INSIGHT: Russia Sanctions 俄罗斯制裁



来源:The Skuld P&I Club @2018.06.06


The European Union and United States have adopted sanctions as a central part of their response to the political crisis in Ukraine. Members and assured with vessels calling at ports in Ukraine should ensure that no sanctioned individuals or entities are involved. The lists of parties sanctioned by the EU and US have been steadily expanding and it is essential to check the latest lists (see Links).



The US authorities adopt the approach that designations extend to any entity owned or controlled by designated persons. Similarly, EU Regulations apply to funds and resources "controlled by" listed persons and prohibit making funds available to such persons "directly or indirectly".



Members and assureds should also pay attention to the restrictions on the import into the EU of goods originating in Crimea or Sevastopol. In addition sectoral sanctions have been introduced targeting inter alia the energy sector with restrictions affecting the supply of certain services relating to oil exploration and production.

会员和被保险人还应注意欧盟对于原产地为克里米亚或塞瓦斯托波尔的货物的进口限制。 此外,针对行业/经济部门的制裁措施也被引入,尤其是对那些可能影响石油勘探和生产的能源领域提供服务进行了限制。


In view of the increasingly tense political climate, it is likely that sanctions will continue to be extended and the situation remains fluid.



Insurance Cover 保险承保

The Association's Rules contain a standard exclusion for liability for liabilities, costs or expenses where payment by the Association or the provision of cover may expose the Association to the risk of being subject to a sanction, prohibition or any adverse action (Rule 30.4.6). Liability is also excluded when there is a shortfall due to an inability to recover reinsurance or pool contributions from other insurers or P&I Clubs which are themselves unable to pay due to sanctions legislation (Rule 32.6). The Association is also able to terminate cover where a Member has exposed or may expose the Association to the risk of being or becoming subject to a sanction, prohibition, restriction or other adverse action by a state or international organisation or competent authority (Rule 3.3.2a). Similar provisions exist in the Terms & Conditions for non-mutual covers.

协会条款包含标准责任除外条款(条款30.4.6),即如果协会因支付某款项或提供承保而被认定为任何敌对行为,或使协会面临制裁或禁令的风险,则协会对与此相关的任何责任、费用或开销不予以承保。 如果由于制裁法规的原因而无法从再保险或从其他保险人或保赔协会的共保分摊费用中获得赔付,最终造成赔付不足,该不足部分的赔偿责任也属于除外责任(条款32.6)。另外,如果会员已经或可能使协会面临被某国家或某国际组织或某主管当局执行或即将执行的制裁、禁止、限制或其他不利行为所限制的风险,协会将有权终止保单(规则3.3.2a)。非互保性质保单也有类似条款规定。


As noted above, the EU restrictions on import of goods originating in Crimea and Sevastopol include a prohibition on insurance and reinsurance. Accordingly importing such goods in contravention of these restrictions may trigger the insurance exclusion.

如上所述,欧盟对源自克里米亚和塞瓦斯托波尔的货物进口的限制包括禁止提供保险和再保险服务。 因此,在违反这些限制的情况下进口此类货物可能会引发保险的排除责任。


US 美国

On 2 August 2017 President Trump signed into law the "Countering America's Adversaries Through Sanctions Act" (CAATSA).



The Act expands and codifies sanctions against Russia:



l Opens up for designations for entities and persons operating in (or providing support to) certain sectors of Russian economy: railway, financial services, mining, energy, metals, defence and related material;



l Reduces tenors for transactions listed under Directive 1 E.O. 13622 (equity and debt financing of certain Russian financial institutions) from 30 to 14 days and under Directive 2 (debt financing of certain Russian oil and gas companies) from 90 to 60 days respectively;

l  将指令1 E.O. 13622指定的实体(俄罗斯某些金融机构的股权和债务融资)的债务期限从30天缩短至14天;将指令2指定的实体(俄罗斯某些石油和天然气公司的债务融资)的债务期限从90天缩短至60天。


l Projects named in Directive 4 (under E.O. 13622), namely supply of goods and services (except for financial) in support of exploration or production of deepwater, Arctic offshore or shale projects that have potential to produce oil are now prohibited also for "persons within the US" and not only on the territory of Russian Federation but worldwide. Furthermore, restrictions apply not only to persons designated under this Directive but also where such persons have interest of at least 33 percent;

l 禁止指令4 (E.O. 13622)中所列项目,即为有可能生产出石油的深海、北极近海或页岩油项目的勘探或生产而提供货物和服务(财务除外)支持的项目;此禁令不仅仅适用在美国境内或是俄罗斯联邦内的美国人,而是适用于世界范围的美国人。此外,这些限制适用于指令4指定人员和实体,同时也适用在此类项目拥有33%以上权益的人员和实体。


l Opens up for sanctions against persons who have made an investment in Russia's energy export pipelines (of USD1 million or aggregate value of USD5 million during a 12 month period);

l 开始对投资俄罗斯能源出口管道的行为体实施制裁(单笔交易价值超过100万美元或12个月内累计交易价值超过500万美元的);


l Authorises further sanctions related to cybersecurity, investments in crude oil projects, human rights abuses, defence/intelligence sectors and privatisation of Russian state-owned assets;

l 授权对涉及俄罗斯网络安全、原油项目投资、侵犯人权、国防/情报领域及俄罗斯国有资产私有化的领域采取进一步制裁;


l Instructs the President to impose sanctions on persons that provided Syria with weapons.



