Episode 46 (“Third Time’s the Charm”) Show Notes OFAC Chinese Military Companies Sanction Pagehttps://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/chinese-military-companies-sanctionsExecutive Order 13959https://home.treasury.gov/system/files/126/13959.pdfExecutive Order 13974https://home.treasury.gov/system/files/126/13974.pdfExecutive Order 14032https://home.treasury.gov/system/files/126/14032.pdfNon-SDN Chinese Military Industrial Complex Companies (NS-CMIC) List Pagehttps://home.treasury.gov/policy-issues/financial-sanctions/consolidated-sanctions-list/ns-cmic-list

Episode 45 (“OFAC Gets an E for … Egregious?”) Show NotesOFAC Enforcement Guidelineshttps://home.treasury.gov/system/files/126/fr74_57593.pdfSAP SE Enforcement Actionhttps://home.treasury.gov/system/files/126/20210429_sap.pdfNordgas S.r.l. Enforcement Actionhttps://home.treasury.gov/system/files/126/20210326_nordgas.pdf

Episode 44 (“Everything but the Kitchen Sink”) Show NotesExecutive Order on Blocking Property with Respect to Specified Harmful Foreign Activities of the Government of the Russian Federation (unnumbered as of April 15, 2021)https://www.whitehouse.gov/briefing-room/presidential-actions/2021/04/15/executive-order-on-blocking-property-with-respect-to-specified-harmful-foreign-activities-of-the-government-of-the-russian-federation/Directive 1 Under Executive Order of April 15, 2021 Blocking Property with Respect to Specified Harmful Foreign Activities of the Government of the Russian Federationhttps://home.treasury.gov/system/files/126/sovereign_debt_prohibition_directive_1.pdfNew Frequently Asked Questionshttps://home.treasury.gov/policy-issues/financial-sanctions/faqs/886https://home.treasury.gov/policy-issues/financial-sanctions/faqs/887https://home.treasury.gov/policy-issues/financial-sanctions/faqs/888https://home.treasury.gov/policy-issues/financial-sanctions/faqs/889https://home.treasury.gov/policy-issues/financial-sanctions/faqs/890https://home.treasury.gov/policy-issues/financial-sanctions/faqs/891Updated Frequently Asked Questionshttps://home.treasury.gov/policy-issues/financial-sanctions/faqs/673https://home.treasury.gov/policy-issues/financial-sanctions/faqs/674https://home.treasury.gov/policy-issues/financial-sanctions/faqs/675https://home.treasury.gov/policy-issues/financial-sanctions/faqs/676Executive Order 13883 (CBW Act-related sanctions)https://home.treasury.gov/system/files/126/13883.pdfCBW Act Directivehttps://home.treasury.gov/system/files/126/fr84_48704.pdfExecutive Order 13661https://home.treasury.gov/system/files/126/ukraine_eo2.pdfEuropean Parliament report (“Energy as a tool of foreign policy of authoritarian states, in particular Russia”)https://www.europarl.europa.eu/RegData/etudes/STUD/2018/603868/EXPO_STU(2018)603868_EN.pdf

Episode 43 (“The Other Shoe Drops”) Show NotesNordgas OFAC Enforcement Actionhttps://home.treasury.gov/system/files/126/20210326_nordgas.pdfUniControl OFAC Enforcement Actionhttps://home.treasury.gov/system/files/126/20210315_uc.pdf

Episode 42 (“Out of Control”) Show NotesOFAC UniControl Enforcement Actionhttps://home.treasury.gov/system/files/126/20210315_uc.pdfOFAC Enforcement Guidelineshttps://home.treasury.gov/system/files/126/fr74_57593.pdfOFAC Apollo Aviation Enforcement Actionhttps://home.treasury.gov/system/files/126/20191107_apollo.pdfOFAC British Arab Commercial Bank Enforcement Actionhttps://home.treasury.gov/system/files/126/20190917_bacb.pdfOFAC Clearstream Banking Enforcement Actionhttps://home.treasury.gov/system/files/126/20140123_clearstream.pdf

