美国经济制裁执法管辖“非美国人”之批判分析

《上海财经大学学报》 2021年23卷第1期 页码：122 - 137  online：2021年1月23日

美国经济制裁执法管辖“非美国人”之批判分析

Critical Analysis of US Unilateral Economic Sanctions Enforcement Jurisdiction against Non-US Persons

作者（中）：郭华春

作者（英）：Guo Huachun

作者单位：1.华东政法大学 国际法学院，上海 200042

摘要：文章从法理、执法策略及其实施路径三个层面批判分析美国经济制裁领域对“非美国人”的执法管辖，对于化解我国企业和实体跨境交易风险、构建中国公法的域外适用体系具有重要的理论与现实意义。单边经济制裁领域的制裁目标、执法对象二元结构契合了国际法关于立法、执法管辖划分的原理，为一国公法的域外适用提供了法理空间。但是，美国执法管辖“非美国人”的实践滥用了效果管辖原理。美国依托美元金融基础设施，构造了执法管辖“非美国人”的联系因素和威慑、激励两大执法策略，以及美元同业往来账户、股东控制、执法和解、许可例外等公私互动路径。这些策略、路径滥用了美元国际货币地位，共同构成了美国对“非美国人”的“隐形”执法管辖机制。我国公法域外适用体系需要重点关注跨境执法管辖能力和机制，从公私层面积累、构建具有中国优势的执法管辖全球联系因素是基础和关键。

关键词：单边经济制裁; “隐形”执法管辖; 美元同业往来账户; 公私互动

Summary: US unilateral economic sanctions make entities, individuals and even foreign countries outside the United States exposure to US legal enforcement threat. Critical analysis of US enforcement jurisdiction over Non-US Persons from three levels of jurisprudence, enforcement strategies and implementation paths possesses theoretical and practical significance for resolving the risks of cross-border transactions between Chinese enterprises and entities and building extraterritorial application system of Chinese public law. The dual structure of sanction target/enforcement object in the field of unilateral economic sanctions conforms to the principle of international law on the division of prescriptive/enforcement jurisdiction and provides jurisprudence for the extraterritorial application of domestic public law. US unilateral enforcement jurisdiction over Non-US Persons actually extends the traditional effect of jurisdiction over foreign acts that cause damage within the territory of United States to the jurisdiction over foreign acts that cause violation of acts in the United States, which increases international legal conflicts, and is an abuse of the principle of Effective Doctrine.The United States relies on the threat of access to the US dollar financial infrastructure and case by case enforcement penalties to build the linking factors and deterrence strategies of enforcement jurisdiction over Non-US Persons. US authorities take advantage of Party autonomy, encouraging and guiding to abide by US unilateral economic sanctions both at the case by case level and rule level. Actively disclosure of illegal activities and improving compliance capabilities also help to overcome OFAC’s territorial jurisdiction limitations in obtaining information on Non-US Persons’ violating US law, penalizing illegal activities, etc., promote the recognition of US unilateral economic sanctions in whole, and maximize the efficiency of enforcement.The two major enforcement strategies of deterrence and incentives, and public-private implementation paths such as US dollar Correspondent Accounts, shareholder control, enforce settlement and licensing constitute the invisible enforcement jurisdiction over Non-US Persons, which abuses the US dollar’s international currency status and is contrary to the principle of financial inclusion, hampers the global economic growth.It is fundamental to mobilize public-private resources to create global connecting factors with China advantages for enforcement jurisdiction.

Key words: unilateral economic sanctions; invisible enforcement jurisdiction; US dollar Correspondent Accounts; public-private interaction

DOI：10.16538/j.cnki.jsufe.2021.01.009

收稿日期：2020-6-12

基金项目：国家社科基金项目“国家金融实体跨境交易法治保障路径研究”（15BFX203）；司法部2019年重点课题项目“美国经济制裁法律的域外适用与中国对策研究 ”（19SFB1009）；上海高校智库内涵建设计划项目“金砖国家应对美国长臂管辖和经济制裁的对策研究”（2020宣传6-58）；国家社科基金重点课题“中美贸易争端背景下我国应对美国长臂管辖权法律机制研究”（19AFX025）；国家社科基金重大项目“中国特色社会主义对外关系法律体系构建研究”（19ZDA167）；国家社科基金重大项目“中国特色自由贸易港国际法治研究”（20&ZD205）

全文：点击下方“阅读原文”查看全文