On 27 October 2017 the Department of State issued public guidance on the implementation of Section 231 of CAATSA accompanied by list of entities considered to be operating in Russia's defence or intelligence sectors. President may impose sanctions against individuals that engage in "significant" transactions with entities on this list. Additionally, OFAC published new FAQs related to CAATSA sections 223(a), 226, 228, and 233.

20171027日,美国国务院发布《CAATSA231条实施指南》 ,并附上被认为是俄罗斯国防或情报部门领域内营运的实体名单。总统可以对与该列表上的实体进行“重大”交易的个人实施制裁,美国财政部海外资产控制办公室( OFAC )发布了新版关于《以制裁反制美国敌人法案》CAATSA223(a)226228233的常见问题解答。


CAATSA also imposes substantial restriction on the President's ability to provide sanctions relief to Russia.



Specially Designated Nationals - SDN List  特别指定国民名单--SDN 名单

On 6 April 2018 OFAC designated 7 of Russia's oligarchs, 12 companies they own (incl. Eurosibenergo, Basic Element, Rusal, Russian Financial Corporation, etc.) and 17 senior Russian government officials. The full list can be found here. OFAC has also issued General License 12C, General License 13B, General License 14, General License 15 and General License 16, authorising certain transactions with the designated entities to allow for continued maintenance and wind down activities. OFAC also published new FAQs about these general licenses.

美国财政部海外资产控制办公室(OFAC)201846日将7名俄罗斯寡头及其拥有的12家公司(包括EurosibenergoBasic ElementRusalRussian Financial Corporation等)连同17位俄罗斯政府高级官员列入SDN名单。点击此处查看完整名单。考虑到需要进行持续性的维护以及逐渐停止此类活动,美国财政部海外资产控制办公室同时还签发13B号一般许可证、14号一般许可证、15号一般许可证以及16号一般许可证,对与受制裁实体的特定交易进行授权。OFAC同样发布关于一般许可证的新版FAQS


On 6 March 2014 the President signed Executive Order 13660 allowing to sanction any individual or entity responsible for or complicit in actions that undermine the democratic process or threaten the peace, security and stability of Ukraine. The full text of EO can be found here. This was expanded on 17 March 2014 and 20 March 2014 by Executive Orders 13661 & 13662 enabling the targeting of Russian entities and individuals, including both Russian and Crimean officials, individual businessmen, banks and commercial companies. These three EOs were subsequently implemented by Regulation (31 CFR part 589). In July 2015, OFAC designated five Crimean port operators and one sea ferry operator pursuant to Executive Order 13685. The seaports affected are at Kerch, Sevastopol, Feodosia, Evpatoria and Yalta. The US has extended its targeted sanctions against senior Russian officials, businessmen and state-owned companies until 6 March 2017. The White House's notice on the extension is here. The list of Specially Designated Nationals (SDN List) has steadily grown and the latest list can be found on US treasury website. More information on the designations can be found here and a link to the OFAC search facility is provided here.

201436日,美国总统签署第13660号行政命令,授权对破坏民主进程或威胁乌克兰和平、安全和稳定的任何负有责任或参与共谋的个人或实体进行制裁,点击链接查看行政命令全文。2014317日和2014320日发布的第1366113662号行政命令扩大了这一制裁范围,将包括俄罗斯和克里米亚官员、个体商户、银行以及商业公司在内的俄罗斯实体和个人列为制裁目标。上述三项行政命令随后由Regulation (31 CFR part 589)贯彻实施。20157月,根据第13685号行政命令规定,OFAC5名克里米亚港口经营人以及一名海上渡轮经营人列入制裁目标。受影响海港为KerchSevastopolFeodosiaEvpatoria以及Yalta



The US authorities adopt the approach that designations extend to any entity owned or controlled by designated persons. An entity which is not itself listed but is owned directly or indirectly by a blocked person with a 50% or more interest is considered as a blocked person. Caution is required when dealing with a non-blocked entity in which one or more blocked persons has a significant interest. For more information see US OFAC Guidance published on 13 August 2014.



