當?shù)貢r間11月21日，美國財政部外國資產(chǎn)控制辦公室（OFAC）又采取了一項重大舉措，以兌現(xiàn)G7領(lǐng)導人遏制俄羅斯利用國際金融體系為其對烏克蘭的戰(zhàn)爭提供支持的承諾。OFAC的行動包括將加茲普羅姆銀行（Gazprombank）、50多家與國際市場相連的俄羅斯銀行、40多家俄羅斯證券登記機構(gòu)和15名俄羅斯金融官員列入制裁名單。OFAC還發(fā)布了一份警報，描述了與俄羅斯金融信息傳輸系統(tǒng)（SPFS）有關(guān)的制裁風險，該系統(tǒng)是俄羅斯創(chuàng)建并用于規(guī)避制裁的。其中涉1家中國實體，和1家俄羅斯銀行在中國上海的3名員工。
一、此次制裁涉及的1家中國實體
GPB FINANCIAL SERVICES HONG KONG LIMITED（香港），31/F, Tower Two, Times Square, 1 Matheson Street, Hong Kong, China; Room 1307-8, Dominion Center 43-59, Queen's Road East, Hong Kong, China; Suite 5711, Two International Finance Centre, 8 Finance Street, Hong Kong, China; 二級制裁風險: See Section 11 of Executive Order 14024.; Target Type Financial Institution; alt. Target Type State-Owned Enterprise; Company Number 2045244 (Hong Kong); Legal Entity Number 254900ITGX90ZPLVYA65; Business Registration Number 62825785 (Hong Kong) [RUSSIA-EO14024] (Linked To: GAZPROMBANK JOINT STOCK COMPANY).
二、VTB Bank Public Joint Stock Company 俄羅斯VTB上海分支機構(gòu)的3名員工
Elena Fedkina is a VTB Shanghai Relationship Manager.
Ilya Lishenko is VTB Shanghai’s Senior Relationship Manager.
Roman Logov is VTB Shanghai’s Deputy General Manager.
三、對俄羅斯金融機構(gòu)和銀行的制裁
1、OFAC 將 Gazprombank Joint Stock Company （Gazprombank） 及其六家外國子公司列入制裁名單。Gazprombank 是俄羅斯購買軍事物資的渠道。
2、數(shù)十家俄羅斯銀行
為了進一步削弱俄羅斯與國際金融體系的聯(lián)系，OFAC 指定了 50 多家俄羅斯中小型銀行，以防止俄羅斯濫用國際金融體系來支付維持對烏克蘭的非法和不正義戰(zhàn)爭所需的技術(shù)和設(shè)備。與這些銀行保持代理關(guān)系的外國金融機構(gòu)應意識到，繼續(xù)這樣做會帶來重大的制裁風險。
3、俄羅斯證券登記機構(gòu)
OFAC 了解到，俄羅斯試圖逃避或避免 OFAC 對國家結(jié)算存管處的制裁，方法是通過第 840 號總統(tǒng)令要求將某些證券轉(zhuǎn)讓給俄羅斯當?shù)氐淖C券登記處。今天，OFAC 指定了 40 多家此類注冊商。OFAC 還更新了常見問題解答 1197，以提供有關(guān)在這些注冊商持有或以其他方式涉及這些注冊商的證券的進一步指導。
四、對俄羅斯金融信息傳輸系統(tǒng)的警報
OFAC還發(fā)布了一份警報，強調(diào)外國金融機構(gòu)加入俄羅斯金融信息傳輸系統(tǒng)（通常以其俄語縮寫SPFS，即“金融信息傳輸系統(tǒng)”的縮寫）所面臨的制裁風險。由于SPFS在促進俄羅斯金融體系內(nèi)金融機構(gòu)之間的溝通方面發(fā)揮了作用，因此屬于俄羅斯聯(lián)邦金融服務(wù)部門的一部分。這意味著任何外國金融機構(gòu)加入或已經(jīng)加入SPFS都可能根據(jù)第14024號行政令被指定為在俄羅斯聯(lián)邦經(jīng)濟的金融服務(wù)部門運營或已經(jīng)運營。俄羅斯利用并推廣SPFS（作為SWIFT網(wǎng)絡(luò)的替代品），以保持國際金融連接，規(guī)避制裁，并為其戰(zhàn)爭努力提供資金。OFAC認為，在發(fā)布此警報后加入SPFS的行為是危險信號，并準備對采取此類行動的外國金融機構(gòu)采取更積極的制裁措施。OFAC還敦促利益相關(guān)者審查他們與加入SPFS的金融機構(gòu)的往來，因為這些銀行可能成為俄羅斯規(guī)避制裁的渠道。
五、對俄羅斯金融機構(gòu)的制裁清單
名單1——數(shù)十家俄羅斯銀行
根據(jù)第 14024 號行政令，以下俄羅斯金融機構(gòu)和個人因在俄羅斯聯(lián)邦經(jīng)濟的金融服務(wù)部門經(jīng)營或曾經(jīng)經(jīng)營而被認定為俄羅斯金融機構(gòu)和個人：
Aktsionernoe Obshchestvo Bank Agroros is a bank headquartered in Saratov, Russia.