Episode 41 (“Hold Your Friends Close...”) Show NotesTreasury Press Release of February 26, 2021https://home.treasury.gov/news/press-releases/jy0038State Department Press Release of February 26, 2021https://www.state.gov/accountability-for-the-murder-of-jamal-khashoggi/Immigration and Nationality Acthttps://www.uscis.gov/laws-and-policy/legislation/immigration-and-nationality-actDepartment of State, Foreign Operations, and Related Programs Appropriations Act, 2020https://www.govtrack.us/congress/bills/116/hr2839

Episode 40 (“Withholding Judgment”) Show NotesU.S Customs and Border Protection (CBP) Forced Labor Enforcement Fact Sheethttps://www.cbp.gov/sites/default/files/assets/documents/2016-Aug/Fact%20Sheet%20-%20Forced%20Labor%20Procedures.pdfCBP Withhold Release Orders and Findingshttps://www.cbp.gov/trade/programs-administration/forced-labor/withhold-release-orders-and-findings

Episode 39 (“A Bit Much?”) Show NotesBitPay, Inc, Enforcement Actionhttps://home.treasury.gov/system/files/126/20210218_bp.pdfOFAC Enforcement Guidelineshttps://home.treasury.gov/system/files/126/fr74_57593.pdfBitGo Enforcement Actionhttps://home.treasury.gov/system/files/126/20201230_bitgo.pdf

Episode 38 (“Last Minute Reprieve”) Show NotesExecutive Order 13959https://home.treasury.gov/system/files/126/13959.pdfFrequently Asked Question 857https://home.treasury.gov/policy-issues/financial-sanctions/faqs/857Frequently Asked Question 858https://home.treasury.gov/policy-issues/financial-sanctions/faqs/858Frequently Asked Question 859https://home.treasury.gov/policy-issues/financial-sanctions/faqs/859Frequently Asked Question 860https://home.treasury.gov/policy-issues/financial-sanctions/faqs/860Frequently Asked Question 864https://home.treasury.gov/policy-issues/financial-sanctions/faqs/864Communist Chinese Military Companies General License 1https://home.treasury.gov/system/files/126/chinese_military_gl1.pdfNon-SDN Communist Chinese Military Companies Listhttps://www.treasury.gov/ofac/downloads/ccmc/ns-ccmc_list.pdfNYSE Scraps Plans to Delist Chinese Telecom Stockshttps://www.wsj.com/articles/nyse-scraps-plans-to-delist-chinese-telecom-stocks-11609819126?mod=hp_lead_pos5China Mobile websitehttps://www.chinamobileltd.com/en/about/overview.php

Episode 37 (“Trust, but Verify”, Revisited) Show NotesGeneral License INT/2020/059 Publication Noticehttps://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/949118/General_licence_-_INT.2020.059_-_Publication_Notice.pdfGeneral License INT/2020/059https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/949119/INT.2020.059.pdfThe Russia (Sanctions) (EU Exit) Regulations 2019https://www.legislation.gov.uk/uksi/2019/855/introduction/madeUK Russia sanctions guidancehttps://www.gov.uk/government/publications/russia-sanctions-guidance/russia-sanctions-guidanceCouncil Regulation (EU) 2017/1547https://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32017R1547&from=ENCouncil Regulation (EU) No 269/2014https://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32014R0269&from=ENOFAC Belarus General License 2Ghttps://home.treasury.gov/system/files/126/belarus_gl2g.pdf

Episode 36 (“Sanctions Clause Says: Do Not Pass, BitGo!”) Show NotesOFAC Enforcement Information for December 30, 2020https://home.treasury.gov/system/files/126/20201230_bitgo.pdf