Sectoral Sanctions - SSI List  行业制裁---SSI清单

In July 2014 limited "sectoral sanctions" were introduced against several banks (Gazprombank, Vneshtorgbank, Russian Agricultural Bank and Vnesheconomobank) and two energy companies (Rosneft and Novatek). Since then the list has continued to expand. These companies are not subject to an asset freeze but US persons are unable to enter into certain transactions with them. These companies appear on a new Sectoral Sanctions Identification List (SSI List) and are not in the SDN list. Russia's largest company - the United Shipbuilding Corporation has been added to the SDN list. US Treasury has issued FAQs on sectoral sanctions which can be found here.

20147月,针对几家银行(GazprombankVneshtorgbankRussian Agricultural BankVnesheconomobank)以及两家能源公司(RosneftNovatek)的有限性“经济制裁”被引入。此后,该名单上的受制裁对象数量继续增加。这些公司不受资产冻结的限制,但美国人或美国实体无法与其进行某些交易。这些公司出现在新的行业制裁识别清单上(SSI 清单),且不在SDN名单上。俄罗斯最大公司——联合造船公司(the United Shipbuilding Corporation)已被列入SDN名单。美国财政部已经发布关于行业制裁的FAQs,点击此处进行查询。


The category of prohibited transactions varies and it is necessary to check the SSI Listing to find out details by cross referencing to the applicable Directive under EO 13662. Certain types of financial services are commonly restricted. However some operators in the energy sector may be affected by Directive 4 (updated 31 October 2017) which contains restrictions on the provision by a US person or within the US of "goods, services (except for financial services), or technology in support of exploration or production for deepwater, Arctic offshore, or shale projects that have the potential to produce oil in the Russian Federation, or in maritime area claimed by the Russian Federation and extending from its territory, and that involve any person determined to be subject to this Directive, its property, or its interests in property". OFAC has also published new and updated FAQs relating to this Directive.

被禁交易的类别各不相同,有必要相互对照EO 13662中适用的指令来核对SSI清单以查明详细情况。某些类型的金融服务普遍受到限制。然而,能源行业某些运营商可能会受到第4号指令(于20171031日更新)的影响,该指令对禁止美国人或在美国境内提供以下:“商品、服务(金融服务除外)、或为勘探或开发深海、 北极外海、或在俄联邦的或在被俄联邦称宣称主权的水域及其上领土上具有潜在产油能力的页岩项目提供技术支持,以及涉及任何与本指引相关的人、其财产、或其财产利益的商品、服务(金融服务除外)以及技术支持”。OFAC还发布与该指令有关的新版更新FAQs


Restrictions on US corporations 对于美国企业的限制

In addition to prohibitions on transactions with named entities and individuals, there are general restrictions on US corporations and individuals conducting business with Crimea (see for example Executive Order dated 19 December 2014).



Cyber based sanctions 网络制裁

On 29 December 2016, President Obama imposed sanctions by Executive Order on Russian intelligence agencies, three companies and several individuals for alleged involvement in cyber activity affecting the US. These sanctions are unlikely to have an effect on international trade.



EU 欧盟

Restrictions on trading with or investment in Crimea or Sevastopol



On 23 June 2014 the European Union passed Council Decision 2014/386/CFSP and Council Regulation 692/2014 introducing new set of sanctions relating to Ukraine. Import of goods originating in Crimea or Sevastopol into the EU is prohibited, as well as financing, financial assistance or (re)insurance in relation to such imports.



On July 30 2014 an amendment to the 692/2014 regulation was passed in a new Council Regulation No. 825/2014 imposing ban on new investments related to infrastructure in the sectors of transport, telecommunications and energy and the exploitation of natural resources in Crimea and Sevastopol as well as export ban on key equipment and technology related to these sectors. These restrictions were extended on 19 December 2014 by Regulation 1351/2014 which also included a ban on cruise vessels calling at ports in the Crimean Peninsula.



For further information see International Group circular published on 17 July 2014 and the supplementary circular dated 12 August 2014.

欲了解更多信息,请参IG 集团2014717日发布的通函以及2014812日发布的补充通函。


The EU has extended its sectoral sanctions against Russia until 31July 2017. In its statement the Council sums up the scope of sanctions imposed by Council Regulation 692/2014 and Council Decision 2014/386/CFSP.

欧盟已将针对俄罗斯的行业制裁期限延长至2017731日。 理事会在其声明中对理事会第692/2014号条例和理事会第2014/386/CFSP号决议规定的制裁范围进行总结。


Sectoral sanctions  行业制裁

On 1 August 2014, EU Regulation 833/2014 introduced a requirement for prior authorization was required for exporting dual use technology to the Russian oil sector, including floating or submersible drilling or production platforms, sea-going light vessels, fire-floats, floating cranes and other vessels, etc. (listed in Annex II of the Regulation). Prior authorisation was also required for any sale, supply, transfer or export of certain technologies which are "suited for the oil industry" and it is clear that licensing would not be given for technology to be used in "projects pertaining to deep water oil exploration and production, Arctic oil exploration and production, or shale oil projects in Russia". Activities under contracts made before 1 August 2014 were able to go ahead.



