Maritime Guidance - GOV.UK
Maritime GuidanceFinancial sanctions guidance for entities and individualsoperating within the maritime shipping sectorDecember 2020The Maritime Sectortonnage, operate from management offices inthe UK. This includes the International Groupof P&I Clubs, the trade association for theindustry which is based in London.The UK is renowned across the globe for itsleadership in the maritime shipping industry.Historically, shipping has been vital to thedevelopment of the UK, which continues tomove 95% of all its imports and exports bysea.1 The maritime sector contributes over 14bn to the UK economy each year,supporting an estimated 186,000 jobs.This guidance is produced by the Office ofFinancial Sanctions Implementation (OFSI),part of HM Treasury, the authority for theimplementation of financial sanctions in theUK.The UK also operates the largest share ofglobal maritime insurance, with around athird of the total market. This is more than theUnited States, Japan, Germany and France.It provides financial sanctions guidance forentities and individuals which operate in, orwith, the maritime shipping sector, especiallythose involved in areas that may be subject toUK financial sanctions restrictions, includingthe handling of goods.Major international P&I Clubs, who insurearound 90% of world merchantMaritime Annual Report vernment/uploads/system/uploads/attachment df and “The economic contribution of the UK MaritimeSector- a report for Maritime UK” by ations/statemaritime-nation-report-2019/.11
This should be considered supplementary to,and not a replacement for, OFSI’s generalguidance document. Further sources ofinformation which may prove helpful arelisted at the end of this document.jurisdictions such as the US, Canada, Japanand Australia. In addition to UK sanctions, theUK implements UN sanctions, as well as itsown autonomous sanctions under theSanctions and Anti Money Laundering Act.They commonly include arms embargoes,trade sanctions, travel bans and financialsanctions. The Foreign, Commonwealth andDevelopment Office (FCDO) has overallresponsibility for the UK’s policy on sanctions.OFSI leads on the implementation andenforcement of financial sanctions applicablein the UK. HM Treasury can also currentlymake counter-terrorism sanctionsdesignations and issue directions under theCounter-Terrorism Act (2008).This guidance does not represent legal advice.If you are unsure about your obligations in agiven case, you should consider seekingindependent legal advice.What are financial sanctions?Financial sanctions help the UK meet itsforeign policy and national security aims, aswell as protecting the integrity of its financialsystem. Sanctions are used to respond to arange of threats, from terrorism and nuclearproliferation to internal repression and humanrights. Effective implementation andenforcement of sanctions is an essential toolin these endeavours.Financial sanctions specifically relate torestrictions on funds and economic resources2that are owned, held, controlled or madeavailable to, or for the benefit of, designatedpersons or entities. This can be either directlyor indirectly. A number of vessels andcompanies appear on the consolidated list offinancial sanctions targets. However, a vessel,firm or individual that is owned or controlleddirectly or indirectly by a designated entity isalso captured under financial sanctionsregulations. More information on this can befound in Chapter 4 of OFSI’s general guidancedocument. You may wish to consider othernon-financial sanctions prohibitions whichmay apply to sanctioned vessels.Specifically, financial sanctions are generallyimposed to: Coerce a regime, or individuals within aregime, into changing their behaviour(or aspects of it) by increasing the coston them to such an extent that theydecide to cease the offendingbehaviour Constrain a target by denying themaccess to key resources needed tocontinue their offending behaviour,including the financing of terrorism ornuclear proliferation Signal disapproval, stigmatising andpotentially isolating a regime orindividual, or as a way of sendingbroader political messages nationally orinternationally Protect the value of assets that havebeen misappropriated from a countryuntil these assets can be repatriatedIllicit and suspicious shipping practicesAccording to reports from the InternationalMaritime Organisation, and the UN Panel ofExperts (UN POE) of the UN Security CouncilSanctions Committee on North Koreapublished in 2019,3 a variety of tactics aredeployed to confuse or conceal the identitiesof vessels, cargo, routes and ports. While thepractices detailed in these reports relate toDemocratic People's Republic of Korea (DPRK),they are indicative of approaches that couldbe used by anyone seeking to breachsanctions.Sanctions are imposed by the United Nations(UN), European Union (EU), UK and other2See definitions in Annex 1.Council, S/2019/691 https://www.undocs.org/S/2019/691, 30 August2019UN Security Council, S/2019/171https://www.undocs.org/S/2019/171, 5 March 2019 and UN Security32
