Mr. Watchlist’s DesigNation

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

Episode 26 (“Hup, Two, Three, Four!”) Show NotesExecutive Order 13959https://home.treasury.gov/system/files/126/13959.pdfChinese Military Companies Sanctions pagehttps://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/chinese-military-companies-sanctionsExecutive Order 13936https://www.federalregister.gov/documents/2020/07/17/2020-15646/the-presidents-executive-order-on-hong-kong-normalizationPublic Law 105-261 (NDAA FY1999)https://www.govinfo.gov/content/pkg/PLAW-105publ261/pdf/PLAW-105publ261.pdfPublic Law 106-398 (NDAA FY 2001)https://www.govinfo.gov/content/pkg/PLAW-106publ398/pdf/PLAW-106publ398.pdfPublic Law 108-375 (NDAA FY 2005)https://www.congress.gov/108/plaws/publ375/PLAW-108publ375.pdf

Episode 25 (“Mixa Mixa Mixa”) Show NotesFinCEN October 19, 2020 Assessment of Monetary Penaltyhttps://www.fincen.gov/sites/default/files/enforcement_action/2020-10-19/HarmonHelix%20Assessment%20and%20SoF_508_101920.pdfFinCEN August 18, 2020 BSA Enforcement Statementhttps://www.fincen.gov/sites/default/files/shared/FinCEN%20Enforcement%20Statement_FINAL%20508.pdf

Episode 24 (“OFAC v the Oracle of Omaha”) Show NotesBerkshire Hathaway Enforcement Informationhttps://home.treasury.gov/system/files/126/20201020_berkshire.pdfBerkshire Hathaway Settlement Agreementhttps://home.treasury.gov/system/files/126/20201020_berkshire_settlement.pdf31 CFR 560.204 (part of the Iranian Transactions and Sanctions Regulations)https://www.ecfr.gov/cgi-bin/text-idx?SID=ea006d0e29c0470b458abe51ba856111&mc=true&node=se31.3.560_1204&rgn=div8Kollmorgen Corporation Enforcement Actionhttps://home.treasury.gov/system/files/126/20190207_kollmorgen.pdf

Episode 23 (“FinCEN, Files, Ho, Hum!”) Show NotesBuzzFeed News FinCEN Files pagehttps://www.buzzfeednews.com/fincen-filesBuzzFeed Source Documents pagehttps://www.buzzfeednews.com/article/johntemplon/fincen-files-the-documentsICIJ FinCEN Files pagehttps://www.icij.org/investigations/fincen-files/ICIJ Data Visualization pagehttps://www.icij.org/investigations/fincen-files/explore-the-fincen-files-data/ 

Episode 22 (“Shootout at the OFAC Corral”) Show NotesOctober 8, 2020 OFAC Iran-related Noticehttps://home.treasury.gov/policy-issues/financial-sanctions/recent-actions/20201008OFAC Iran General License Lhttps://home.treasury.gov/system/files/126/iran_gll.pdfExecutive Order 13902https://www.federalregister.gov/documents/2020/01/14/2020-00534/imposing-sanctions-with-respect-to-additional-sectors-of-iranIranian Transactions and Sanctions Regulations (ITSR)https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title31/31cfr560_main_02.tplOFAC Program Tags pagehttps://home.treasury.gov/policy-issues/financial-sanctions/specially-designated-nationals-list-sdn-list/program-tag-definitions-for-ofac-sanctions-listsAero Sky Finding of Violationhttps://home.treasury.gov/system/files/126/20191212_aero_sky.pdf31 CFR Chapter Vhttps://www.law.cornell.edu/cfr/text/31/chapter-V    

Episode 21 (“Walking the Walk”) Show NotesComtech Telecommunications OFAC Enforcement Settlement Agreementhttps://home.treasury.gov/system/files/126/20200917_comtech_settlement.pdfA Framework for OFAC Compliance Commitmentshttps://home.treasury.gov/system/files/126/framework_ofac_cc.pdf

Episode 20 (“If you like pina coladas”) Show NotesTreasury Department Final Rulehttps://home.treasury.gov/system/files/126/CACR_final_rule_09232020.pdfTreasury Press Releasehttps://home.treasury.gov/news/press-releases/sm1134Cuba Prohibited Accomodations List Initial Publicationhttps://www.state.gov/cuba-sanctions/cuba-prohibited-accommodations-list/cuba-prohibited-accommodations-list-initial-publication/OFAC Cuba Sanctions FAQshttps://home.treasury.gov/policy-issues/financial-sanctions/faqs/topic/1541State Department Press Releasehttps://www.state.gov/suspension-of-private-charter-flights-between-the-united-states-and-cuba/National Security Presidential Memorandum 5 (NSPM-5)https://www.federalregister.gov/documents/2017/10/20/2017-22928/strengthening-the-policy-of-the-united-states-toward-cubaCNN storyhttps://www.cnn.com/2020/09/23/politics/trump-cuba-announcement/index.html