Bank Iturup LLC is a bank headquartered in Yuzhno-Sakhalinsk, Russia.
BBR Bank Joint Stock Company is a bank headquartered in Moscow, Russia.
BCS Bank AO is a bank headquartered in Moscow, Russia.
Bratsky Narodny Bank JSC is a bank headquartered in Bratsk, Russia.
Centrocredit Bank is a bank headquartered in Moscow, Russia.
Commercial Bank Energotransbank Joint Stock Company is a bank headquartered in Kaliningrad, Russia.
Commercial Bank Khlynov Joint Stock Company is a bank headquartered in Kirov, Russia.
Commercial Bank Kremlyovskiy is a bank headquartered in Moscow, Russia.
Commercial Joint Stock Bank Viking is a bank headquartered in Saint Petersburg, Russia.
Corporate Finance Bank LLC is a bank headquartered in Moscow, Russia.
Evrofinance Mosnarbank is a bank headquartered in Moscow, Russia. Evrofinance Mosnarbank was previously designated pursuant to E.O. 13850.
Fora Bank Joint Stock Commercial Bank is a bank headquartered in Moscow, Russia.
Garant Invest Bank Joint Stock is a bank headquartered in Moscow, Russia.
Interstate Bank is a bank headquartered in Moscow, Russia.
Joint Stock Commercial Bank National Reserve Bank Joint Stock Company (NRB)is a bank headquartered in Moscow, Russia. Daniel Haindl (Haindl) is the Senior Vice President of NRB. In his role at NRB, Haindl has been involved in a sanctions evasion scheme.
Joint Stock Commercial Bank Slavia Joint Stock Company is a bank headquartered in Moscow, Russia.
Joint Stock Commercial Mortgage Bank Akibank Public Joint Stock Company is a bank headquartered in Naberezhnye Chelny, Russia.
Joint Stock Company Auto Finance Bank is a bank headquartered in Moscow, Russia.
Joint Stock Company Bank Accept is a bank headquartered in Novosibirsk, Russia.
Joint Stock Company Bank Dom RF is a bank headquartered in Moscow, Russia.
Joint Stock Company Bank Finservice is a bank headquartered in Moscow, Russia.
Joint Stock Company Bank United Capital is a bank headquartered in Saint Petersburg, Russia.
Joint Stock Company Coalmetbank is a bank headquartered in Chelyabinsk, Russia.
Joint Stock Company Commercial Bank Ural FD is a bank headquartered in Perm, Russia.
Joint Stock Company Guta Bank is a bank headquartered in Moscow, Russia.
Joint Stock Company NS Bank is a bank headquartered in Moscow, Russia.
Joint Stock Company Public Trust Bank is a bank headquartered in Moscow, Russia.
Joint Stock Company Royal Credit Bank is a bank headquartered in Vladivostok, Russia.
Joint Stock Company Severgazbank is a bank headquartered in Vologda, Russia.
Joint Stock Investment Commercial Bank Eniseisk United Bank is a bank headquartered in Krasnoyarsk, Russia.
JSC Exi Bank is a bank headquartered in Saint Petersburg, Russia.
JSCB Energobank is a bank headquartered in Kazan, Russia.
Kamsky Commercial Bank is a bank headquartered in Naberezhnye Chelny, Russia.
Limited Liability Company Bank Orange is a bank headquartered in Saint Petersburg, Russia.
Limited Liability Company Bank Round is a bank headquartered in Moscow, Russia.
Limited Liability Company Krona Bank is a bank headquartered in Irkutsk, Russia.
MB Bank is a bank headquartered in Moscow, Russia.MB Bank, also known as Mir Business Bank, is the Russia-based wholly-owned subsidiary of Iran’s Bank Melli Iran. MB Bank was previously designated previously designated pursuant to E.O. 13224 and E.O. 13582.
National Standard Bank Joint Stock Company is a bank headquartered in Moscow, Russia.