Episode 35 (“How the Sausage Gets Made”) Show NotesExecutive Order 13959https://www.whitehouse.gov/presidential-actions/executive-order-addressing-threat-securities-investments-finance-communist-chinese-military-companies/Public Law 105-261 (NDAA FY1999)https://www.govinfo.gov/content/pkg/PLAW-105publ261/html/PLAW-105publ261.htmPublic Law 106-398 (NDAA FY2001)https://www.govinfo.gov/content/pkg/PLAW-106publ398/html/PLAW-106publ398.htmPublic Law 108-375 (NDAA FY2005)https://www.govinfo.gov/content/pkg/PLAW-108publ375/pdf/PLAW-108publ375.pdfNon-SDN Communist Chinese Military Companies List PDF of December 28, 2020https://www.treasury.gov/ofac/downloads/ccmc/ns-ccmc_list.pdfFrequently Asked Question 857https://home.treasury.gov/policy-issues/financial-sanctions/faqs/857Frequently Asked Question 858https://home.treasury.gov/policy-issues/financial-sanctions/faqs/858Frequently Asked Question 859https://home.treasury.gov/policy-issues/financial-sanctions/faqs/859Frequently Asked Question 860https://home.treasury.gov/policy-issues/financial-sanctions/faqs/860Frequently Asked Question 861https://home.treasury.gov/policy-issues/financial-sanctions/faqs/861

Episode 34 (“Opening the Presents”) Show Notes OFAC-based lists Specially Designated Nationals and Blocked Persons List (SDN List)https://home.treasury.gov/policy-issues/financial-sanctions/specially-designated-nationals-and-blocked-persons-list-sdn-human-readable-listsConsolidated Sanctions Listhttps://home.treasury.gov/policy-issues/financial-sanctions/consolidated-sanctions-list-data-files State Department Lists Cuba Restricted Listhttps://www.state.gov/cuba-sanctions/cuba-restricted-list/Cuba Prohibited Accommodations Listhttps://www.state.gov/cuba-sanctions/cuba-prohibited-accommodations-list/CAATSA Section 231 Listhttps://www.state.gov/caatsa-section-231d-defense-and-intelligence-sectors-of-the-government-of-the-russian-federation/ Defense Department Lists Chinese Military Companies Listshttps://media.defense.gov/2020/Dec/03/2002545864/-1/-1/1/TRANCHE-4-QUALIFYING-ENTITIES.PDFhttps://media.defense.gov/2020/Aug/28/2002486659/-1/-1/1/LINK_2_1237_TRANCHE_1_QUALIFIYING_ENTITIES.PDFhttps://media.defense.gov/2020/Aug/28/2002486689/-1/-1/1/LINK_1_1237_TRANCHE-23_QUALIFYING_ENTITIES.PDF Commerce Department Lists Denied Persons Listhttps://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern/denied-persons-listEntity Listhttps://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern/entity-listUnverified Listhttps://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concern/unverified-listMilitary End Users Listhttps://www.federalregister.gov/documents/2020/12/23/2020-28052/addition-of-military-end-user-meu-list-to-the-export-administration-regulations-and-addition-ofCommerce Control Listhttps://www.bis.doc.gov/index.php/regulations/commerce-control-list-cclUS Munitions Listhttps://www.ecfr.gov/cgi-bin/text-idx?node=pt22.1.121

