智仁原创 | 涉俄制裁14024号行政令项下美国新一轮制裁措施（2024年6月12日）

2024年6月12日，在七国集团（G7）领导人意大利峰会即将召开之际，美国商务部、财政部和国务院同步发布了新一轮针对俄罗斯的出口管制、禁运和经济制裁措施。随后，在6月14日发布的G7峰会联合公报中，G7成员国一致重申将全面强化对俄罗斯的制裁和禁运措施，特别是将针对第三国向俄罗斯军工复合体提供实质性支持，协助规避制裁的行为进行重点打击。

On June 12, 2024, on the eve of the G7 leaders' summit in Italy, the U.S. Department of Commerce, Department of the Treasury, and Department of State simultaneously issued a new round of export controls, embargoes, and economic sanctions against Russia. Subsequently, in the G7 summit joint communiqué released on June 14, G7 member countries unanimously reaffirmed their commitment to comprehensively strengthen sanctions and embargo measures against Russia, with a particular emphasis on targeting actions by third countries that provide substantial support to Russia's military-industrial complex and assist in evading sanctions.

美国凭借自身经济地位，惯于使用经济制裁作为国际关系处理的重要手段。^【1】美国次级制裁（secondary sanctions），也称间接制裁，是指美国对与其目标国家或实体有商业或金融往来的第三方国家、企业或个人实施的制裁措施。区别于初级制裁，次级制裁执法对象是该国领土外的个人或实体，无需美国连接点（U.S. Nexus），其可能与该国没有联系，本质上是域外管辖。美国的次级制裁实践通常分为三种，即贸易制裁、投资制裁和金融制裁。^【2】

The United States, leveraging its economic status, frequently employs economic sanctions as a key tool in handling international relations. Secondary sanctions, also known as indirect sanctions, refer to measures imposed by the United States on third-party countries, enterprises, or individuals that engage in commercial or financial transactions with targeted nations or entities. Unlike primary sanctions, secondary sanctions target individuals or entities outside the U.S. territory, requiring no U.S. nexus. They may have no direct connection to the U.S., essentially representing extraterritorial jurisdiction. The practice of U.S. secondary sanctions typically falls into three categories: trade sanctions, investment sanctions, and financial sanctions.

关于如何判断次级制裁，比较常见的是：如果将某被制裁主体列入制裁名单的行政令有针对“任何人”的措辞，表明该制裁具有次级制裁效力；美国财政部在官方公告里公布了针对某被制裁主体的制裁风险提示，则表明对其制裁具有次级制裁效力等。^【3】

Regarding the determination of secondary sanctions, a common approach is as follows: if the executive order listing a sanctioned entity includes wording targeting "any person," it indicates that the sanction has secondary sanctions effects; if the U.S. Department of the Treasury issues an official notice warning of the sanctions risk related to a specific sanctioned entity, it also indicates that the sanctions have secondary sanctions effects.

俄罗斯制裁相关的两个关键总统行政令：第14024号行政令及第14114号总统行政令，均有明确的次级制裁效力，即如果中国企业从事该两个总统行政令下规定的可制裁行为，无任何美国连接点，美国财政部和国务院仍可以该中国企业对俄罗斯特定受制裁行业和主体提供了实质性支持等原因而将该相关企业列入SDN清单。^【4】

Currently, a typical target of secondary sanctions is Russia. Two key presidential executive orders related to Russian sanctions are Executive Order 14024 and Executive Order 14114, both of which clearly have secondary sanctions effects. This means that if Chinese companies engage in sanctionable activities under these executive orders, even without any U.S. nexus, the U.S. Department of the Treasury and the Department of State can still list these companies on the SDN list for providing substantial support to specific sanctioned industries and entities in Russia.

根据14024号行政令原文^【5】，制裁范围如下：

According to the text of Executive Order 14024, the scope of sanctions is as follows:

第一节 所有位于美国、此后进入美国或此后处于任何美国人占有或控制之下的以下人员的所有财产和财产权益将被冻结，并且不得转让、支付、出口、提取或以其他方式处理：

Section 1. All property and interests in property that are in the United States, that hereafter come within the United States, or that are or hereafter come within the possession or control of any United States person of the following persons are blocked and may not be transferred, paid, exported, withdrawn, or otherwise dealt in:

（a） 由财政部长（与国务卿协商，并在本节(a)(ii)分节下与司法部长协商）或由国务卿（与财政部长协商，并在本节(a)(ii)分节下与司法部长协商）确定的任何人：

(a) any person determined by the Secretary of the Treasury, in consultation with the Secretary of State, and, with respect to subsection (a)(ii) of this section, in consultation with the Attorney General, or by the Secretary of State, in consultation with the Secretary of the Treasury, and, with respect to subsection (a)(ii) of this section, in consultation with the Attorney General:

(i) 在俄罗斯联邦经济的技术部门或国防及相关物资部门，或财政部长（与国务卿协商）确定的俄罗斯联邦经济的任何其他部门中运营或曾运营的任何人；

(i) to operate or have operated in the technology sector or the defense and related materiel sector of the Russian Federation economy, or any other sector of the Russian Federation economy as may be determined by the Secretary of the Treasury, in consultation with the Secretary of State;

