游说公司因帮助客户从SDN名单中移除违反美国制裁政策

PHOTO: ALASTAIR PIKE/AGENCE FRANCE-PRESSE/GETTY IMAGES

A New York lobbying firm led by a former U.S. senator has settled allegations it provided services to a Somalia-based company that was designated by the U.S. as a terrorist organization, the Treasury Department said.

一家由美国前参议员领导的纽约游说公司与美国财政部达成和解，因其向一家总部位于索马里的客户提供服务，而该客户被美国政府认定为恐怖组织。

Park Strategies LLC, a company founded by former New York Sen. Alfonse D’Amato, paid $12,150 to settle allegations it violated sanctions by providing lobbying work in 2017 to Al-Barakaat Group of Companies Somalia Ltd., according to the Treasury’s Office of Foreign Assets Control, which enforces U.S. sanctions. Al-Barakaat Group, also known as Al-Barakat Financial Co., was designated as a global terrorist group by the U.S. in 2001, the Treasury said.

据美国财政部负责执行制裁的外国资产控制办公室(Office Of Foreign Assets Control, 简称OFAC)称，由前纽约州参议员Alfonse D‘Amato创立的Park Strategy LLC支付了12,150美元，以了结有关该公司2017年违反制裁、向索马里Al-Barakaat Group of Companies Ltd.提供游说服务的指控。美国财政部表示，曾用名为Al-Barakat Financial Co.的Al-Barakaat Group于2001年被美国列为全球恐怖组织。

“As soon as we learned that the engagement with Al-Barakaat might be in violation with OFAC, we immediately…terminated the engagement and ceased to provide any further services,” said Christopher D’Amato, the general counsel for Park Strategies.

Park Strategy的首席法律顾问克里Christopher D‘Amato称∶“我们一得知与Al-Barakaat的接触可能违反OFAC的规定之后，就立即...终止了接触，并已停止提供任何进一步服务。”

The fine illustrates the sanctions compliance risks facing professional services providers, including attorneys and law firms, that seek to represent blocked individuals or entities as clients.

这笔罚款凸显出，包括律师和律师事务所在内，那些希望为被制裁的个人或实体提供专业服务的提供商将面临制裁合规风险。

Park Strategies signed a contract with Al-Barakaat in August 2017 to lobby the U.S. government to remove the company from the Treasury’s Specially Designated Nationals And Blocked Persons List, Mr. D’Amato said.

Mr. D’Amato表示Park Strategies在2017年8月与巴拉卡特签署了一份合同，游说美国政府将该公司从财政部特别指定国民清单（SDN）中移除。

Sanctions placed on Al-Barakaat Group in 2001 sought to freeze assets held by the company within U.S. jurisdictions and prohibit U.S.-based individuals and firms from doing business with the company, unless permitted by OFAC. Efforts to reach Al-Barakaat for comment were unsuccessful.

2001年对巴拉卡特集团实施的制裁试图冻结该公司在美国司法管辖范围内持有的资产，并禁止该公司在美国境内从事非法活动，除非获得OFAC的许可，否则不得与该公司开展业务。记者未能联系到巴拉卡特请其置评。

Many sanctions programs enforced by OFAC have general licenses that authorize the provision of certain legal services to blocked individuals or entities. Other related professional services, such as lobbying, public relations, consulting and government affairs, aren’t considered legal services and generally aren’t covered by these licenses, according to OFAC.

OFAC实施的许多制裁方案都具有一般许可证，授权向被制裁的个人或实体提供某些法律服务。据OFAC说，其他相关的专业服务，如游说、公关、咨询和政府事务，不被视为法律服务，一般不包括在这些许可范围内。

Mr. D’Amato said the company believed the representation would fall within the general licenses issued by OFAC. “We knew that the clients had previously engaged a law firm that was attempting to petition the Treasury for removal from the SDN list,” he said. “At that time, we were under the impression that…such safe harbor would be afforded to our firm.”

Mr. D’Amato说，公司认为，这种专业服务符合OFAC颁发的一般许可证。他表示:“我们知道，这些客户此前曾与一家律师事务所接洽，该律所正试图请求美国财政部将其从SDN名单中除名。”“当时，我们的印象是……我们公司可以提供这样的服务。”

The contract, which was signed by Park Strategies’ executive vice president and managing director, specified the lobbying company would receive three separate payments of $10,000 from Al-Barakaat, totaling $30,000, according to OFAC.

根据OFAC的说法，这份由Park Strategies执行副总裁兼董事总经理签署的合同规定，这家游说公司将分别从Al-Barakaat获得三笔1万美元的款项，总计3万美元。

Park Strategies started performing lobbying services under the contract after receiving the first payment in September 2017 from a person acting on behalf of Al-Barakaat, OFAC said. About a month later, Park Strategies contacted its bank to request the funds be placed in a blocked account and directed its external counsel to start an investigation, OFAC said.

OFAC表示，Park Strategies在2017年9月从Al-Barakaat的代理人那里收到第一笔付款后，开始根据合同提供游说服务。OFAC表示，大约一个月后，Park Strategies联系了其银行，要求将这笔资金存入一个被冻结的账户，并指示其外部律师展开调查。

Park Strategies voluntarily disclosed the alleged misconduct to the agency, OFAC said, adding that it constitutes a nonegregious case. Mr. D’Amato said the company also has implemented protocol to ensure its further work with foreign nationals would be in compliance with regulations.

OFAC说，Park Strategies主动向该机构披露了被指控的不当行为，并补充说，这是一个不过分的案件。Mr. D’Amato说，公司还实施了相关规定，以确保与外国人的进一步合作符合规定。

Mengqi Sun

Jan. 26, 2020 5:59 pm ET

（本文版权归道琼斯公司所有，未经许可不得翻译或转载。）

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