New Moscow Bank is a bank headquartered in Moscow, Russia.
NK Bank Joint Stock Company is a bank headquartered in Moscow, Russia.
Primorsky Territorial Commercial Bank Society with Limited Liability is a bank headquartered in Vladivostok, Russia.
Public Joint Stock Commercial Bank Derzhava is a bank headquartered in Moscow, Russia.
Public Joint Stock Company Bank Alexandrovsky is a bank headquartered in Saint Petersburg, Russia.
Public Joint Stock Company Bank Sinara is a bank headquartered in Yekaterinburg, Russia.
Public Joint Stock Company Finstar Bank is a bank headquartered in Saint Petersburg, Russia.
Public Joint Stock Company Metkombank is a bank headquartered in Kamensk-Uralskiy, Russia.
Public Joint Stock Company National Bank Trust is a bank headquartered in Moscow, Russia.
Public Joint Stock Social Commercial Bank of Primorye Primsotsbank is a bank headquartered in Vladivostok, Russia.
Rossita Bank is a bank headquartered in Moscow, Russia.
Russian Public Joint Stock Commercial Roads Bank is a bank headquartered in Moscow, Russia.
Russian Universal Bank is a bank located in Moscow, Russia.
Vitabank PJSC is a bank headquartered in Podolsk, Russia.
Waybank JSC is a bank headquartered in Moscow, Russia.
名單二——俄羅斯證券登記處
以下俄羅斯金融機構(gòu)作為注冊商，并根據(jù) 14024 號行政令被指定為在俄羅斯聯(lián)邦經(jīng)濟的金融服務(wù)部門運營或曾經(jīng)運營的金融機構(gòu)：
Aktsionernoe Obshchestvo Agentstvo Regionalnyi Nezavisimyi Registrator is a registrar based in Tula, Russia, and Lipetsk, Russia.
Aktsionernoe Obshchestvo Mezhregionalnyi Registratorskii Tsentr is a registrar based in Moscow, Russia.
Aktsionernoe Obshchestvo Natsionalnaya Spetsializirovannaya Finansovaya Kompaniya is a registrar based in Novosibirsk, Russia.
Aktsionernoe Obshchestvo Nezavisimaya Registratorskaya Kompaniya R.O.S.T. is a registrar based in Moscow, Russia.
Aktsionernoe Obshchestvo Professionalnyi Registratsionnyi Tsentr is a registrar based in Moscow, Russia.
Aktsionernoe Obshchestvo Registrator Kapital is a registrar based in Yekaterinburg, Russia.
Aktsionernoe Obshchestvo Spetsializirovannyi Registrator Kompas is a registrar based in Novokuznetsk, Russia.
Aktsionernoe Obshchestvo Surgutinvestneft is a registrar based in Surgut, Russia.
Aktsionernoe Obshchestvo Vedenie Reestrov Kompanii is a registrar based in Yekaterinburg, Russia.
Aktsionernoe Obshchestvo Independent Specialized Depository is a registrar based in Moscow, Russia.
AO Reestr is a registrar based in Moscow, Russia.
Aktsionernoe Obshchestvo Registratsionnaya Kompaniya Tsentr Invest is a registrar based in Irkutsk, Russia, and Moscow, Russia.
Aktsionernoe Obshchestvo Depozitarnaya Kompaniya Region is a registrar based in Moscow, Russia.
Evroaziatskii Registrator is a registrar based in Kazan, Russia.
AO Spetsializirovannyi Depozitarii Infinitum is a registrar based in Moscow, Russia.
Joint Stock Company Aktiv is a registrar based in Saint Petersburg, Russia.
Joint Stock Company Industria Reestr is a registrar based in Moscow, Russia.
Joint Stock Company RDC Paritet is a registrar based in Moscow, Russia.
Joint Stock Company Registrator Intraco is a registrar based in Perm, Russia.
Joint Stock Company Registry Society Status is a registrar based in Moscow, Russia.
JSC DRAGA is a registrar based in Moscow, Russia, and Saint Petersburg, Russia.
JSC Republican Specialregistrar Yakut Fund Center is a registrar based in Yakutsk, Russia.
JSC RT Registrar is a registrar based in Moscow, Russia.
JSC Service Reestr is a registrar based in Moscow, Russia.
JSC Noviy Registrator is a registrar based in Moscow, Russia.
Korporativnaya Registratorskaya Kompaniya is a registrar based in Moscow, Russia.
Limited Liability Company Depositary and Corporate Technologies is a registrar based in Moscow, Russia.