(ii) 负责或共谋，或直接或间接代表、或为了、或直接或间接为俄罗斯联邦政府从事或企图从事以下任何行为的任何人：

(ii) to be responsible for or complicit in, or to have directly or indirectly engaged or attempted to engage in, any of the following for or on behalf of, or for the benefit of, directly or indirectly, the Government of the Russian Federation:

(A) 恶意的网络启用活动；

(A) malicious cyber-enabled activities;

(B) 干涉美国或其他外国政府的选举；

(B) interference in a United States or other foreign government election;

(C) 在美国或国外破坏民主进程或制度的行为或政策；

(C) actions or policies that undermine democratic processes or institutions in the United States or abroad;

(D) 跨国腐败；

(D) transnational corruption;

(E) 暗杀、谋杀或其他非法杀害美国人或美国盟友或合作伙伴的公民或国民，或对其造成身体伤害；

(E) assassination, murder, or other unlawful killing of, or infliction of other bodily harm against, a United States person or a citizen or national of a United States ally or partner;

(F) 破坏美国、其盟友或合作伙伴的和平、安全、政治稳定或领土完整的活动；或

(F) activities that undermine the peace, security, political stability, or territorial integrity of the United States, its allies, or its partners; or

(G) 欺骗性或结构性交易或交易以规避任何美国制裁，包括通过使用数字货币或资产或使用实物资产；

(G) deceptive or structured transactions or dealings to circumvent any United States sanctions, including through the use of digital currencies or assets or the use of physical assets;

(vi) 实质性地协助、赞助或提供财务、物质或技术支持，或为支持以下任何活动提供商品或服务的任何人：

(vi) to have materially assisted, sponsored, or provided financial, material, or technological support for, or goods or services to or in support of:

(A) 本节(a)(ii)分节中描述的任何活动；或

(A) any activity described in subsection (a)(ii) of this section; or

(B) 其财产和财产权益根据本命令被冻结的任何人；

(B) any person whose property and interests in property are blocked pursuant to this order; or

(vii) 被俄罗斯联邦政府或其财产和财产权益根据本命令被冻结的任何人直接或间接拥有或控制，或为其行事或声称为其行事的任何人。

(vii) to be owned or controlled by, or to have acted or purported to act for or on behalf of, directly or indirectly, the Government of the Russian Federation or any person whose property and interests in property are blocked pursuant to this order.

第4节

(a) 任何规避或避免、旨在规避或避免、导致违反或企图违反本命令中任何禁止规定的交易均被禁止。

(b) Any conspiracy formed to violate any of the prohibitions set forth in this order is prohibited.

(b) 任何旨在违反本命令中任何禁止规定的阴谋均被禁止。

Sec. 4. (a) Any transaction that evades or avoids, has the purpose of evading or avoiding, causes a violation of, or attempts to violate any of the prohibitions set forth in this order is prohibited. 

根据14024号行政令，次级制裁管辖的第三国主体行为包括：（1）为俄罗斯被制裁主体或被制裁行为提供实质性帮助；（2）代表俄罗斯被制裁主体；（3）在俄罗斯被制裁的行业中从事经营活动；（4）由被制裁主体实际拥有或控制；（5）共谋规避或实施规避的行为。^【7】

According to Executive Order 14024, the behaviors of third-country entities subject to secondary sanctions include: (1) providing substantial assistance to a Russian sanctioned entity or sanctioned activity; (2) acting on behalf of a Russian sanctioned entity; (3) engaging in business activities in a sanctioned industry in Russia; (4) being actually owned or controlled by a sanctioned entity; (5) conspiring to circumvent or engaging in acts to evade the sanctions.

2.3.1 SANCTIONS EVASION, CIRCUMVENTION, AND BACKFILL（逃避制裁、规避制裁和回避制裁）^【8】（2024年6月12日 June 12, 2024）

“Russia relies on complex transnational supply chains to feed its war machine and enable production of materiel to sustain its war effort. Similar networks also attempt to evade sanctions using convoluted schemes to move money and other valuable goods and assets. ”

（“俄罗斯依赖复杂的跨国供应链来支持其战争机器并维持其战争努力的物资生产。类似的网络也试图通过复杂的计划来规避制裁，转移资金和其他有价值的货物和资产。”）

2.3.2 RUSSIA’S MILITARY-INDUSTRIAL BASE （俄罗斯的军事工业基础）（2024年5月1日 May 1, 2024）^【9】

“Russia’s military-industrial base relies on a vast ecosystem of entities that enable and support the production, maintenance, transportation, and sustainment of materiel used by Russia’s military. ”

（俄罗斯的军工基地依赖于一个由众多实体组成的庞大生态系统，这些实体为俄罗斯军队所用物资的生产、维护、运输和保养提供支持。）

（List of Chinese Entities and Individuals Subject to the Latest Russia-Related Secondary Sanctions as of June 12, 2024）