Episode 33 (“Topping Off 2020 Hindsight”) Show Notes OFAC Enforcement Information:Berkshire Hathawayhttps://home.treasury.gov/system/files/126/20201020_berkshire.pdfDeutsche Bank Trust Company Americashttps://home.treasury.gov/system/files/126/20200909_DBTCA.pdfAmazon.comhttps://home.treasury.gov/system/files/126/20200708_amazon.pdfOFAC Encourages Persons to communicate compliance concerns related to COVID-19https://home.treasury.gov/policy-issues/financial-sanctions/recent-actions/20200420Executive Order 13959 (Chinese Military Companies)https://home.treasury.gov/system/files/126/13959.pdfExecutive Order 13936 (Hong Kong-related Sanctions)https://home.treasury.gov/system/files/126/13936.pdfDecember 18 Entity List Additions Press Release by State Departmenthttps://www.state.gov/u-s-imposes-new-sanctions-on-peoples-republic-of-china-actors-linked-to-malign-activities/Nynas-related OFAC Actionhttps://home.treasury.gov/policy-issues/financial-sanctions/recent-actions/20200512Story: Greek Shippers Threatened With Sanctions, Forced to Hand Over Iranian Oil Cargo to US, Report Sayshttps://www.hellenicshippingnews.com/greek-shippers-threatened-with-sanctions-forced-to-hand-over-iranian-oil-cargo-to-us-report-says/EU Sanctions Violation (Alleged) - Bunker Holding - storyhttps://safety4sea.com/danish-company-and-its-ceo-face-charges-over-alleged-eu-sanctions-violations/AUSTRAC Enforcement Actions Pagehttps://www.austrac.gov.au/lists-enforcement-actions-takenAUSTRAC Westpac civil penalty media releasehttps://www.austrac.gov.au/news-and-media/media-release/austrac-and-westpac-agree-penalty

Episode 32 (“2020 Hindsight: Bottom’s Up”) Show NotesFinCEN Statement on Enforcement of the Bank Secrecy Acthttps://www.fincen.gov/sites/default/files/shared/FinCEN%20Enforcement%20Statement_FINAL%20508.pdfFinCEN Assessment of Civil Monetary Penalty - Larry Dean Harmonhttps://www.fincen.gov/sites/default/files/enforcement_action/2020-10-19/HarmonHelix%20Assessment%20and%20SoF_508_101920.pdfOFSI Enforcement Pagehttps://www.gov.uk/government/collections/enforcement-of-financial-sanctionsOFSI Standard Chartered Imposition of Monetary Penaltyhttps://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/876971/200331_-_SCB_Penalty_Report.pdfOFAC Enforcement Information:Berkshire Hathawayhttps://home.treasury.gov/system/files/126/20201020_berkshire.pdfOFAC CAATSA 231 Action (Non-SDN Menu-Based Sanctions & SDN List designations)https://home.treasury.gov/policy-issues/financial-sanctions/recent-actions/20201214_33National Defense Authorization Act for the Fiscal Year 2021 (NDAA FY21)https://www.govtrack.us/congress/bills/116/hr6395State Department Press Release on Sudan’s State Sponsor of Terrorism Designationhttps://www.state.gov/sudans-state-sponsor-of-terrorism-designation-rescinded/Department of Justice 2020 FCPA Enforcement Actionshttps://www.justice.gov/criminal-fraud/case/related-enforcement-actions/2020OFSI Bridging Document Guidancehttps://www.gov.uk/government/publications/financial-sanctions-consolidated-list-of-targets/bridging-document

Episode 31 (“Turkey on the Menu”) Show NotesMonday, December 13, 2020 OFAC Noticehttps://home.treasury.gov/policy-issues/financial-sanctions/recent-actions/20201214_33State Department Fact Sheethttps://www.state.gov/caatsa-section-231-imposition-of-sanctions-on-turkish-presidency-of-defense-industries/Non-SDN Menu-Based Sanctions List pagehttps://home.treasury.gov/policy-issues/financial-sanctions/consolidated-sanctions-list/non-sdn-menu-based-sanctions-list-ns-mbs-listCountering America’s Adversaries through Sanctions Act (CAATSA)https://home.treasury.gov/system/files/126/hr3364_pl115-44.pdfCAATSA Sections 231 and 235https://www.state.gov/countering-americas-adversaries-through-sanctions-act-of-2017/sections-231-and-235/CAATSA Section 231(e) page:https://www.state.gov/caatsa-section-231d-defense-and-intelligence-sectors-of-the-government-of-the-russian-federation/Ukraine Freedom Support Act of 2014 (UFSA)https://www.congress.gov/113/plaws/publ272/PLAW-113publ272.pdfTurkey, Russia sign deal on supply of S-400 missiles (Reuters)https://www.reuters.com/article/us-russia-turkey-missiles/turkey-russia-sign-deal-on-supply-of-s-400-missiles-idUSKBN1EN0T5S-400 Missile System Wikipedia pagehttps://en.wikipedia.org/wiki/S-400_missile_systemNational Defense Authorization Act for Fiscal Year 2021 (NDAA FY21)https://www.govtrack.us/congress/bills/116/hr6395/text

