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405. Does the prohibition on “otherwise dealing in new debt” of longer than 30 days maturity (for persons subject to Directives 1 and 3) or 90 days (for persons subject to Directive 2) of SSI entities, their property, or their interests in property prohibit dealing in debt with maturity that exceeds the applicable authorized tenor in which the SSI entity is not directly or indirectly the borrower? Directives 1 and 3 prohibit U.S. persons from dealing in debt of longer than 30 days maturity and Directive 2 prohibits U.S. persons from dealing in debt of longer than 90 days maturity issued on or after the sanctions effective date in cases where the new debt is issued by an SSI entity subject to these Directives. Directives 1, 2, and 3 do not prohibit U.S. persons from dealing with an SSI entity as counterparty to transactions involving debt issued on or after the sanctions effective date by a non-sanctioned party. For example, U.S. persons are not prohibited from dealing in a loan exceeding the applicable authorized tenor that is issued after the sanctions effective date of sanctions provided by an SSI entity to a non-sanctioned third-party, dealing with an SSI entity who is the underwriter on new debt of a non-sanctioned third party exceeding the applicable authorized tenor, or accepting payment under a letter of credit with terms exceeding the applicable authorized tenor that is issued, advised, or confirmed by an SSI entity, so long as the SSI entity is not the borrower. [9-12-2014] 405.根据禁止为行业制裁识别名单内的实体（下称SSI实体）及其财产和财产利益处理期限超过30天（针对指令1和指令3名单内的个人或实体）或者期限超过90天（针对指令2名单内的个人或实体）新债务的规定，如果SSI实体不是直接的借款人，那么超过授权允许期限的债务是否被禁止处理？ 指令1和指令3禁止美国人（包括个人和实体，以下皆称美国人）在制裁生效日及以后为所涉及的制裁实体处理期限超过30天的债务,而指令2禁止美国人在制裁生效日及以后为所涉及的制裁实体处理期限超过90天的债务。指令1、2、3没有禁止美国人在制裁生效日之后，处理涉及交易对手为SSI实体且由非制裁实体发行的债务。比如，只要SSI实体不是借款人，美国人没有被禁止：在制裁生效日及以后，处理由SSI实体提供给不受制裁的第三方超过授权期限的贷款；当SSI实体为不受制裁第三方超过授权期限的新债务担任承销商时，与该SSI实体做交易；或者当SSI实体开立、通知、保兑超过授权期限的信用证时，接受该信用证下的付款。[2014年9月12日] 406. Does the prohibition on dealing in new equity of entities subject to Directive 1 apply to transactions in which those entities are not the issuer of the equity? U.S. persons are not prohibited from dealing in new equity with an entity subject to Directive 1 if the entity is not the issuer of the equity. For instance, U.S. persons are not prohibited from transacting with an entity subject to Directive 1 in support of new equity where the entity subject to Directive 1 is the underwriter of the equity and not the issuer. [8-27-2014] 406.禁止处理指令1名单内实体新权益的规定，是否适用于名单内实体非权益发行方的交易？ 如果指令1名单内实体不是权益发行方，美国人没有被禁止与该实体处理该新权益。比如，当指令1名单内的实体是新权益的承销商而不是发行方，则美国人没有被禁止与该实体做交易。[2014年8月27日] 原文 407. May a U.S. person consent to a replacement of its participation by a non-U.S. person in a long-term loan facility that was extended to a person subject to Directives 1, 2, or 3 prior to the sanctions effective date? A U.S. person is not prohibited by Directives 1, 2, or 3 from engaging in transactions necessary to exit or replace its participation in a long-term loan facility that was extended to an SSI entity prior to the sanctions effective date. This would not constitute dealing in new debt. U.S. persons involved in such facilities should ensure that all newly negotiated drawdowns or disbursements from the facility utilize repayment terms that are not prohibited by the applicable sanctions effective date. See FAQ 394 for additional information on what constitutes a permitted drawdown or disbursement from an existing long-term loan obligation. [9-12-2014] 407.制裁生效日前，美国人是否可以准许由非美国人代其参与为指令1、2、3名单内实体提供长期贷款的授信？ 指令1、2、3没有禁止美国人在制裁生效日前，进行必要的交易，使其退出或者由他人代为参与为SSI实体提供长期贷款的授信。这不构成对新债务的处理。参与上述授信的美国人应确保所有新议定的从授信中的提用和支款，其还款期限在适用的制裁生效日前不被禁止。关于如何合法地从长期贷款义务中提用和支款的其他信息，可以参考常见问题第394条。[2014年9月12日] 感谢您对我们的支持，期待您的投稿与建议！ |
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