Episode 19 (Because I said so) Show NotesSeptember 21, 2020 Executive Order (Iran conventional weapons)https://home.treasury.gov/system/files/126/20200921_eo_iran-con-arms.pdfSeptember 19, 2020 State Department Press Releasehttps://www.state.gov/the-return-of-un-sanctions-on-the-islamic-republic-of-iran/Executive Order 13936 (Hong Kong related sanctions)https://home.treasury.gov/system/files/126/13936.pdfMay 2018 Presidential Memorandumhttps://www.whitehouse.gov/presidential-actions/ceasing-u-s-participation-jcpoa-taking-additional-action-counter-irans-malign-influence-deny-iran-paths-nuclear-weapon/May 2018 Presidential Remarkshttps://www.whitehouse.gov/briefings-statements/remarks-president-trump-joint-comprehensive-plan-action/

Episode 18 (“Crawling from the Wreckage”) Show NotesComtech Telecommunications Enforcement Actionhttps://home.treasury.gov/system/files/126/20200917_comtech.pdfDeutsche Bank Enforcement Action (“Actual Knowledge”)https://home.treasury.gov/system/files/126/20200909_DBTCA.pdfWhitford Worldwide Enforcement Action (“Economic Benefit”, “Indirect Shipment”)https://home.treasury.gov/system/files/126/20200728_whitford.pdfEssentra FZE Enforcement Action (“Actual Knowledge, Significant Harm/Economic Benefit, “Commercial Sophistication”)https://home.treasury.gov/system/files/126/20200716_essentra_fze.pdfAmazon Inc. Enforcement Action (“Lack of Due Caution or Care”)https://home.treasury.gov/system/files/126/20200708_amazon.pdfBIOMIN America Enforcement Action (“Reckless”, “Indirect Shipment”, ”Management Involvement”, ”Commercial Sophistication”)https://home.treasury.gov/system/files/126/20200506_biomin.pdfEagle Shipping International Enforcement Action (“Reckless Disregard”, “Management Involvement”, “Economic Benefit”, “Commercially Sophisticated”)https://home.treasury.gov/system/files/126/20200127_eagle.pdfHotelbeds USA Enforcement Action (“moving part of transaction outside of US”)https://home.treasury.gov/system/files/126/20190612_hotelbeds_0_1.pdfKollmorgen Corporation Enforcement Action (“Obstructing Investigation”)https://home.treasury.gov/system/files/126/20190207_kollmorgen.pdfYantai Jereh Oilfield Services Group Enforcement Action (“Obstructing OFAC Investigation”)https://home.treasury.gov/system/files/126/20181212_jereh.pdfBD White Birch Investment Enforcement Action (“Lack of Cooperation”)https://home.treasury.gov/system/files/126/20171005_white_birch_investment.pdfApollo Aviation Group Enforcement Action (Customer sends engines to Sudan)https://home.treasury.gov/system/files/126/20191107_apollo.pdfe.l.f. Cosmetics Enforcement Action (gets North Korean goods through supply chain)https://home.treasury.gov/system/files/126/20190131_elf.pdf

Episode 17 (“The case of the missing email”) Show NotesState Department Press Releasehttps://www.state.gov/the-united-states-sanctions-chinese-state-owned-entity-for-its-role-in-corruption-in-cambodia/Treasury Department Press Releasehttps://home.treasury.gov/news/press-releases/sm1121Commerce Department Press Release (South China Seas Military Island Construction)https://www.commerce.gov/news/press-releases/2020/08/commerce-department-adds-24-chinese-companies-entity-list-helping-build

Episode 16 (“Sprechen Sie Settlements?”) Show Notes Deutsche Bank Enforcement Action - 2020https://home.treasury.gov/system/files/126/20200909_DBTCA.pdfDeutsche Bank Enforcement Action - 2013https://home.treasury.gov/system/files/126/20130905_DBTCA.pdfApple Inc. Enforcement Actionhttps://home.treasury.gov/system/files/126/20191125_apple.pdfCobham Holdings Enforcement Actionhttps://home.treasury.gov/system/files/126/20181127_metelics.pdfOFAC Enforcement Guidelineshttps://home.treasury.gov/system/files/126/fr74_57593.pdfA Framework for OFAC Compliance Commitmentshttps://home.treasury.gov/system/files/126/framework_ofac_cc.pdf