Episode 30 (“Bully Pulpit”) Show NotesU.S. State Department Fact Sheet (“U.S. Investors are Funding Malign PRC Companies on Major Indices”)https://www.state.gov/u-s-investors-are-funding-malign-prc-companies-on-major-indices/Executive Order 13959 (“Addressing the Threat From Securities Investments That Finance Communist Chinese Military Companies”)https://www.federalregister.gov/documents/2020/11/17/2020-25459/addressing-the-threat-from-securities-investments-that-finance-communist-chinese-military-companiesU.S. State Department Press Releaseshttps://www.state.gov/press-releases/Secretary of State Pompeo Speech at Georgia Tech (“The Chinese Communist Party on the American Campus”)https://www.state.gov/the-chinese-communist-party-on-the-american-campus/U.S. State Department December 4, 2020 Press Release (“U.S. Imposes Sanctions on People’s Republic of China Officials Engaged in Coercive Influence Activities”)https://www.state.gov/u-s-imposes-sanctions-on-peoples-republic-of-china-officials-engaged-in-coercive-influence-activities/U.S. State Department December 3, 2020 Press Release (“On the Political Persecution of Hong Kong Democracy Advocates”)https://www.state.gov/on-the-political-persecution-of-hong-kong-democracy-advocates/

Episode 29 (“Mr. Watchlist’s Nightmare”) Show NotesExecutive Order 13959 (“Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companes”)https://home.treasury.gov/system/files/126/13959.pdfDepartment of Defense December 3, 2020 Press Releasehttps://www.defense.gov/Newsroom/Releases/Release/Article/2434513/dod-releases-list-of-additional-companies-in-accordance-with-section-1237-of-fy/OFAC 50 Percent Rule (“Revised Guidance on Entities Owned by Persons Whose Property and Interests in Property Are Blocked”)https://home.treasury.gov/system/files/126/licensing_guidance.pdfOFAC FAQ 373https://home.treasury.gov/policy-issues/financial-sanctions/faqs/373Executive Order 13662 (“Blocking Property of Additional Persons Contributing to the Situation in Ukraine”)https://home.treasury.gov/system/files/126/ukraine_eo3.pdfExecutive Order 13662 Directive 1  (as amended on September 29, 2017)https://home.treasury.gov/system/files/126/eo13662_directive1_20170929.pdfExecutive Order 13808 (“Imposing Additional Sanctions with Respect to the Situation in Venezuela”)https://home.treasury.gov/system/files/126/13808.pdf

Episode 28 (“But You Can’t Stay Here”) Show NotesExecutive Order 13405 (Belarus Sanctions)https://home.treasury.gov/system/files/126/13405.pdfExecutive Order 13667 (Central African Republic Sanctions(https://home.treasury.gov/system/files/126/car_eo.pdfProclamation 8693 of July 24, 2011https://www.federalregister.gov/documents/2011/07/27/2011-19155/suspension-of-entry-of-aliens-subject-to-united-nations-security-council-travel-bans-andImmigration and Nationality Acthttps://www.uscis.gov/laws-and-policy/legislation/immigration-and-nationality-act

Episode 27 (“OFAC Sanctions from A to Z: Belarus”) Show NotesExecutive Order 13405https://home.treasury.gov/system/files/126/13405.pdfBelarus Sanctions Regulationshttps://www.ecfr.gov/cgi-bin/text-idx?SID=5eae22affe2e3675b6deaa3fb796eb7a&tpl=/ecfrbrowse/Title31/31cfr548_main_02.tplBelarus General License 2-Ghttps://home.treasury.gov/system/files/126/belarus_gl2g.pdf