Individuals and entities with exposure to themaritime shipping sector should be aware ofthe non-exhaustive list of potentially illicitpractices below and ensure compliance anddue diligence procedures take account ofthem.circumvent financial sanctions and have alsoincluded attacks from cyber focussed militaryunits tasked with generating income for theregime it reports to. Reports of these activitiesis discussed in the UN POE report 171 from2019 and specifically explores the connectionbetween cybercrime and maritime throughcases such as “Marine Chain”. Furtherinformation on can be found in paragraphs28-30 and 109-115 of the UN POE report.Ship-to-ship transfersA ship-to-ship (STS) transfer is the transfer ofcargo between vessels positioned alongsideeach other at sea, either in anchor orunderway. There are some legitimate uses forSTS transfers as they provide flexibility forcargo owners and the method is becomingincreasingly popular. However, the very natureof STS transfers means the origin and natureof cargo can be concealed. STS is used tofacilitate the illicit transfer of coal, crude oiland petroleum products to evade sanctions.CryptoassetsStatutory definitions of “funds” and“economic resources” are wide and areexplained in Annex I of this document. Itshould be noted that cryptoassets are coveredby these definitions and are therefore caughtby UK financial sanctions restrictions. As withcyberactivity above, any transactionundertaken in the maritime sphere with a UKnexus where “funds” or “economic resources”are exchanged, including exchanges usingcryptoassets in full or in part, appropriate duediligence should be undertaken.Automatic Identification Systems (AIS)AIS is a tracking system installed on vesselswhich broadcasts its location and details. Italso displays the location and details of nearbyvessels. AIS is used by maritime authoritiesacross the globe to track and monitor vesselmovement, supplementing radar, and is aprimary method of collision avoidance forvessels.Financial system abuseBank accounts are often established with theprimary purpose of engaging in andconcealing illicit activities. These can be usedas fronts to conduct transactions in violationof sanctions and facilitating illicit shippingpractices.There are legitimate reasons for AIS to beturned off or go dark. This could include (butis not limited to) passage through waters athigh risk of piracy, or when weather interfereswith satellite connectivity. However, AIS isoften intentionally disabled by vessels thatseek to obfuscate their whereabouts, and isoften practised by vessels seeking to conductillicit trade.False documentationA commonly used approach to sanctionscircumvention is the falsifying ofdocumentation which should accompanymaritime transactions. These include bills oflading, invoices and insurance paperwork, toname a few. By providing falsifieddocumentation, the aim is to seek to obscurethe origin of a vessel, its goods, its destinationand even the legitimacy of the vessel itself.Vessels conducting ship-to-ship transfers willalso typically switch off their AIS to evadedetection if they are conducting illicit trade,and there have also been recorded attemptsto manipulate the data transmitted via AIS.Cyber activityCyberattacks have been used to illegally forcethe transfer of funds from financialinstitutions and cryptocurrency exchanges to3
You should refer to the relevant sanctionsregulations in order to determine whatrestrictions apply in relation to any givenregime. Most financial sanctions regulationsinclude an obligation that funds andeconomic resources which are owned, held orcontrolled by designated entities or individualsmust be frozen. Additionally, most financialsanctions regulations state that making fundsand economic resources available to, or forthe benefit of, these entities or individuals,directly or indirectly, is prohibited in theabsence of a licence. If you are looking to dealwith an entity or individual designated underfinancial sanctions, you will need to approachOFSI with information about your proposeddealings and the relevant grounds forlicensing. OFSI will then consider whether alicence can be issued.ConcealmentThose seeking to evade sanctions will oftenemploy tactics that physically conceal illicitcargo onboard a vessel. This is done bothduring active inspection and as aprecautionary measure if unscheduledinspections are carried out by relevant port ormaritime authorities.How does this breach financial sanctions?The practices described above are notnecessarily in themselves breaches of financialsanctions regulations in all cases. However, itis likely that transactions relating to orbehaviours underpinning these practices, are.For example, turning off AIS or carrying outship-to-ship transfers does not mean that inevery instance a breach of financial sanctionshas occurred. It does, however, raise suspicionthat the ship(s) might be carrying out illicitactivity