当地时间11月21日，美国财政部外国资产控制办公室（OFAC）又采取了一项重大举措，以兑现G7领导人遏制俄罗斯利用国际金融体系为其对乌克兰的战争提供支持的承诺。OFAC的行动包括将加兹普罗姆银行（Gazprombank）、50多家与国际市场相连的俄罗斯银行、40多家俄罗斯证券登记机构和15名俄罗斯金融官员列入制裁名单。OFAC还发布了一份警报，描述了与俄罗斯金融信息传输系统（SPFS）有关的制裁风险，该系统是俄罗斯创建并用于规避制裁的。其中涉1家中国实体，和1家俄罗斯银行在中国上海的3名员工。

一、此次制裁涉及的1家中国实体

• 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; 二级制裁风险: 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 俄罗斯VTB上海分支机构的3名员工

• 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、对俄罗斯金融机构和银行的制裁

1、OFAC 将 Gazprombank Joint Stock Company （Gazprombank） 及其六家外国子公司列入制裁名单。Gazprombank 是俄罗斯购买军事物资的渠道。

2、数十家俄罗斯银行

为了进一步削弱俄罗斯与国际金融体系的联系，OFAC 指定了 50 多家俄罗斯中小型银行，以防止俄罗斯滥用国际金融体系来支付维持对乌克兰的非法和不正义战争所需的技术和设备。与这些银行保持代理关系的外国金融机构应意识到，继续这样做会带来重大的制裁风险。

3、俄罗斯证券登记机构

OFAC 了解到，俄罗斯试图逃避或避免 OFAC 对国家结算存管处的制裁，方法是通过第 840 号总统令要求将某些证券转让给俄罗斯当地的证券登记处。今天，OFAC 指定了 40 多家此类注册商。OFAC 还更新了常见问题解答 1197，以提供有关在这些注册商持有或以其他方式涉及这些注册商的证券的进一步指导。

四、对俄罗斯金融信息传输系统的警报

OFAC还发布了一份警报，强调外国金融机构加入俄罗斯金融信息传输系统（通常以其俄语缩写SPFS，即“金融信息传输系统”的缩写）所面临的制裁风险。由于SPFS在促进俄罗斯金融体系内金融机构之间的沟通方面发挥了作用，因此属于俄罗斯联邦金融服务部门的一部分。这意味着任何外国金融机构加入或已经加入SPFS都可能根据第14024号行政令被指定为在俄罗斯联邦经济的金融服务部门运营或已经运营。俄罗斯利用并推广SPFS（作为SWIFT网络的替代品），以保持国际金融连接，规避制裁，并为其战争努力提供资金。OFAC认为，在发布此警报后加入SPFS的行为是危险信号，并准备对采取此类行动的外国金融机构采取更积极的制裁措施。OFAC还敦促利益相关者审查他们与加入SPFS的金融机构的往来，因为这些银行可能成为俄罗斯规避制裁的渠道。

五、对俄罗斯金融机构的制裁清单

名单1——数十家俄罗斯银行

根据第 14024 号行政令，以下俄罗斯金融机构和个人因在俄罗斯联邦经济的金融服务部门经营或曾经经营而被认定为俄罗斯金融机构和个人：

1. Aktsionernoe Obshchestvo Bank Agroros is a bank headquartered in Saratov, Russia.

2. Bank Iturup LLC is a bank headquartered in Yuzhno-Sakhalinsk, Russia. 

3. BBR Bank Joint Stock Company is a bank headquartered in Moscow, Russia.

4. BCS Bank AO is a bank headquartered in Moscow, Russia.

5. Bratsky Narodny Bank JSC is a bank headquartered in Bratsk, Russia.

6. Centrocredit Bank is a bank headquartered in Moscow, Russia. 

7. Commercial Bank Energotransbank Joint Stock Company is a bank headquartered in Kaliningrad, Russia. 

8. Commercial Bank Khlynov Joint Stock Company is a bank headquartered in Kirov, Russia. 

9. Commercial Bank Kremlyovskiy is a bank headquartered in Moscow, Russia. 

10. Commercial Joint Stock Bank Viking is a bank headquartered in Saint Petersburg, Russia.

11. Corporate Finance Bank LLC is a bank headquartered in Moscow, Russia.

12. Evrofinance Mosnarbank is a bank headquartered in Moscow, Russia. Evrofinance Mosnarbank was previously designated pursuant to E.O. 13850.

13. Fora Bank Joint Stock Commercial Bank is a bank headquartered in Moscow, Russia.

14. Garant Invest Bank Joint Stock is a bank headquartered in Moscow, Russia. 

15. Interstate Bank is a bank headquartered in Moscow, Russia. 

16. 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.

