制裁相關的盡職調查的重要性

來源:北英保賠協會

 

對新業務進行充分盡職調查以確保遵守相關制裁規定是船東的責任。

 

對于合規調查,北英協會提供良好的、穩健的、充分的指導意見。

 

會員有責任進行充分的盡職調查以盡可能降低因疏忽而違反制裁規定的風險。會員需了解所適用的不同的制裁方案,以及其他各方(包括保險人)也可能屬于額外制裁項目管轄范圍的情況。

 

正如常規性的制裁案件一樣,有必要從兩個部分進行分析。首先應該對計劃實施的活動進行調查,對于我們的會員,通常是指所運輸的貨物,其次是對涉及交易的各方進行評估。

 

每個公司和個人都有義務了解相關法律并通過核查可用信息實施盡職調查確保正在運輸的貨物、及與之交易的個人/公司受制裁;確保交易行為未其他方面禁止,不構成制裁活動

 

很難確定盡職調查需要達到何種詳盡程度,部分原因取決于當事方應遵守何種制裁項目。

 

就確定某一方是否在制裁名單上應采取的步驟而言,美國當局認為最起碼需要依據OFAC清單進行排查,當然僅對OFAC清單進行排查不總是足夠的。如果希望需要獲得歐盟和OFAC制裁清單,請點擊協會官網制裁頁面內鏈接。

 

制裁調查面臨的最大挑戰之一就是,即便一個公司沒有被明確地列入制裁名單,我們需要采取哪些步驟(如果需要)以確定該公司是否由被制裁個人/實體所擁有或控制。沒有一個簡單的答案可以回復這個問題,但協會建議適宜的解決方案應該基于風險角度出發。制裁合規政策也可以用來記錄某些項目內容,如為確保符合制裁規定所采取的措施、如何對制裁合規進行監控、指定制裁合規負責人、員工培訓、以及不同情況下盡職調查的執行程度。

 

對潛在合作方進行額外的盡職調查包括進行企業調查、聘請外部律師以及由從風險管理供應商處獲得報告信息等。還也可以購買軟件對個人和公司的受制裁情況進行核查并對其動態進行監控。會員們還應認識到,不僅僅合作方可能受到制裁限制。在航次執行期間與船舶或船東接觸的其他各方,如港口代理人、租家、燃油供應商以及港口當局,都有可能受到制裁限制。

 

It is a shipowner’s responsibility to carry out sufficient due diligence checks on new business to ensure compliance with sanctions.

 

North provides guidance on what constitutes a good, robust and sufficient compliance program.

 

It is a Member’s responsibility to carry out sufficient due diligence checks to minimise the risks of an inadvertent sanctions violation. Members should be aware of the different sanctions programs which may apply, and also that other parties (including insurers) may fall within the jurisdiction of additional sanctions programs.

 

As is often the case in sanctions matters, it can be helpful to break an analysis into two parts. Firstly, there should be an investigation into the activity being contemplated which, for our Members will often be the cargo to be carried, and secondly an evaluation of the parties involved in the transaction.

 

The onus is on every company and individual to know the law and to conduct due diligence by checking the available information to ensure that the cargo being carried and the individuals/companies being traded with are not sanctioned, that the transaction is not otherwise prohibited, and that it would not constitute sanctionable activity.

 

It is very difficult to identify the extent of due diligence that is required, not least because it would depend upon the specific sanctions program with which the party is seeking to comply.

 

In terms of the steps required to establish whether a party is on a sanctions list, there is an expectation from the US authorities that the OFAC lists will be searched as a minimum, although that will not always be sufficient. The EU and OFAC lists can be searched using the links on our sanctions regimes page.

 

One of the biggest challenges in any sanctions check is to decide what steps, if any, should be taken to ensure that a company is not owned or controlled by a designated person and thus deemed to be sanctioned themselves, even when they do not appear expressly on the lists. There is no easy answer to this but it is suggested that a risk based approach may be appropriate. Sanctions compliance policies can also be used to record such items as the steps that will be taken to ensure that sanctions are complied with, how compliance is monitored, who has responsibility for ensuring sanctions compliance, the training to be provided to employees, and the different levels of due diligence to be completed in different situations.

 

Additional due diligence on prospective partners can include conducting corporate searches, appointing external lawyers to assist and obtaining reports from risk management providers. It is also possible to purchase software to check the sanctions status of individuals and companies and to monitor any changes. Members should also be aware that it is not only partners who may be subject to sanctions. Other parties with which the ship or shipowner may interact with during the voyage - such as port agents, charterers, bunker suppliers and port authorities – could also be sanctioned.

 

Author: Peter Scott

 

 



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