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OFAC常见问题之乌克兰/俄罗斯相关制裁 （13662号总统令下的行业制裁）（5） 译者：国结中心 谭家成 邹来祥 原文(摘自https://www.)： 395. Do Directives 1, 2, and 3 prohibitU.S. persons from dealing in or processing transactions under a letter ofcredit that was issued on or after the sanctions effective date and thatcarries a term of longer than 30 days maturity (for Directives 1 and 3) or 90days maturity (for Directive 2) when the beneficiary or the issuing bank ofthat letter of credit is one of the entities identified as subject to theDirectives? U.S. persons may deal in (including act asthe advising or confirming bank or as the applicant (i.e., the purchaser of theunderlying goods or services)) or process transactions under a letter of creditin which an entity subject to Directive 1, 2, or 3 is the beneficiary (i.e.,the exporter or seller of the underlying goods or services) because the subjectletter of credit does not represent an extension of credit to the SSI entity.U.S. persons may deal in (including act as the advising or confirming bank oras the applicant or beneficiary) or process transactions under a letter of creditwhere the issuing bank is an SSI entity provided that the terms of all paymentobligations under the letter of credit conform with the debt prohibitions underthe applicable Directives. For example, a U.S. bank acting as the negotiatingbank for a letter of credit issued by an SSI entity subject to Directive 1should ensure that it receives reimbursement from the SSI entity within theallowable 30-day debt limit. U.S. persons may not deal in (including actas the advising or confirming bank or as the beneficiary) or processtransactions under a letter of credit if all of the following three conditionsare met: (1) the letter of credit was issued on or after the sanctionseffective date, (2) the letter of credit carries a term of longer than 30 daysmaturity (for persons subject to Directives 1 and 3) or 90 days maturity (forpersons subject to Directive 2), and (3) an SSI entity is the applicant of theletter of credit. This would constitute prohibited activity because the subjectletter of credit would represent an extension of credit to the SSI entity.[5-7-2015] 译文： 395.当信用证的受益人或开证行是指令1、2、3名单内的实体，同时该信用证是在制裁生效当日或之后开立的且付款期限超过30天（针对指令1、3）或者超过90天（针对指令2）时，指令1、2、3是否禁止美国人（包括自然人和法人,以下均称美国人）参与或处理该信用证项下的交易？ 当信用证的受益人（即基础货物或服务的出口方或卖方）是指令1、2、3名单内的实体时，美国人可以参与（包括作为通知行、保兑行或申请人（即基础货物或服务的买方）行事）或处理该信用证下的交易，因为该信用证不构成对SSI实体的信用展期。当信用证的开证行是SSI实体时，只要信用证下所有付款责任的期限不违反所适用指令的债务禁止要求，美国人可以参与（包括作为通知行、保兑行、申请人或受益人行事）或处理该信用证项下的交易。例如，指令1名单内SSI实体作为开证行的信用证项下，由一家美国银行作为议付行进行议付时应确保其能在允许的30天债务期限内收到SSI实体的偿付。当信用证同时满足以下三个条件时，美国人不能参与（包括作为通知行、保兑行或受益人行事）或处理该信用证项下的交易：1、信用证于制裁生效当日或之后开立；2、信用证的付款期限超过30天（针对指令1、3名单内的个人或实体）或者超过90天（针对指令2名单内的个人或实体）；3、SSI实体作为该笔信用证的申请人。这种行为是被禁止的，因为该信用证将会构成对SSI实体的信用展期。（2015年5月7日） 396. How do I know when a name has beenadded, changed, or removed on the Sectoral Sanctions Identifications (SSI)List? The SSI List available on OFAC's website is the latest versionof the list and contains the most updated information on entities determined tobe subject to one or more of the Directives. OFAC also maintains 'changesfiles' that record all significant changes to the SSI List. Any addition,alteration, or removal of an SSI record is considered a significant change andwill appear in these files along with the date that such an action occurred.These files are offered in two formats and are called SSINEW14.PDFand SSINEW14.TXT. The changes files are produced by year, thusfuture file names will be SSINEW15.PDF and SSINEW15.TXT and so on. [9-12-2014] 译文： 396.当行业制裁识别（SSI）名单增加、修改或删除个人或实体名字时，我如何知晓？ OFAC网站上的行业制裁识别名单是最新的版本。其包含了涉及一个或多个指令名单内实体的最新信息。OFAC也会维护记录所有SSI名单重要变更的“变更文件”。SSI记录的任何增加，修改或删除都会被认为是一个重要变更，都会连同变更日期一起记录在变更文件中。网站提供两种格式的变更文件，分别为SSINEW14.PDF和SSINEW14.TXT。这些文件每年更新，也就是说下一次的文件名会叫做SSINEW15.PDF和SSINEW15.TXT，以此类推。（2014年9月12日） 404. Is the term 'new equity' inDirective 1 limited to equity that is issued by an SSI entity after thesanctions effective date or would equity purchased or acquired by an SSI entityfrom a third party after the sanctions effective date be considered new equity? The equity prohibitions in Directive 1pertain to equity issued,directly or indirectly, by an SSI entity on or afterthe sanctions effective date. Directive 1 does not prohibit U.S. persons fromdealing with an SSI entity as counterparty to transactions involving equityissued by a non-sanctioned party. [9-12-2014] 译文： 404. 指令1中的“新权益”是否仅限于由一个SSI实体在制裁生效日之后发行的权益？SSI 实体在制裁生效日之后从第三方购买或获取的权益是否也被认为是新权益? 指令1对权益的禁止适用于SSI实体在制裁生效日当天或之后直接或间接发行的权益。指令1并没有禁止美国人参与交易对手为SSI实体的有关非制裁方权益的交易。（2014年9月12日） （本文为作者原创翻译，转载请注明来源及作者。） |
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