В настоящей публикации содержатся 10 рекомендаций для морских арбитров по управлению рисками, связанными с международными экономическими санкциями, а именно:
- Понимать влияние санкций.
- Признавать, что существует реальный риск принуждения.
- Иметь в виду обширную юрисдикцию США.
- Соблюдать должную осмотрительность при принятии назначений.
- Арбитры должны точно понимать, с кем они имеют дело. Санкции запрещают не только иметь дело непосредственно с санкционированным физическим или юридическим лицом, но и косвенно иметь дело с санкционированным физическим или юридическим лицом (например, когда санкционированное физическое лицо является владельцем юридического лица).
- Помнить о проблемах с платежами. Банки крайне осторожны в отношении риска нарушения санкций, и это приводит к тому, что они отказываются обрабатывать платежи, если есть опасения относительно возможного нарушения санкций, что может сказаться на оплате гонорара арбитра.
- Признать, что санкции являются очень динамичными.
- Динамика некоторых санкционных программ содержит так называемые «отлагательные периоды», которые разрешают деятельность в течение ограниченных периодов времени до введения ограничений. Арбитрам может быть предложено действовать незамедлительно, чтобы обеспечить выполнение требований в течение такого периода. Это было одним из соображений, лежащих в основе проблем Mamancochet Mining Ltd -v- Aegis Managing Agency Ltd & Ors [2018] EWHC 2643 (Comm).
- Убедиться, что решение само по себе не способствует нарушению санкций. Международные экономические санкции запрещают производить платежи или другие предоставления прямо или косвенно для или в пользу санкционированного лица, а также иметь дело с санкционированным активом (таким как судно, например), и санкции ЕС и США имеют положения, касающиеся облегчения, либо обхода санкций.
- Не забывать о Brexit. Санкции ЕС продолжают оказывать прямое влияние на британские компании и другие лица в течение переходного периода (т.е. до 31 декабря 2020 года). После этой даты вступят в силу новые режимы санкций в Великобритании, и санкции ЕС больше не будут оказывать прямого действия на британские компании или других индивидов в отсутствие связи с ЕС. С этого времени возможно, что санкции Великобритании и ЕС могут дивергировать (отличаться).
Shipping is currently in the centre of the
sanctions spotlight – that is abundantly
clear from recent US enforcement
action, as well as public statements by
US politicians.
This means that everyone in the sector, whether owners,
charterers, insurers or banks needs to be vigilant and alert
to the risks. That applies equally to maritime arbitrators, so
what are the main things that they should be doing? Here
are our 10 recommendations:1. Understand the impact of
sanctions – arbitrators should
be aware which countries
are sanctioned, what sorts of
restrictions the sanctions impose,
and also which sanctions (e.g.
US, EU, Singapore, Switzerland)
are applicable. HFW can deliver
a one hour sanctions webinar on
demand – this gives an overview
of the main issues and points to
consider. To register your interest
please email events@hfw.com
or register at: https://sites-hfw.
vuturevx.com/58/16/landing-pages/
subscribe.asp here to be added to
our sanctions mailing list.
2. Recognise that there is a real risk
of enforcement – we have seen
vessels and shipowners penalised
by the US for sanctions violations,
as well as US and EU imposing
penalties running into millions of
Dollars. The following statement by
David Peyman (US Deputy Assistant
Secretary of State for Counter
Threat Finance and Sanctions) will
resonate with arbitrators as much as
shipowners:
“… I really do think there’s much
more space for improvement in
the private sector. It seems like
much of the shipping sector is
a generational business that
has been handed down from
generation to generation and
business was conducted in a
certain way maybe 50 years ago
or 30 yearsago or even 10 years
ago. The world has changed quite
dramatically in the last 10 years.
The use of US sanctions I think has
escalated and I think we’ve shown
that we’re ready to undertake
strategic targeting.”
3. Keep in mind expansive US
jurisdiction – the US adopts an
aggressive approach, asserting
primary jurisdiction over US persons
(not only US nationals and US
companies but also persons who
are physically present in the US),
US origin goods and US Dollar
payments. The US also has some
sanctions which are commonly
described as extra-territorial or
“secondary” sanctions. These restrict
the activities of non-US persons,
either through the threat of denial of
access to US markets, US currency
and US persons, and/or the threat of
being added to US sanctions lists.
https://www.bailii.org/ew/cases/EWHC/Comm/2018/2643.html
4. Carry out due diligence when
accepting appointments (and
on an ongoing basis) – arbitrators
should be alert to references which
may relate to a sanctioned individual
or entity, a sanctioned asset (a large
number of ships are on US sanctions
lists) or a sanctioned activity. The
US sanctions list is at https://www.
treasury.gov/ofac/downloads/
sdnlist.pdf (it runs to over 1,300
pages) and HM Treasury publishes
a consolidated list (covering UN,
EU and UK) at https://ofsistorage.
blob.core.windows.net/publishlive/
ConList.pdf. Consider whether there
might be alternative spellings of
parties’ names, commonly used
names (particularly of individuals)
and different naming conventions
in different countries. For those who
prefer, HFW can run due diligence
checks and give advice.
5. Don’t be afraid to challenge the
parties and their representatives –
the sanctions prohibit not only
dealing directly with a sanctioned
individual or entity but also dealing
indirectly with a sanctioned
individual or entity (for example
where a sanctioned individual is
the owner of a corporate entity).
Arbitrators therefore need to
understand exactly who they are
dealing with.
6. Be mindful of payment issues –
banks and others are extremely
wary of the risk of violating
sanctions, and this will cause them
to refuse to process payments
where there is any concern about
a possible sanctions violation.
That could include payment of
arbitrators’ fees.
7. Appreciate that sanctions are very
dynamic (I) – because sanctions
are imposed, varied and lifted in
response to political developments
they may change over the life of a
reference and arbitrators need to be
aware of any changes which impact
on their continued ability to act (and
get paid).
8. Appreciate that sanctions are
very dynamic (II) – some sanctions
programs contain so-called
“grandfathering” or wind down
periods which authorise activity
for limited periods of time prior
to the imposition of restrictions.
Arbitrators may be asked to act
promptly to ensure necessary
activities are completed within
the grandfathering period. This
was one of the considerations
which underpinned the issues in
Mamancochet Mining Ltd -v- Aegis
Managing Agency Ltd & Ors [2018]
EWHC 2643 (Comm).
9. Ensure that the Award does
not itself facilitate a breach of
sanctions – sanctions prohibit
making a payment or other benefit
available directly or indirectly to
or for the benefit of a sanctioned
person, as well as dealing with
a sanctioned asset (such as a
vessel), and both the EU and US
sanctions have provisions dealing
with facilitating, enabling and/or
circumventing sanctions.
10. Don’t forget Brexit – EU sanctions
continue to have direct effect on UK
companies and individuals during
the Transition Period (i.e. until 31
December 2020). After this date,
new UK sanctions regimes will
come into force and EU sanctions
will no longer have direct effect on
UK companies or individuals in the
absence of an EU nexus. From this
time, it is possible that UK and EU
sanctions could diverge.
Авторы: DANIEL MARTIN, ISABEL PHILLIPS
Источник: https://www.hfw.com/downloads/002079-HFW-Maritime-arbitrators-practical-steps-to-manage-your-sanctions-risk.pdf