| 美國(guó)又制裁11家中國(guó)公司：制裁和合規(guī)條款已經(jīng)成為公司法務(wù)必須考量的因素！
原創(chuàng) Leslie法商學(xué)院 unclehome 今天
美國(guó)商務(wù)部昨晚又發(fā)飆，把十一家中國(guó)公司又列入了制裁名單。具體的原因還是不要說了，不然又得像上次一樣被和諧。當(dāng)然，大家一看里面不少來自昌吉、和田的公司，自然都會(huì)明白是啥子原因。大家可以看看下面這個(gè)名單：
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
中文版的名錄是：
Beijing Liuhe BGI;北京六合華大基因科技
Changji Esquel Textile Co. Ltd.昌吉溢達(dá)紡織有限公司
Hefei Bitland Information Technology Co. Ltd.合肥寶龍達(dá)信息技術(shù)有限公司
Hefei Meiling Co. Ltd.;合肥美菱集團(tuán)控股有限公司
Hetian Haolin Hair Accessories Co. Ltd.;和田浩林發(fā)飾品有限公司
Hetian Taida Apparel Co., Ltd.; 和田市泰達(dá)服裝有限公司
KTK Group;今創(chuàng)集團(tuán)股份有限公司
Nanchang O-Film Tech;南昌歐菲光科技有限公司
Nanjing Synergy Textiles Co. Ltd.;南京新一棉紡織印染有限公司
Tanyuan Technology Co. Ltd.; and碳元科技股份有限公司
Xinjiang Silk Road BGI.新疆絲路華大基因科技有限公司
前幾天我司要簽一個(gè)合同的時(shí)候，正好簽約對(duì)方是來自和美國(guó)不太友好的一個(gè)國(guó)家，我問把合同拿上來的團(tuán)隊(duì)成員，“查過在制裁名單上么？” “查了“，””有制裁合規(guī)陳述保證條款和相關(guān)的終止權(quán)么？“有合法性陳述和保證”，“那還不太夠，最好再要求對(duì)方加一個(gè)詳細(xì)的制裁合規(guī)陳述與保證條款，有可能話，要求對(duì)方做個(gè)賠償保障”。加上相應(yīng)的條款之后，合約的相對(duì)方也很理解的接受了。
在全球現(xiàn)在的環(huán)境下，企業(yè)法律工作者在交易過程中、商務(wù)合同審查中，一定要注意制裁合規(guī)相關(guān)的條款。
一般來說，需要注意一下幾個(gè)方面：
第一、交易對(duì)手的查詢。交易對(duì)手是否是制裁對(duì)象，是否來自相關(guān)的敏感受制裁國(guó)家、是否在相關(guān)政府的制裁名單上，需要提前進(jìn)行查詢確認(rèn)，甚至需要進(jìn)行相關(guān)公司、相關(guān)公司的股東背景調(diào)查。KYC這個(gè)流程，在和任何交易對(duì)手進(jìn)行交易的過程中，都必不可少，因?yàn)椤啊被锇樨?zé)任“和“繼承者責(zé)任”這兩個(gè)帽子，所以作為交易的一方務(wù)必要小心確認(rèn)交易對(duì)方的身份。法商學(xué)院的Dora老師開發(fā)了一個(gè)很厲害的軟件，可以幫助識(shí)別交易對(duì)手的身份和合規(guī)性，有興趣的可以找小云canton2peking, 聯(lián)系試用。
第二、在交易盡調(diào)過程中，要對(duì)對(duì)方的供應(yīng)鏈，交易對(duì)手的交易對(duì)手等也進(jìn)行一個(gè)摸底。保證你交易對(duì)手的商務(wù)經(jīng)營(yíng)活動(dòng)的合規(guī)性�，F(xiàn)在合規(guī)盡調(diào)的方面也多：反腐、洗錢、出口管制、制裁、數(shù)據(jù)合規(guī)、個(gè)人信息保護(hù)、網(wǎng)絡(luò)安全等等。要根據(jù)不同 的行業(yè)有所側(cè)重的進(jìn)行合規(guī)盡調(diào)。比如航運(yùn)業(yè)的就非常關(guān)注運(yùn)的船從哪兒來，要去哪兒，有沒有和制裁國(guó)、制裁實(shí)體和個(gè)人有關(guān)聯(lián)，貨是從哪兒來的，等等，因?yàn)橐粋�(gè)不慎，就有可能入坑，帶來風(fēng)險(xiǎn)。
第三、在商務(wù)合同中放入相關(guān)的合規(guī)陳述與保證條款。比如下面的一個(gè)實(shí)例就是非常常見的應(yīng)對(duì)制裁管制的一個(gè)合規(guī)的陳述與保證條款。
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、在合同中加入違反合規(guī)與陳述保證的終止權(quán)和/或賠償保障條款。這個(gè)主要是預(yù)防出現(xiàn)問題之后的風(fēng)險(xiǎn)控制問題。當(dāng)然，很多時(shí)候，交易對(duì)手如果對(duì)于制裁管制或者合規(guī)法律不那么了解的情況下，不一定這么容易拿得到這些條款。對(duì)于公司法律工作人員來說，需要非常仔細(xì)的去平衡可能的合規(guī)風(fēng)險(xiǎn)和商業(yè)利益的問題。
第五、歸根到底，企業(yè)要建立一個(gè)良好的合規(guī)體系來控制風(fēng)險(xiǎn)。交易對(duì)手的身份、盡職調(diào)查、合約條款等對(duì)于風(fēng)險(xiǎn)控制很重要，但最關(guān)鍵的是還是要建立一個(gè)體系來管控合規(guī)風(fēng)險(xiǎn)。只有在企業(yè)內(nèi)部建立一個(gè)完善的、可執(zhí)行的合規(guī)風(fēng)險(xiǎn)管控體系，才能從源頭上保證公司不發(fā)生根本性的、顛覆性的合規(guī)風(fēng)險(xiǎn)。
歡迎來Leslie法商學(xué)院，一起交流全球經(jīng)營(yíng)的中國(guó)企業(yè)如何控制合規(guī)風(fēng)險(xiǎn)。
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