department of Commerce's Bureau of Industry and Security (BIS) has settled with Lambda Research Corporation, a Massachusetts optical-software company whose software and software updates went to restricted customers between 2021 and 2025 in 66 export-control violations. BIS set a $2 million penalty but deferred collection on condition that the company completes specified export-compliance improvements.
According to BIS, Lambda's software and updates reached three customers: Huawei Technologies Japan and Shenzhen SiCarrier Technologies — both on the U.S. Entity List, so the transactions required licenses that were never obtained — and Sun Yat-sen University in Guangzhou, which is on the Unverified List and from which the company failed to obtain the required statement. Lambda voluntarily self-disclosed to BIS in October 2025 after its own internal investigation, which BIS credited in the settlement.
Under the terms, Lambda must designate two employees responsible for export compliance and train them within three months, and within nine months complete an internal audit of its export control program and submit the report to BIS's Boston Field Office, which will monitor the program. The case is a reminder that, under export-control law, an automatic software update counts as an export just like a physical shipment, and suppliers must screen customers against the restricted-party lists before delivery.
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图片来源：图：商务部总部赫伯特·C·胡佛大楼。摄影：Carol M. Highsmith，公共领域，来源：Wikimedia Commons / Photo: The Herbert C. Hoover Building, U.S. Department of Commerce headquarters. Credit: Carol M. Highsmith, public domain, via Wikimedia Commons
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