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CGSS > History of Sanctions > Flashcards

History of Sanctions Flashcards

1
Q

What is one of the first recorded instances of sanctions?

A

Fifth century BC- Megarian Decree in 432 BC, imposed by Athenians, levying economic sanctions to ban citizens of Megara from accessing markets in Athenian empire.

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2
Q

What part of the League of Nation’s Covenant had the power to deploy sanctions?

A

Article 16- Authorising economic sanctions and military actions against any state that employs war.

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3
Q

How many cases of collective action sanctions were undertaken after the authorization in Article 16 of the League of Nation’s Covenant?

A

Four - the least successful was in 1935-1936 when the League of Nations joined with UK against Italy after its invasion of Ethiopia

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4
Q

What kind of sanctions did the ideas behind the League of Nations resemble?

A

Multilateral sanctions

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5
Q

When did unilateral sanctions begin to be replaced by multilateral, intergovernmental coalitions?

A

1990s after Cold War ended

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6
Q

In relation to changing a nation’s behaviour, sanctions may be used for

A
  • Deterrence
  • Prevention
  • Punishment
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7
Q

What kind of sanctions has EU imposed?

A

Geographic sanctions and activity / issued based sanctions.

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8
Q

What kind of purposes have sanctions been used for?

A
  • preventing war
  • promoting democratic values
  • punishing human rights abusers
  • preventing nuclear proliferation
  • freeing of captured citizens
  • restoration of sovereign lands
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9
Q

How did the US condemn state-sponsored apartheid in South Africa through the use of sanctions in 1986?

A

The US banned new investments, any sales to police or military, new bank loans (except for trade). Also banned the import of certain goods and products of SOEs.

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10
Q

When was the UN’s Treaty on the Non-Proliferation of Nuclear Weapons, or the NPT, signed?

A

1968

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11
Q

When did the UN’s Treaty on the Non-Proliferation of Nuclear Weapons, or the NPT, come into effect?

A

March 1970

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12
Q

When was the NPT extended?

A

The NPT was extended on 11 May 1995 indefinitely.

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13
Q

What is the goal of the NPT?

A

The goal of the NPT is to create a binding commitment of disarmament by the five declared nuclear weapon states and to promote the peaceful use of nuclear tech while preventing the spread of nuclear weapons and weapons tech.

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14
Q

What is the IAEA and its goal?

A

International Atomic Energy Agency to monitor compliance with the terms of the NPT. It periodically inspecte the facilities and ops of member nations who have concluded nuclear safeguards agreements with the Agency.

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15
Q

Which country is often seen as a successful example of the use of sanctions in deterring proliferation?

A

Libya

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16
Q

When did Libya ratify the NPT?

A

26 May 1975.

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17
Q

How many times were sanctions imposed on Libya?

A

Libya ratified the NPT on 26 May 1975. Less than 5 yrs later, the US sanctioned Libya as a state sponsor of terrorism. In the meantime, Libya, with the aid of Russia, continued developing its Russia capabilities. The US imposed additional sanctions in 1986, and in 1992 the UN Security Council began imposing sanctions.

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18
Q

When did the Iran and Libya Sanctions Act (ILSA) become law?

A

1996

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19
Q

What did the ILSA enable the US president to do?

A

It enabled the US president from 1996 to further impose sanctions against foreign companies that invested $40M or more in the Libyan oil industry. This number was lowered in 2002 to $20 million.

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20
Q

When did Libyan president Muammar Gaddafi announce that it would renounce its WMD programme?

A

Dec 2003

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21
Q

What US Act allows for unilateral, global sanctions to be imposed for human rights offenders and corrupt actors?

A

Magnitsky Act

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22
Q

What kind of individuals can be sanctioned under the Magnitsky Act?

A

Foreign gov officials involved in human rights abuses anywhere in the world, including those involved with the assassination of the Washington Post reporter Jamal Khashoggi in 2018.

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23
Q

Which five other countries have adopted similar laws to the Magnitsky sanctions?

A

Canada, Estonia, Lithuania, UK and Latvia

Can Elephants like UK less?

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24
Q

What process was established in 2003 by the UN to make an impact in the trade of conflict diamonds?

A

Kimberley Process Certification Scheme

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25
Q

What are the requirements under the Kimberley Process Certification Scheme?

A

Govs are required to implement controls on the import and export of diamonds to both certify and control the trade of rough diamonds and to create a documentary trail as to the extraction and refinement process.

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26
Q

What is the USA Patriot Act of 2001?

A

The Patriot Act establishes rules about deposits made into foreign bank accounts. The law states that funds deposited in a foreign bank are subject to US jurisdiction if the foreign bank has an interbank acct in the US as well. This is because the US considers that the overseas deposited funds also makes up part of the interbank funds.