Episode 15 (“Better Left Unsaid”) Show NotesMultiagency North Korea Ballistic Missile Procurement Advisoryhttps://home.treasury.gov/system/files/126/20200901_nk_ballistic_missile_advisory.pdfIllicit Shipping and Sanctions Evasions Practices Guidancehttps://home.treasury.gov/system/files/126/05142020_global_advisory_v1.pdfUN Security Council Resolution (UNSCR) 2270https://www.undocs.org/S/RES/2270(2016)

Episode 14 (Vitamin K deficiency) Show Notes Analysis of Iranian oil seizurehttps://kobrekim.com/news/evelyn-sheehan-us-seizure-iranian-oil-venezuela-sandp-global-plattsCuban Journalist Release Press Statementhttps://www.state.gov/on-the-overdue-release-of-cuban-journalist-roberto-quinones/Venezuela Prisoner Release Press Statementhttps://www.state.gov/recent-developments-in-venezuela/Chinese Diplomatic Restrictions Press Statementhttps://www.state.gov/advancing-reciprocity-in-u-s-china-diplomatic-relations/JCPOA diplomacyhttps://www.nytimes.com/2014/12/19/us/mastering-the-art-of-secret-negotiations.html?referringSource=articleShareUS-Myanmar diplomacyhttps://www.theguardian.com/world/2009/sep/24/burma-obama-foreign-policyLifting of US sanctions on Vietnamhttps://www.history.com/this-day-in-history/clinton-ends-trade-embargo-of-vietnamObservatory of Economic Complexityhttps://oec.world

Episode 13 (A Guide for the Perplexed) Show NotesMultiagency North Korea Ballistic Missile Procurement Advisoryhttps://home.treasury.gov/system/files/126/20200901_nk_ballistic_missile_advisory.pdf Explanation of GOST Standard:https://www.certificator.eu/en/certification-handbook/what-is-gost.htmlASTM website (About US page)https://www.astm.org/ABOUT/overview.htmlAISI website (About page)https://www.steel.org/about-aisiUNS explanation (one of many)https://www.engineeringtoolbox.com/uns-unified-numbering-system-d_1364.html United Nations:UN 1718 Panel of Experts Reports pagehttps://www.un.org/securitycouncil/sanctions/1718/panel_experts/reportsUN Security Council Resolution 2270 pagehttps://www.un.org/securitycouncil/s/res/2270-%282016%29 Commerce Department / Bureau of Industry & Security (BIS):Bureau of Industry and Security (BIS) websitehttps://www.bis.doc.govExport Administration Regulations (EAR) Part 744https://www.bis.doc.gov/index.php/documents/regulations-docs/2343-part-744-control-policy-end-user-and-end-use-based-2/fileExport Administration Regulations (EAR) Part 732https://www.bis.doc.gov/index.php/documents/regulation-docs/411-part-732-steps-for-using-the-ear/fileArms Export Control Act (AECA)https://www.pmddtc.state.gov/ddtc_public?id=ddtc_kb_article_page&sys_id=b9a933addb7c930044f9ff621f961932Export Control Reform Act of 2018https://www.congress.gov/bill/115th-congress/house-bill/5040 OFAC:A Framework for OFAC Compliance Commitmentshttps://home.treasury.gov/system/files/126/framework_ofac_cc.pdfOFAC Enforcement Guidelineshttps://home.treasury.gov/system/files/126/fr74_57593.pdfExecutive Order 13810https://home.treasury.gov/system/files/126/13810.pdfExecutive Order 13382https://home.treasury.gov/system/files/126/whwmdeo.pdfNorth Korea Sanctions Regulationshttps://www.ecfr.gov/cgi-bin/text-idx?SID=de320a4c64191fd7903725227ee3d641&mc=true&tpl=/ecfrbrowse/Title31/31cfr510_main_02.tpState Department Iran, North Korea and Syria Non-Proliferation Act pagehttps://www.state.gov/iran-north-korea-and-syria-nonproliferation-act-sanctions-inksna/ Other:FATF Guidance on Counter Proliferation Financehttps://www.fatf-gafi.org/publications/financingofproliferation/documents/guidance-counter-proliferation-financing.html

