2023年第二季度OFAC公布的五起公司制裁违规案例解析

2023年第2季度OFAC公布了五起不同行业企业违反美国制裁的典型案例。这五起案例分别是：微软公司因向受制裁国家出口软件和服务受罚；BAT烟草公司与朝鲜公司合谋出口烟草产品受罚；Poloniex数字资产交易平台允许受制裁国家客户交易受罚；Murad化妆品公司秘密向伊朗出口化妆品受罚；瑞银拉脱维亚分行处理来自克里米亚的违规交易受罚。

以下是汇总表格：

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Note：

1. See the Treasury–Commerce–Justice March 2023 Alert, “Cracking Down on Third-Party Intermediaries Used to Evade Russia-Related Sanctions and Export Controls” and FinCEN’s March 2022 Alert, “FinCEN Advises Increased Vigilance for Potential Russian Sanctions Evasion Attempts.”

2. OFAC designated KKBC in 2009, and FTB in 2013 and again in 2017. “Treasury Designates Financial Institution Tied to North Korea’s WMD Proliferation,” U.S. Department of the Treasury, August 11, 2009; “Treasury Sanctions Bank and Official Linked to North Korean Weapons of Mass Destruction Programs,” U.S. Department of the Treasury, March 11, 2013; and “Treasury Sanctions Banks and Representatives Linked to North Korean Financial Networks,” U.S. Department of the Treasury, September 26, 2017.

3. See the Sanctions Compliance Guidance for the Virtual Currency Industry

4. In July 2015, OFAC published an advisory on the “Obfuscation of Critical Information in Financial and Trade Transactions Involving the Crimea Region of Ukraine,” which discussed the evasive practices used to circumvent or evade OFAC’s sanctions, including “the omission or obfuscation of references to Crimea and locations within Crimea in documentation underlying transactions involving U.S. persons or the United States.” More recently, following Russia's escalated its conflict with Ukraine in 2022, the U.S. Department of the Treasury has highlighted the use of similar deceptive tactics to evade sanctions, such as in the Multilateral Russian Elites, Proxies, and Oligarchs (REPO) Task Force’s “Global Advisory on Russian Sanctions Evasion”, published March 9, 2023.