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27
Q

What sanctions targeting individuals and entities affiliated with Al Quaeda and Taliban was established by the UNSC in 1999 in response to the bombing of the US embassies in Kenya and Tanzania?

A

Resolution UNSCR 1267

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28
Q

UNSCR 1267 was expanded in 2014 to include individuals and entities affiliated to which entity?

A

ISIS

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29
Q

What Convention was adopted by the UNGA in 1999 to criminalise the financing of terrorism and calls for international cooperation in the detecting and freezing of assets that are used, or intended for use, to finance terrorism?

A

International Convention for the Suppression of the Financing of Terrorism

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30
Q

Is the International Convention for the Suppression of the Financing of Terrorism a sanction?

A

Although not a sanction, all signatories are required to penalise, take into custody, prosecute and where required, extradite offenders.

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31
Q

What resolution was passed following the attacks of 11 Sept 2001?

A

UNSCR 1373

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32
Q

What resolution was imposed against Sudan due to their support for Osama bin Laden and a number of his close entourage?

A

Resolution 1054 in 1996.

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33
Q

What is the scope of Resolution 1054 against Sudan?

A

Countries should impose limitations both on diplomatic representation with Sudan and movement of Sudanese dignatories abtoad. Later this included flights of Sudanese officials and aircrafts.

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34
Q

When were sanctions under Resolution 1054 lifted?

A

2001 after Sudan acceded and ordered expulsion of bin Laden and followers.

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35
Q

Which countries have EU sanctioned in relation to kleptocrats?

A

Tunisia, Egypt after Arab Spring, and Ukraine

The Elephants Union

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36
Q

Why were unilateral sanctions from 1983 to 1986 ineffective by Australia on France?

A

In 1984 the price of uranium oxide decreased by nearly 50% in the world market, and France was able to easily replace this trade channel.

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37
Q

What are autonomous sanctions?

A

Autonomous sanctions occur when a single entity, whether a gov, such as Australia, or a coalition of governments, such as the EU, acts to enforce a sanctions regime.

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38
Q

When does EU have autonomous sanctions?

A

These occur when the Council decides to impose sanctions on its own initiative. Eg. When Latvia passed a version of the US’s Magnitsky Act in 2018, imposing travel restrictions on 49 Russian citizens.

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39
Q

Which article is UN’s sanctions regime based on?

A

Article 41 of Chapter VII of UN’s founding charter, which establishes the right to impose sanctions as a measure to achieve international peace and security.

40
Q

What are the key criteria by the Security Council in imposing sanctions?

A
  • Threats to peace, security or stability
  • Violations of human rights and international humanitarian law
  • Obstructing humanitarian aid
  • Recruiting or using children in armed conflicts
41
Q

Does UN prefer targeted or comprehensive sanctions?

A

Targeted because comprehensive sanctions has greater impact on developing economies.

42
Q

Who are the permanent members of the UNSC?

A

Russia, US, UK, China and France

43
Q

What is the voting procedure in the UNSC?

A

The UNSC has 15 member countries. Each member country has one vote, and to enact sanctions resolutions, at least nine members, including all permanent members, must vote in the affirmative, without objection from any of the five permanent members

44
Q

What is Resolution 748?

A

With the thawing of the Cold War, the UNSC which included both Russia and the US, imposed sanctions on Libya, including an arms embargo and trade restrictions.

45
Q

If a UN resolution proves to be insufficient, what other measures does the UNSC have?

A

The UNSC, under Article 42 of the UN Charter, may take action by air, sea or land forces as may be necessary to maintain or restore international peace and security, including blockages.

46
Q

What does article 48 of the UN Charter do?

A

Article 48(1) allows the Council to limit such duties to selected Members, and (2) makes an attempt to co-opt other international organisations into the UN peacekeeping system.

47
Q

What does the IEEPA stand for?

A

International Emergency Economic Powers Act

48
Q

Which Department is OFAC part of?

A

Department of Treasury

49
Q

What is the core component of OFAC sanctions?

A

The Specially Designated Nationals and Blocked Persons List, which contains the names and identifiers of individuals, companies, vessels, and other entities whose assets are to be blocked or frozen.

50
Q

What is the US Bureau of Industry and Security (BIS)?

A

The BIS is within the Department of Commerce and maintains the Denied Persons List, which is a list of person for whom export privileges have been denied.

51
Q

What regulations does the BIS administer?

A

Export Administration Regulations which applied to commodities, technology, software, and other things subject to export controls.

52
Q

What does section 311 of the US Patriot Act do?

A

It directs the Treasury to designate a FI or jurisdiction as a “primary money laundering concern” based on numerous jurisdictional and institutional factors, including the extent to which the institution is used to facilitate or promote money laundering.