EU Regulation 960/2014 of 8 September 2014 amended Regulation 833/2014 and extended the restrictions for certain services associated with deep water oil exploration and production, arctic oil exploration and production, or shale oil projects. These Regulations were further amended, largely to provide clarification, on 4 December 2014 by Regulation 1290/2014.The prohibited services are (i) drilling, (ii) well testing, (iii) logging and completion services and (iv) the supply of specialised floating vessels. There is no provision for authorities to grant an export authorisation, although the measures do not apply to contracts concluded before 12 September 2014. The restrictions do not apply to services necessary for the urgent prevention or mitigation of an event likely to have a serious impact on human health and safety or the environment.

欧盟于201498日发布的第960/2014号条例修正了第833/2014号条例,并扩大了对与深水石油勘探和生产、北极石油勘探和生产或页岩油项目有关的某些服务的限制。2014124日,第1290/2014号条例对《条例》作了进一步修订,主要是为了澄清问题。这些禁止的服务是:() 钻井,() 试井,() 测井和完井服务,() 提供专门的浮动船舶。虽然这些措施不适用于2014912日之前签订的合同,但也没有规定允许当局进行出口授权。



EU Commission published Guidance on the application of certain provisions in Regulation 833/2014 on 16 December 2014.



Similar restrictions apply to other sectors including dual-use technology, arms and military equipment and access to the capital market for financial institutions



Designated individuals and entities  指定个人和实体

The EU first introduced measures freezing the funds and economic resources of designated persons in March 2014. Since then Council Regulation 269/2014 adopted on 17 March has been amended by a series of Council Regulations adding further individuals and entities to the list. Restrictions are in place against a large number of individuals and entities (including Crimea based companies involved in the gas and oil industries, Kerch and Sevastopol Commercial Sea Ports and several Russian largest banks). The EU extended sanctions until 15 September 2016 by Implementing Regulation 2016/353 amending Regulation 269/2014 and Decision 2016/359 amending Decision 2014/145/CFSP. See Links with information about where to find official lists provided by US, EU and UK.

欧盟最早于20143月采取措施冻结指定人员的资金和经济资源。此后,317日通过的理事会条例269/2014号已经通过一系列理事会条例进行了修订,并将更多个人和实体列入名单。 对大量个人和实体(包括位于克里米亚涉及石油天然气行业的公司、刻赤以及塞瓦斯托波尔商业海港、以及几家俄罗斯最大银行)实施限制措施。 欧盟通过实施第2016/353号条例(该条例修订了第269/2014号条例),和实施第2016/359号决定(该决定修订了第2014/145 / CFSP号决定),将制裁延长至2016915日。 请点击链接,查阅美国、欧盟和英国发布的官方名单。


On 14 September 2017 the EU issued Council Regulation 2017/1547 which allows to authorise payments to Crimean Sea Ports for certain services.



Norway 挪威

Although EU Regulations do not have direct effect in Norway, the Norwegian government has in general aligned itself with the EU.



On 15 August 2014 the Ministry of Foreign Affairs issued a Press Release announcing the introduction of restrictive measures against Russia in line with those already implemented by the EU, including Regulation 833/2014. The Regulation can be found here (FOR-2014-08-15-1076 Norwegian language only).



On April 17 2015, the Norwegian Foreign Ministry adopted changes to its Regulation on restrictive measures against Russia extending its scope and providing some clarifications in line with EU regulations.



Russia 俄罗斯

On 4 June 2018 President Putin signed law on new counter-measures including restrictions on the import into Russia of products and/or raw materials originating from the USA and other foreign states, and on the export from Russia of products to foreign citizens. The legislation gives President Putin the power to choose the sectors and products that will be affected, and to "ban or suspend co-operation with a hostile state". The Russian Government will define the list of products and raw materials which may be banned from being imported/exported, as well as other types of work/services the procurement of which may be banned or restricted.



On 30 July 2017 in response to CAATSA the President of Russia confirmed that staff at US diplomatic missions in Russia would have to be cut by 755 people and that Russia would seize two US diplomatic properties.



On 7 August 2014 Russia implemented an import ban on beef, pork, poultry, fruit, vegetables, fish, cheese, milk and dairy products. The ban applies to imports from the EU, US, Norway, Australia and Canada.



On May 29 2015 Russia issued a list of 89 European politicians and officials who are banned from entering the country. The list includes past and present European parliamentarians and ministers. The list was sent to all EU member states.



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