Episode 12 (OFAC's Framework, Part 1: Taking Responsibility) Show NotesA Framework for OFAC Compliance Commitmentshttps://home.treasury.gov/system/files/126/framework_ofac_cc.pdfOFAC Enforcement Guidelineshttps://home.treasury.gov/system/files/126/fr74_57593.pdfWhitford Worldwide Company LLC Enforcement Actionhttps://home.treasury.gov/system/files/126/20200728_whitford.pdf

Episode 11 (“A sanction by any other name”) Show NotesAugust 26, 2020 Commerce Department Press Releasehttps://www.commerce.gov/news/press-releases/2020/08/commerce-department-adds-24-chinese-companies-entity-list-helping-buildAugust 26, 2020 State Department Press Releasehttps://www.state.gov/u-s-imposes-restrictions-on-certain-prc-state-owned-enterprises-and-executives-for-malign-activities-in-the-south-china-sea/July 15, 2020 State Department Press Releasehttps://www.state.gov/u-s-imposes-visa-restrictions-on-certain-employees-of-chinese-technology-companies-that-abuse-human-rights/Commerce Department (Bureau of Industry and Security) “Lists of Parties of Concern” pagehttps://www.bis.doc.gov/index.php/policy-guidance/lists-of-parties-of-concernImmigration and Nationality Acthttps://www.uscis.gov/laws-and-policy/legislation/immigration-and-nationality-actImmigration and Nationality Act, Section 212https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title8-section1182&num=0&edition=prelim

Episode 10 (“So say we all”) Show NotesJoint Statement on BSA Due Diligence for PEPshttps://www.fincen.gov/sites/default/files/shared/PEP%20Interagency%20Statement_FINAL%20508.pdfFinCEN Advisory (contains definition of Senior Foreign Political Figures)https://www.fincen.gov/sites/default/files/advisory/2018-07-03/PEP%20Facilitator%20Advisory_FINAL%20508%20updated.pdfFATF PEP Recommendationshttps://www.fatf-gafi.org/media/fatf/documents/recommendations/Guidance-PEP-Rec12-22.pdf

Episode 9 / The plane truth Show NotesWSJ article (“Curtiss-Wright Discloses Possible Russia Sanctions Violations”)https://www.wsj.com/articles/curtiss-wright-discloses-possible-russia-sanctions-violations-11598035685?mod=djemRiskComplianceCurtiss-Wright home pagehttps://www.curtisswright.com/home/default.aspxOFAC 50% Rulehttps://www.treasury.gov/resource-center/sanctions/Documents/licensing_guidance.pdf

Show Notes for Episode 8 (Imitation is the sincerest form of flattery)FinCEN BSA Enforcement Statementhttps://www.fincen.gov/sites/default/files/shared/FinCEN%20Enforcement%20Statement_FINAL%20508.pdf: OFAC Enforcement GuidelinesA Framework for OFAC Compliance Commitments

Episode 7 (why small fry?) Show NotesOFSI Notice for North Korean sanctions amendments:https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/906373/Notice_DPRK_2020_1129.pdfTreasury Press Release on Syrian Scientific Studies and Research Center Staff:https://www.treasury.gov/press-center/press-releases/Pages/sm0056.aspxUK Independent Reviewer website:https://terrorismlegislationreviewer.independent.gov.uk     

Episode 6 (“Do as I say...”) Show NotesOFAC Humanitarian Aid Fact Sheethttps://www.treasury.gov/resource-center/sanctions/Programs/Documents/covid19_factsheet_20200416.pdfSwiss Humanitarian Trade Arrangement Press Release (US Treasury)https://home.treasury.gov/news/press-releases/sm919Humanitarian Trade with Iran Guidance (October 2019)https://www.treasury.gov/resource-center/sanctions/Programs/Documents/iran_humanitarian_20191025.pdfHumanitarian Aid for Venezuela Guidancehttps://www.treasury.gov/resource-center/sanctions/Programs/Documents/20190805_vz_humanitarian_guidance.pdfGovernment Accountability Report on “Derisking along the Southwest Border”https://www.gao.gov/products/GAO-18-263FinCEN 2014 statement on banking services for Money Service Businesses (MSBs)https://www.fincen.gov/news/news-releases/statementMultiagency statement on risk-focused Bank Secrecy Act/AML Supervisionhttps://www.fdic.gov/news/press-releases/2019/pr19065a.pdfOFAC Sudan Program and Darfur Sanctions Guidancehttps://www.treasury.gov/resource-center/sanctions/Programs/Documents/sudan_guidance_20200811.pdf