53
Q

Is section 311 of the US Patriot Act a sanction?

A

No but section 311 measures can be as severe as sanctions because it prohibits US FIs from providing products and services to other FIs that in turn provide products or services to one of the designated institutions or jurisdictions of concern. Moreover, US institutions must provide an annial notice to their FI customers warning them against maintaining these accounts as downstream correspondent accounts. The targeted financial institution is effectively cut off from the US dollar payment system.

54
Q

Which bank was designated as a primary money laundering concern for violating Treasury sanctions against North Korea in 2005?

A

FinCEN designated Banco Delta Asia, a Macau company in 2005.

55
Q

What is the order for approval for EU sanctions?

A
  1. Regional preparatory body
  2. Working Party of Foreign Relations Counsellors (RELEX)
  3. Political and Security Committee (PSC)
  4. Committee of Permanent Representatives (COREPER II)
  5. Resolution must be unanimously adopted by the Common Foreign and Security Policy (CFSP)
  6. Upon being published in the Official Journal of the EU, the sanction goes into effect.
56
Q

How are UNSC resolutions implemented by EU countries?

A

As a matter of policy, the EU implements all sanctions enacted by the UNSC. The EU does not need to pass any additional resolutions or transpose UN resolutions into EU law. However, as with its own EU sanctions, member states of the EU are required to adopt their own legislation for monitoring and enforcing sanctions

57
Q

Member states of the UN are expected to follow FATF recommendation as per a number of UN Security resolutions including..,

A

Resolution 2462 issued in March 2019

58
Q

What is the greylist?

A

List of countries that FATF had determined do not merit inclusion on blacklist but have strategic deficiencies in AML/CTF regimes

59
Q

Which FATF recommendation specifically requires countries to implement targeted sanctions regimes to comply with UN Security Council resolutions that are relevant to sanctions?

A

Recommendation 6

60
Q

Which authority in UK is responsible for setting UK’s sanctions policy?

A

The UK’s Foreign and Commonwealth Office.

61
Q

Autonomous sanctions in Canada are implemented under which act?

A

Special Economic Measures Act (SEMA)

62
Q

Which regulator in Canada implements SEMA?

A

Ministry of Foreign Affairs in Canada

63
Q

What is Canada’s financial intelligence unit?

A

The Financial Transactions and Report Analysis Centre (FINTRAC) which may impose admin monetary penalties for violations of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act

64
Q

Which authority in Australia sets the sanctions policy in Australia?

A

Department of Foreign Affairs and Trade (DFAT)

65
Q

What targeted sanctions are implemented by Australia?

A

Like the US and EU, Australia has implemented targeted sanctions and a partial embargo of the Crimea region following Russia’s annexation of Crimea and Sevastopol in March 2014

66
Q

What are the key regulators for oversight of Chinese sanctions in China?

A

The Chinese Ministry of Foreign Affairs (MFA) is principally responsible for oversight of Chinese sanctions and promulgates sanctions through official announcements and through other gov departments such as the PBOC wne the Ministry of Public Security (MPS)

67
Q

Do Chinese sanctions have extraterritorial impact

A

Generally not

68
Q

Which authority has responsibility for applying Germany’s autonomous sanctions?

A

The Federal Ministry of Economics and Technology (BMWi) which coordinates with the Federal Office of Economics and Export Control (BAFA) and the central bank of Germany, Deutsche Bundesbank

69
Q

What is the Germany Federal Office of Economics and Export Control (BAFA) responsible for?

A

BAFA is primarily responsible for the licensing and certifications required for the export of certain controlled goods. BAFA, among other requirements, collecte information on an applicant’s experience in defense activities, industrial activity, written commitments and other information to assess the applicant’s reliability.

70
Q

What direction are HK sanctions implemented under?

A

UNSC sanctions are implemrnted under the direction of the Chinese Ministry of Foreign Affairs

71
Q

Does HK have an automomous sanctions regime?

A

No

72
Q

Which countries do not have autonomous sanctions regimes?

A

HK, India, NZ

73
Q

What unilateral sanctions are imposed by Japan

A

Unilateral sanctions targeting North Korea which may be coordinated with sanctions by other countries such as the US.

74
Q

What is Japan’s primary AML regulator?

A

Ministry of Finance. Also sanctions regime has oversight by the Ministry of Economy, Trade and Industry (METI)

75
Q

Which regulator are UNSC sanctione implemented under in NZ?

A

Ministry of Foreign Affairs and Trade (MFAT)

76
Q

Which authorities in Taiwan implement and enforce UNSC sanctions?

A

Though not a member of UN, the UNSC sanctions are implemented through the Ministry of Foreign Affairs (MFA) and the Bureau of Foreign Trade (BFT)

77
Q

Which authority in Taiwan is primarily responsible for reviewing an approving licensing requests and issuing regulations and guidance concerning Taiwan sanctions and export controls?