17. Joint Stock Commercial Bank Slavia Joint Stock Company is a bank headquartered in Moscow, Russia.                                                                 

18. Joint Stock Commercial Mortgage Bank Akibank Public Joint Stock Company is a bank headquartered in Naberezhnye Chelny, Russia.

19. Joint Stock Company Auto Finance Bank is a bank headquartered in Moscow, Russia.

20. Joint Stock Company Bank Accept is a bank headquartered in Novosibirsk, Russia. 

21. Joint Stock Company Bank Dom RF is a bank headquartered in Moscow, Russia. 

22. Joint Stock Company Bank Finservice is a bank headquartered in Moscow, Russia.

23. Joint Stock Company Bank United Capital is a bank headquartered in Saint Petersburg, Russia.

24. Joint Stock Company Coalmetbank is a bank headquartered in Chelyabinsk, Russia.

25. Joint Stock Company Commercial Bank Ural FD is a bank headquartered in Perm, Russia. 

26. Joint Stock Company Guta Bank is a bank headquartered in Moscow, Russia.

27. Joint Stock Company NS Bank is a bank headquartered in Moscow, Russia.

28. Joint Stock Company Public Trust Bank is a bank headquartered in Moscow, Russia. 

29. Joint Stock Company Royal Credit Bank is a bank headquartered in Vladivostok, Russia.

30. Joint Stock Company Severgazbank is a bank headquartered in Vologda, Russia. 

31. Joint Stock Investment Commercial Bank Eniseisk United Bank is a bank headquartered in Krasnoyarsk, Russia. 

32. JSC Exi Bank is a bank headquartered in Saint Petersburg, Russia.

33. JSCB Energobank is a bank headquartered in Kazan, Russia.

34. Kamsky Commercial Bank is a bank headquartered in Naberezhnye Chelny, Russia.

35. Limited Liability Company Bank Orange is a bank headquartered in Saint Petersburg, Russia.

36. Limited Liability Company Bank Round is a bank headquartered in Moscow, Russia.

37. Limited Liability Company Krona Bank is a bank headquartered in Irkutsk, Russia.

38. 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.

39. National Standard Bank Joint Stock Company is a bank headquartered in Moscow, Russia.

40. New Moscow Bank is a bank headquartered in Moscow, Russia. 

41. NK Bank Joint Stock Company is a bank headquartered in Moscow, Russia.

42. Primorsky Territorial Commercial Bank Society with Limited Liability is a bank headquartered in Vladivostok, Russia. 

43. Public Joint Stock Commercial Bank Derzhava is a bank headquartered in Moscow, Russia. 

44. Public Joint Stock Company Bank Alexandrovsky is a bank headquartered in Saint Petersburg, Russia. 

45. Public Joint Stock Company Bank Sinara is a bank headquartered in Yekaterinburg, Russia.

46. Public Joint Stock Company Finstar Bank is a bank headquartered in Saint Petersburg, Russia. 

47. Public Joint Stock Company Metkombank is a bank headquartered in Kamensk-Uralskiy, Russia.

48. Public Joint Stock Company National Bank Trust is a bank headquartered in Moscow, Russia. 

49. Public Joint Stock Social Commercial Bank of Primorye Primsotsbank is a bank headquartered in Vladivostok, Russia. 

50. Rossita Bank is a bank headquartered in Moscow, Russia.

51. Russian Public Joint Stock Commercial Roads Bank is a bank headquartered in Moscow, Russia. 

52. Russian Universal Bank is a bank located in Moscow, Russia.

53. Vitabank PJSC is a bank headquartered in Podolsk, Russia. 

54. Waybank JSC is a bank headquartered in Moscow, Russia.

名单二——俄罗斯证券登记处

以下俄罗斯金融机构作为注册商，并根据 14024 号行政令被指定为在俄罗斯联邦经济的金融服务部门运营或曾经运营的金融机构：

1. Aktsionernoe Obshchestvo Agentstvo Regionalnyi Nezavisimyi Registrator is a registrar based in Tula, Russia, and Lipetsk, Russia.

2. Aktsionernoe Obshchestvo Mezhregionalnyi Registratorskii Tsentr is a registrar based in Moscow, Russia.

3. Aktsionernoe Obshchestvo Natsionalnaya Spetsializirovannaya Finansovaya Kompaniya is a registrar based in Novosibirsk, Russia.

