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    美国又制裁11家中国公司:制裁和合规条款已经成为公司法务必须考量的因素!
    • 来源:晋江华闽 发布时间:2020/7/21点击次数:1987
    美国又制裁11家中国公司:制裁和合规条款已经成为公司法务必须考量的因素! 

    原创 Leslie法商学院 unclehome 今天 

       美国商务部昨晚又发飙,把十一家中国公司又列入了制裁名单。具体的原因还是不要说了,不然又得像上次一样被和谐。当然,大家一看里面不少来自昌吉、和田的公司,自然都会明白是啥子原因。大家可以看看下面这个名单: 

    The entities to be added to the Entity List in connection with the practice of forced labor involving Uyghurs and other Muslim minority groups in the XUAR are:

     Changji Esquel Textile Co. Ltd. 

     Hefei Bitland Information Technology Co. Ltd. 

     Hefei Meiling Co. Ltd. 

     Hetian Haolin Hair Accessories Co. Ltd. 

     Hetian Taida Apparel Co., Ltd. 

     KTK Group 

     Nanjing Synergy Textiles Co. Ltd. 

     Nanchang O-Film Tech

     Tanyuan Technology Co. Ltd. 

     The entities to be added to the Entity List in connection with conducting genetic analyses used to further the repression of Uyghurs and other Muslim minorities in XUAR are: 

     Xinjiang Silk Road BGI 

     Beijing Liuhe BGI 

    中文版的名录是: 

    Beijing Liuhe BGI;北京六合华大基因科技 

     Changji Esquel Textile Co. Ltd.昌吉溢达纺织有限公司 

     Hefei Bitland Information Technology Co. Ltd.合肥宝龙达信息技术有限公司 

     Hefei Meiling Co. Ltd.;合肥美菱集团控股有限公司 

     Hetian Haolin Hair Accessories Co. Ltd.;和田浩林发饰品有限公司 

     Hetian Taida Apparel Co., Ltd.; 和田市泰达服装有限公司 

     KTK Group;今创集团股份有限公司 

     Nanchang O-Film Tech;南昌欧菲光科技有限公司 

     Nanjing Synergy Textiles Co. Ltd.;南京新一棉纺织印染有限公司 

     Tanyuan Technology Co. Ltd.; and碳元科技股份有限公司 

     Xinjiang Silk Road BGI.新疆丝路华大基因科技有限公司 

     前几天我司要签一个合同的时候,正好签约对方是来自和美国不太友好的一个国家,我问把合同拿上来的团队成员,“查过在制裁名单上么?” “查了“,””有制裁合规陈述保证条款和相关的终止权么?“有合法性陈述和保证”,“那还不太够,最好再要求对方加一个详细的制裁合规陈述与保证条款,有可能话,要求对方做个赔偿保障”。加上相应的条款之后,合约的相对方也很理解的接受了。 

    在全球现在的环境下,企业法律工作者在交易过程中、商务合同审查中,一定要注意制裁合规相关的条款。 

    一般来说,需要注意一下几个方面: 

     第一、交易对手的查询。交易对手是否是制裁对象,是否来自相关的敏感受制裁国家、是否在相关政府的制裁名单上,需要提前进行查询确认,甚至需要进行相关公司、相关公司的股东背景调查。KYC这个流程,在和任何交易对手进行交易的过程中,都必不可少,因为“”伙伴责任“和“继承者责任”这两个帽子,所以作为交易的一方务必要小心确认交易对方的身份。法商学院的Dora老师开发了一个很厉害的软件,可以帮助识别交易对手的身份和合规性,有兴趣的可以找小云canton2peking, 联系试用。

     第二、在交易尽调过程中,要对对方的供应链,交易对手的交易对手等也进行一个摸底。保证你交易对手的商务经营活动的合规性。现在合规尽调的方面也多:反腐、洗钱、出口管制、制裁、数据合规、个人信息保护、网络安全等等。要根据不同 的行业有所侧重的进行合规尽调。比如航运业的就非常关注运的船从哪儿来,要去哪儿,有没有和制裁国、制裁实体和个人有关联,货是从哪儿来的,等等,因为一个不慎,就有可能入坑,带来风险。 

     第三、在商务合同中放入相关的合规陈述与保证条款。比如下面的一个实例就是非常常见的应对制裁管制的一个合规的陈述与保证条款。

     Neither the Company nor any of its subsidiaries nor, to the knowledge of the Company, any director, officer, agent, employee or affiliate of the Company or any of its subsidiaries (i) is, or is controlled or 50% or more owned in the aggregate by or is acting on behalf of, one or more individuals or entities that are currently the subject of any sanctions administered or enforced by the United States (including any administered or enforced by the Office of Foreign Assets Control of the U.S. Department of the Treasury, the U.S. Department of State or the Bureau of Industry and Security of the U.S. Department of Commerce), the United Nations Security Council, the European Union, a member state of the European Union (including sanctions administered or enforced by Her Majesty’s Treasury of the United Kingdom) or other relevant sanctions authority (collectively, “Sanctions” and such persons, “Sanctioned Persons” and each such person, a “Sanctioned Person”), (ii) is located, organized or resident in a country or territory that is, or whose government is, the subject of Sanctions that broadly prohibit dealings with that country or territory (collectively, “Sanctioned Countries” and each, a “Sanctioned Country”) or (iii) will, directly or indirectly, use the proceeds of this offering, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other individual or entity in any manner that would result in a violation of any Sanctions by, or could result in the imposition of Sanctions against, any individual or entity (including any individual or entity participating in the offering, whether as underwriter, advisor, investor or otherwise). Neither the Company nor any of its subsidiaries has engaged in any dealings or transactions with or for the benefit of a Sanctioned Person, or with or in a Sanctioned Country, in the preceding 3 years, nor does the Company or any of its subsidiaries have any plans to engage in dealings or transactions with or for the benefit of a Sanctioned Person, or with or in a Sanctioned Country. 

     第四、在合同中加入违反合规与陈述保证的终止权和/或赔偿保障条款。这个主要是预防出现问题之后的风险控制问题。当然,很多时候,交易对手如果对于制裁管制或者合规法律不那么了解的情况下,不一定这么容易拿得到这些条款。对于公司法律工作人员来说,需要非常仔细的去平衡可能的合规风险和商业利益的问题。 

     第五、归根到底,企业要建立一个良好的合规体系来控制风险。交易对手的身份、尽职调查、合约条款等对于风险控制很重要,但最关键的是还是要建立一个体系来管控合规风险。只有在企业内部建立一个完善的、可执行的合规风险管控体系,才能从源头上保证公司不发生根本性的、颠覆性的合规风险。 欢迎来Leslie法商学院,一起交流全球经营的中国企业如何控制合规风险。

     Uncle聊天室要墙裂推荐给大家,全部是牛人、奇人。


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