and breaching sanctions regulations –particularly where this includes use of adesignated port.Democratic People’s Republic of Korea(DPRK)DPRK is subject to significant sanctionsmeasures imposed by the UN and the UK.They are aimed at countering the proliferationof weapons of mass destruction (WMD) andballistic missiles. These are imposed to preventpersons4 from obtaining goods, funds andservices which could contribute to DPRK’snuclear, other WMD related and ballisticmissile programmes. It aims to restrict theability of DPRK to continue prohibitedprogrammes, promoting the abandonment byDPRK of banned programmes and thedecommissioning of DPRK’s prohibitedweapons. It also aims to promote peace,security and stability on the Korean peninsula.Specific regions may present a high risk withrespect to financial sanctions compliance. Duediligence should be carried out as part of arisk-based approach. When dealing with suchregions, or when passing through or nearwaters where non-compliant actors areknown to operate, enhanced due diligenceshould be considered. In addition, under theUN ISIL (Da’esh) and Al-Qaida regime andother thematic regimes that are not countryspecific, individuals and groups across theworld are designated.Some persons under the DPRK sanctionsregime are known to use ‘shell’ or ‘front’companies to disguise the ultimatedestination of goods, funds and/or services.You need to ensure you are not engaging inprohibited activity with those who are subjectto sanctions, including through thesecompany structures. For further informationon ownership and control please refer toHigh-profile sanctions regimes include thosein place for the DPRK, Iran, Libya and Syriawhich are described below. Please refer toOFSI’s ts-and-releases for a list of allcurrent sanctions regimes.In this guidance, the term person includes (in addition to anindividual and a body of persons corporate or unincorporated) anyorganisation and any association or combination of persons.44
Chapter 4 of OFSI’s general guidancedocument on ed-lists-and-releases beforecontacting OFSI.This sanctions regime is wide ranging andincludes sectoral financial sanctions, as well astargeted asset freezes and travel bans, andrestrictive measures relating to trade andtransport. You must not make funds oreconomic resources directly or indirectlyavailable to, or for the benefit of, adesignated person and you must freeze anyfunds or economic resources owned, held orcontrolled by a designated person, whetherdirectly or indirectly.Given the complexities and risks involved inDPRK-related activity, OFSI recommends youdiscuss any proposed activities in DPRK withrelevant financial and other institution(s)beforehand. Where you are unsure of yourobligations, OFSI also recommends that youseek independent legal advice.The 2020 report to the Security Council by theUN POE on DPRK can be found here:https://undocs.org/en/S/2020/151.There are also a number of other restrictions,including restrictions on:Iran taking an ownership interest in activities orassets in DPRK or in persons incorporated inDPRK (among others)On 16 January 2016 the International AtomicEnergy Agency (IAEA) verified that Iran hadimplemented the nuclear-related measuresunder the Joint Comprehensive Plan of Action(JCPoA) and as a result, received extensivesanctions relief. This included the lifting ofmeasures relating to banking, shipping,energy, and some nuclear relateddesignations. In particular, the relief includedthe removal of blanket prohibitions uponfinancial transfers to, and from, Iran(including the requirements for priornotification and authorisation). Consequently,the requirement to seek prior authorisationfor, or notify HM Treasury of, transfers offunds sent to or received from Iran, istherefore no longer applicable. Payments to adesignated person remain unlawful in theabsence of a licence from OFSI. establishing new joint ventures the sale or purchase of bonds DPRK credit and financial institutions(branches, subsidiaries and representativeoffices) financial relationships transfers of funds to/from DPRK financial support for trade investment and commercial activities bank accounts for DPRK diplomats anddiplomatic missions leasing or, otherwise making available, realproperty vessels (including, among others, insuring orchartering a DPRK flagged vessel, andfacilitating or engaging in certain ship-to-shiptransfers to or from any DPRK flagged vessel)However, while the JCPoA led to the EU liftingthe majority of sanctions in relation to Iran,several Iranian individuals and entities remaindesignated by the UK and UN, for example forproliferation, human rights and terrorismconcerns. In addition to freezing assets ofthese individuals, there remain in place UKand UN restrictions on trade in several goods,including arms, as well as associated services.Please ensure that you have reviewed therelevant prohibitions still in place on Iran.The above list is not exhaustive and does notgive full details of what the restrictions are ineach case. The applicable sanctionsregulations for the DPRK should be consultedfor a complete picture of the relevantrestrictions.OFSI can authorise some transactions incertain circumstances under specific groundsset out in the relevant regulations for thisregime. Please review the latest ns/fiThere have been persons subject to counterproliferation measures who have used ‘shell’or ‘front’ companies to disguise the ultimatedestination of goods, funds and services. For5