A

Bureau of Foreign Trade (BFT)

78
Q

Which authority in Korea may designate entities that are found to be related to terrorist financing?

A

Financial Services Commission

79
Q

What do the enabling sanctions regulations in Switzerland allow it to fo?

A

Under the Swiss Embargo Act, compulsory measures allow it to a) directly or indirectly restrict transactions including goods and services, payments and capital transfers, and the movement of persons, as well as scientific, technological and cultural exchange, and b) include prohibitions, licensing and reporting obligations as well as other restrictions of rights.

80
Q

What people and entities must comply with OFAC regulations?

A

1) US citizens and permanent residents wherever located
2) Companies and other entities organised under US law
3) All people and organisations, whatever their origin, physically present in US
4) All branches of US companies and other entities throughout the world.

81
Q

Where is it stated by the EU that the sanctions it imposes will apply only where links to the EU are present?

A

2012 Guidelines on Implementation and Evaluation of Restrictive Measures in the Framework of the EU Common Foreign and Security Policy

82
Q

When do EU regulations and sanctions apply?

A
  • Within the territory of EU, including airspace
  • On board any aircraft or any vessel under the jurisdiction of a Member State
  • To any person inside or outside the territory of the EU who is a national of a Member State
  • To any legal person, entity or body, inside or outside the territory of the EU, which is incorporated or constituted under the law of a Member State
83
Q

What is the difference between US, UK and EU sanctions?

A

US and UK entities must comply with financial sanctions irrespective where their activities take place. For EU, a company’s subsidiaries located and doing business outside of the EU are not subject to EU sanctions. However, EU may issue anti circumvention legislation preventing EU companies from circumventing EU sanctions by using a non-EU subsidiary as a proxy.

84
Q

What provision of EU regulations prevents companies from circumventing EU sanctions in the context of Ukrainian / Russian sanctions?

A

Article 12 of Council Regulation 833/2014

85
Q

What is the prohibition against facilitation under 31 CFR?

A

A US person may not facilitate or assist the activities of a non-US person if those activities would violate sanctions if the non-US person were a US person.

86
Q

What are examples of prohibited / non prohibited activities for facilitation?

A

Prohibited

  • US parties may not provide guidance on prohibited activities
  • US parties may not alter their corporate policies to allow for prohibited activities
  • US parties may not refer business to a foreign person that would involve a prohibited transaction
  • US persons may not provide technical or advisory expertise for operations in sanctioned countries.

Non prohibited conduct
- Purely clerical or reporting related, such as reporting on a subsidiary’s trade with a sanctioned country

87
Q

What is the export / re-export provision with regard to financial sanctions?

A

The export / re-export provision covers exports where the company “knew or had reason to know” the final destination was a sanctioned target.

The application of “reason to know” is very fact based.

88
Q

What is the EU “blocking regulation” found in Regulation (EC) No. 2271/96?

A

Ban member states from complying or assisting the US in enforcing restrictions imposed under these sanctions.

89
Q

What happened in May 2018 with regard to blocking regs?

A

Teump ceased US participation in the Iran nuclear deal (JCPOA) and began re-imposing US nuclear related sanctions that had been lifted as part of that agreement.

EC reactivated Blocking Reg ans required companies in EU member states to:

  • notify the EC within 30 days whenever the renewed US sanctions directly or indirectly affect their economic or financial interests
  • not comply with the extra territorial effects of these listed US sanctions; and
  • not enforce, within the EU, any foreign court judgments or decisions of admin bodies, such as OFAC, based on reinstated US sanctions.
90
Q

Is there any exemption for the EU Blocking Regulation?

A

Article 5 of the Blocking Regulation provides a mechanism for EU companies to ask the EC for an exemption “if they can demonstrate that compliance with the regulation would “seriously damage their interests” or “the interests of the EU”.

91
Q

Can Member States do anything re breach of the EU’s blocking regulations?

A

The EU blocking regulation allows Member States of the EU to impose sanctions when there is a breach of the EU’s blocking regulation.

The EU person impacted by extraterritorial sanctions can recover damages for losses resulting from the application of such sanctions or actions based thereon or resulting therefrom.

92
Q

Is knowledge a prerequisite for a breach of US sanctions?

A

No

93
Q

What are examples of targeted sanctions?

A

Counter Narcotics Trafficking Sanctions, Global Magnitsky Sanctions, and Transnational Criminal Organisation

94
Q

What are examples of comprehensive sanctions?

A

Iran sanctions and North Korea sanctions

95
Q

What are the 5 permanent members with veto power?

A

China, France, Russian Federation, UK and USA

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