Limited Liability Company Special Depository Partner is a registrar based in Moscow, Russia.
Limited Liability Company Specialized Depository Company Garant is a registrar based in Moscow, Russia.
Moskovskii Fondovyi Tsentr is a registrar based in Moscow, Russia.
National Custodial Company Stock Closed Corporation is a registrar based in Moscow, Russia.
Obshchestvo S Ogranichennoy Otvetsvennostyu Oboronregistr is a registrar based in Moscow, Russia.
OOO Partner is a registrar based in Cherepovets, Russia.
OOO Reestr RN is a registrar based in Moscow, Russia.
OOO Registrator Garant is a registrar based in Moscow, Russia.
Registrator KRTS is a registrar based in Krasnodar, Russia.
Spetsializirovannyi Depozitarii Depo Plaza is a registrar based in Moscow, Russia.
Spetsializirovannyi Registrator Rekom is a registrar based in Staryy Oskol, Russia.
Tsentr Ucheta i Registratsii is a registrar based in Saint Petersburg, Russia.
Yuzhno Regionalnyi Registrator is a registrar based in Rostov-na-Donu, Russia.
Zakrytoe Aktsionernoe Obshchestvo Pervyi Spetsializirovannyi Depozitarii is a registrar based in Moscow, Russia.
名單三——CBR 官員
以下俄羅斯公民是俄羅斯聯(lián)邦中央銀行 （CBR） 的官員，該銀行受 14024 號行政令第 1 號和第 4 號指令的約束，并根據(jù)第 14024 號行政令被指定為在俄羅斯聯(lián)邦經(jīng)濟的金融服務(wù)部門經(jīng)營或曾經(jīng)經(jīng)營的企業(yè)：
Alla Bakina (Bakina) is the Director of the National Payment System Department of the CBR and is responsible for modernizing CBR payment systems. Bakina is involved in expanding the reach of Russia’s System for Transfer of Financial Messages (SPFS) and Faster Payments System (SBP).
Vladimir Chistyukhin has been a First Deputy Governor of the CBR since 2022 and a Member of the Board of Directors of the CBR since 2023.
Elizaveta Danilova is Director of the Financial Stability Department at the CBR and has been a Member of the Board of Directors of the CBR since 2023.
Gulnara Khaidarshina is the Director of the Department for Cooperation with International Organizations at the CBR.
Mikhail Anatolyevich Kovrigin is the Director of the International Settlements Department at the CBR.
Ekaterina Lozgacheva has been the Director of the Financial Market Strategy Department of the CBR since 2023 and previously served in other positions at the CBR dating back to 2011.
Alexandr Morozov has been the Director of the Research and Forecasting Department at the CBR since 2015.
Olga Vasilyevna Polyakova has been a Deputy Governor of the CBR since 2016 and a Member of the Board of Directors of the CBR since 2021.
Kirill Pronin (Pronin) is the Director of the Financial Market Infrastructure at the CBR. Pronin was previously Director of the CBR’s Department of Financial Technologies.
Bogdan Shablya is head of the CBR’s Financial Monitoring and Currency Control Department and has worked at the CBR for more than 25 years.
Dmitry Tulin is a First Deputy Governor of the CBR and has been a Member of the Board of Directors of the CBR since 2020.
名單四——VTB 上海和 SBERBANK 新德里員工、還有Gaz 銀行和 6 家分支機構(gòu)
Andrei Anisimov is Sberbank New Delhi’s Deputy Managing Director.
Elena Fedkina is a VTB Shanghai Relationship Manager.
Ilya Lishenko is VTB Shanghai’s Senior Relationship Manager.
Roman Logov is VTB Shanghai’s Deputy General Manager.
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廣東長誠國際供應鏈管理有限公司，專注于建立跨境電商財稅合規(guī)、市場采購貿(mào)易1039一站式服務(wù)，美金合規(guī)收匯結(jié)匯人民幣，越南盾收匯結(jié)匯，VTB銀行開戶，俄羅斯外貿(mào)收款服務(wù)，國內(nèi)核定征收完稅，跨境電商股權(quán)設(shè)計、供應鏈與現(xiàn)金流管理為一體的綜合服務(wù)平臺。創(chuàng)始人團隊，擁有10年+財稅從業(yè)經(jīng)驗，8年以上跨境財稅顧問經(jīng)驗，為多家億級跨境賣家提供顧問服務(wù)。同時長誠財務(wù)管理擁有一批經(jīng)驗豐富的財會實操團隊，為企業(yè)高質(zhì)量的服務(wù)提供保障。
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