further information on ownership and controlplease refer to Chapter 4 of OFSI’s generalguidance on GOV.UK.However, this does not include theacceptance of any port fees for the entry intoport of a designated vessel (where the entry tothe port is exceptionally permitted because itis necessary for an inspection, in the case ofan emergency or where the vessel is returningto Libya).The UK remains committed to the JCPoA.LibyaLibya is currently subject to sanctions put inplace by the UN and the UK, originating in UNResolution 1970 (2011) and as subsequentlyamended.SyriaThe UK’s Syria sanctions regime provides forrestrictive measures (including asset freezes)to be imposed on those identified as:The Libya sanctions regime imposes restrictivemeasures (including asset freezes) onindividuals and entities who have beendesignated by the UN Security Council, theLibya Sanctions Committee or the UK. Thecurrent criteria for UN designations includethat a person engages in or provides supportfor acts that threaten the peace, stability orsecurity of Libya, or obstruct or undermine thesuccessful completion of its politicaltransition. Persons may also be designated forviolating the provisions of resolution 1970(2011) and its subsequent amendments,including the arms embargo, or assistingothers in doing so. leading businesspeople operating in Syriamembers of Assad or Makhlouf familiesSyria Government ministers after May2011members of Syria armed forces of therank colonel or higher after May 2011members of Syria security and intelligenceservices in post after May 2011members of regime-affiliated militias; andpersons operating in the chemicalweapon proliferation sectorThere are several financial restrictionsincluding in relation to:Asset freezing activity also helps preventLibyan state funds which are suspected tohave been misappropriated during the formerregime of Muammar Qadhafi from being usedto further threaten the peace, stability orpolitical transition of Libya. There are several derogations which may berelevant to your business. Please review thelatest legislation before contacting OFSI. For further information on the financialsanctions imposed on Libya though theSanctions Act, please refer to the OFSI Libyaregime guidance. The Libya sanctions regime prohibits financialtransactions relating to illicitly exported Libyanpetroleum aboard vessels designated by theUN. Petroleum includes crude oil and refinedpetroleum products in this context. Theprohibition of financial transactions in thiscontext includes the prohibition of thepurchasing or the sale of the petroleum, itsuse as credit or taking out transport insurancein respect of it.making funds or economic resourcesdirectly or indirectly available todesignated personssale or purchase of certain Syrian public orguaranteed bondsestablishment of new bankingrelationshipsprovision of certain insurance and reinsurance productsengagement or investment in the Syrianoil industry sectors of exploration,production or refining; and constructionof new power plants for the productionof electricity in SyriaThere are further restrictions, including on: 6the import and/or export of certain goodsfrom/to Syria (those which might be usedfor internal repression, jet fuel, luxurygoods, key equipment for the oil and gas
An entity is owned or controlled directly orindirectly by another person in any of thefollowing circumstances:industry, and telecommunicationsmonitoring and interception equipment)the import, export, or transfer of certaincultural property and precious metalsthe import of arms, and crude oil andpetroleum productsthe delivery of Syrian denominatedbanknotes and coinage to the CentralBank of Syria The above lists are not exhaustive and do notgive full details of what the restrictions are ineach case. The relevant regulations should beconsulted for a complete picture of therelevant restrictions.There are specific exemptions which apply tocertain activities, which are set out in therelevant regulations. For example,organisations providing humanitarianassistance to the civilian population in Syriaare exempt from the prohibitions
industry which is based in London. This guidance is produced by the Office of Financial Sanctions Implementation (OFSI), part of HM Treasury, the authority for the implementation of financial sanctions in the UK. It provides financial sanctions guidance for entities and individuals which operate in, or with, the maritime shipping sector, especially
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