Episode 5 Show NotesOFAC Civil Penalties and Enforcement Information page:https://www.treasury.gov/resource-center/sanctions/CivPen/Pages/civpen-index2.aspxOFAC Enforcement Guidelines:https://www.ecfr.gov/cgi-bin/text-idx?SID=ccac94aaa0387efe2a9c3fca2dc5a4ab&mc=true&node=ap31.3.501_1901.a&rgn=div9August 11, 2020 OFAC Enforcement Action:https://www.treasury.gov/resource-center/sanctions/CivPen/Documents/20200811_individual.pdf

Show Notes Episode 4Kollmorgen Corporation enforcement actionhttps://www.treasury.gov/resource-center/sanctions/CivPen/Documents/20190207_kollmorgen.pdfForeign Sanctions Evaders (FSE) Listhttps://www.treasury.gov/resource-center/sanctions/SDN-List/Pages/fse_list.aspxCAATSA 231 Listhttps://www.state.gov/caatsa-section-231d-defense-and-intelligence-sectors-of-the-government-of-the-russian-federation/CAATSA 231 BISN pagehttps://www.state.gov/section-231-of-the-countering-americas-adversaries-through-sanctions-act-of-2017/United Nations Security Council Resolution 2371 (North Korea labor sanctions)https://www.treasury.gov/resource-center/sanctions/Programs/Documents/2371.pdfEuropean Commission Blocking Statute pagehttps://ec.europa.eu/info/business-economy-euro/banking-and-finance/international-relations/blocking-statute_en 

Show Notes Episode 3OFAC Notice of 7/31/2020https://www.treasury.gov/resource-center/sanctions/OFAC-Enforcement/Pages/20200731.aspxand associated State Department press releasehttps://www.state.gov/on-sanctioning-human-rights-abusers-in-xinjiang-china/Deutsche Bank Mirror Trading - NY Department of Financial Services Press Releasehttps://www.dfs.ny.gov/reports_and_publications/press_releases/pr1701301Non-SDN Palestinian Legislative Council (NS PLC) Listhttps://www.treasury.gov/resource-center/sanctions/SDN-List/Pages/plc_list.aspxTerrorist Asset Report - 2017https://www.treasury.gov/resource-center/sanctions/Programs/Documents/tar2017.pdfTerrorist Asset Report - 2018https://www.treasury.gov/resource-center/sanctions/Programs/Documents/tar2018.pdf 

Show Notes for Episode 2Resources for today's show:On the Russian oligarchs' involvement in the art marketCongressional probe: Russian oligarchs using art to evade sanctions(Politico)https://www.politico.com/news/2020/07/29/probe-russian-oligarchs-evade-art-sanctions-386154Non-Stick Sanctions resources:A Framework for OFAC Compliance Commitments (“Framework Document”)A Framework for OFAC Compliance CommitmentsOFAC Enforcement Guidelineshttps://www.ecfr.gov/cgi-bin/text-idx?SID=ccac94aaa0387efe2a9c3fca2dc5a4ab&mc=true&node=ap31.3.501_1901.a&rgn=div9OFAC Enforcement Pagehttps://www.treasury.gov/resource-center/sanctions/CivPen/Pages/civpen-index2.aspxEnforcement Actions:“Misunderstanding” casesForeign Subsidiary cases

Show Notes for 7/28/2020 Mr. Watchlist's DesigNationResources to go along with today's episode: March 2020 United Nations Panel of Experts Report (1718 Committee) -https://www.securitycouncilreport.org/atf/cf/%7B65BFCF9B-6D27-4E9C-8CD3-CF6E4FF96FF9%7D/S_2020_151.pdf March 2020 U.S. Multi-Agency (Treasury / State / Coast Guard) global advisory for Maritime Industry, Energy and Metals Sectors -https://www.treasury.gov/resource-center/sanctions/Programs/Documents/05142020_global_advisory_v1.pdf Sayari Analytics Blog post on Chinese evasion to ship Iranian crude (links to paid report by Financial Times) -https://sayari.com/blog/chinese-tankers-iranian-oil/ Venezuela oil tankers evasion (ABC News) -https://abcnews.go.com/International/wireStory/oil-tankers-dark-off-venezuela-evade-us-sanctions-66999020 Iranian tanker Grace 1 -https://wnwd.com/blog/the-multinational-story-behind-the-grace-1/