4. Aktsionernoe Obshchestvo Nezavisimaya Registratorskaya Kompaniya R.O.S.T. is a registrar based in Moscow, Russia.

5. Aktsionernoe Obshchestvo Professionalnyi Registratsionnyi Tsentr is a registrar based in Moscow, Russia.

6. Aktsionernoe Obshchestvo Registrator Kapital is a registrar based in Yekaterinburg, Russia.

7. Aktsionernoe Obshchestvo Spetsializirovannyi Registrator Kompas is a registrar based in Novokuznetsk, Russia.

8. Aktsionernoe Obshchestvo Surgutinvestneft is a registrar based in Surgut, Russia.

9. Aktsionernoe Obshchestvo Vedenie Reestrov Kompanii is a registrar based in Yekaterinburg, Russia.

10. Aktsionernoe Obshchestvo Independent Specialized Depository is a registrar based in Moscow, Russia.

11. AO Reestr is a registrar based in Moscow, Russia.

12. Aktsionernoe Obshchestvo Registratsionnaya Kompaniya Tsentr Invest is a registrar based in Irkutsk, Russia, and Moscow, Russia.

13. Aktsionernoe Obshchestvo Depozitarnaya Kompaniya Region is a registrar based in Moscow, Russia.

14. Evroaziatskii Registrator is a registrar based in Kazan, Russia.

15. AO Spetsializirovannyi Depozitarii Infinitum is a registrar based in Moscow, Russia.

16. Joint Stock Company Aktiv is a registrar based in Saint Petersburg, Russia.

17. Joint Stock Company Industria Reestr is a registrar based in Moscow, Russia.

18. Joint Stock Company RDC Paritet is a registrar based in Moscow, Russia.

19. Joint Stock Company Registrator Intraco is a registrar based in Perm, Russia.

20. Joint Stock Company Registry Society Status is a registrar based in Moscow, Russia.

21. JSC DRAGA is a registrar based in Moscow, Russia, and Saint Petersburg, Russia.

22. JSC Republican Specialregistrar Yakut Fund Center is a registrar based in Yakutsk, Russia.

23. JSC RT Registrar is a registrar based in Moscow, Russia.

24. JSC Service Reestr is a registrar based in Moscow, Russia.

25. JSC Noviy Registrator is a registrar based in Moscow, Russia.

26. Korporativnaya Registratorskaya Kompaniya is a registrar based in Moscow, Russia.

27. Limited Liability Company Depositary and Corporate Technologies is a registrar based in Moscow, Russia.

28. Limited Liability Company Special Depository Partner is a registrar based in Moscow, Russia.

29. Limited Liability Company Specialized Depository Company Garant is a registrar based in Moscow, Russia.

30. Moskovskii Fondovyi Tsentr is a registrar based in Moscow, Russia.

31. National Custodial Company Stock Closed Corporation is a registrar based in Moscow, Russia.

32. Obshchestvo S Ogranichennoy Otvetsvennostyu Oboronregistr is a registrar based in Moscow, Russia.

33. OOO Partner is a registrar based in Cherepovets, Russia.

34. OOO Reestr RN is a registrar based in Moscow, Russia.

35. OOO Registrator Garant is a registrar based in Moscow, Russia.

36. Registrator KRTS is a registrar based in Krasnodar, Russia.

37. Spetsializirovannyi Depozitarii Depo Plaza is a registrar based in Moscow, Russia.

38. Spetsializirovannyi Registrator Rekom is a registrar based in Staryy Oskol, Russia.

39. Tsentr Ucheta i Registratsii is a registrar based in Saint Petersburg, Russia.

40. Yuzhno Regionalnyi Registrator is a registrar based in Rostov-na-Donu, Russia.

41. Zakrytoe Aktsionernoe Obshchestvo Pervyi Spetsializirovannyi Depozitarii is a registrar based in Moscow, Russia.

名单三——CBR 官员

以下俄罗斯公民是俄罗斯联邦中央银行 （CBR） 的官员，该银行受 14024 号行政令第 1 号和第 4 号指令的约束，并根据第 14024 号行政令被指定为在俄罗斯联邦经济的金融服务部门经营或曾经经营的企业：

1. 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). 

2. 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.

3. 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.

4. Gulnara Khaidarshina is the Director of the Department for Cooperation with International Organizations at the CBR.

5. Mikhail Anatolyevich Kovrigin is the Director of the International Settlements Department at the CBR.

6. 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.

7. Alexandr Morozov has been the Director of the Research and Forecasting Department at the CBR since 2015.

8. 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.

9. 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.

10. 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.

11. 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.

名单四——VTB 上海和 SBERBANK 新德里员工、还有Gaz 银行和 6 家分支机构

1. Andrei Anisimov is Sberbank New Delhi’s Deputy Managing Director. 

2. Elena Fedkina is a VTB Shanghai Relationship Manager. 

3. Ilya Lishenko is VTB Shanghai’s Senior Relationship Manager. 

4. Roman Logov is VTB Shanghai’s Deputy General Manager.