№ lp_1_2_61081
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Regulatory business requirements specification defining the scope, processes, data structures, and non-functional conditions for an ESMA information system supporting the collection, exchange, storage, and publication of sanctions and measures notified by national competent authorities under multiple EU financial regulations.
Document type:
Business Requirements Document
Year:
2017
Month:
January
Reference number:
ESMA65-8-2556
Organisation:
European Securities and Markets Authority
Project:
ESMA IT registers project
Subject matter:
Sanctions and measures under EU financial services legislation
Regulatory frameworks covered:
MiFID II/MiFIR, UCITS V, Market Abuse Directive 2003, Market Abuse Regulation, EMIR, SFTR, CSDR, Securitisation
Authors:
Xavier Suraud, Matteo Rava, Francesca Fiamma, Teresa Rodriguez, Christophe Polisset, Antonio Barattelli, Emmanuel Boyer
Draft date:
15.01.2017
Approval bodies:
PTSC, MISC, IPISC, IMSC
Approval dates:
12.12.2016; 01.02.2017; 21.02.2017; 10.03.2017
Intended audience:
ESMA business and IT staff, ESMA standing committees, IT service providers
Implementation deadline referenced:
03 January 2018
Scope:
Information collection, exchange, storage, and publication of sanctions data
Data system:
Sanctions ESMA Database and Sanctions ESMA Register
Source type:
Regulatory and administrative documentation
Price: 8 / 10 USD
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Document type:
Letter of acceptance
Subject:
Acceptance of anticorruption guidelines and sanctions framework
Organization:
World Bank
Policy framework:
World Bank Anti-Corruption Guidelines
Sanctions framework:
World Bank Group Sanctions Framework
Scope:
Procurement and execution of a Bank-financed contract
Applicable parties:
Contractor and associated sub-contractors, consultants, suppliers, agents, and personnel
Contract reference:
Contract number and description (unspecified)
Obligations:
Compliance with fraud and corruption policies; record preservation; audit and inspection rights
Sanctions described:
Suspension, debarment, cross-debarment, declaration of ineligibility
Authorized signatory:
Required
Source type:
Institutional compliance declaration
Year:
2021
Region / City:
London
Topic:
Financial Sanctions
Document Type:
Licence Application Form
Organ / Institution:
Office of Financial Sanctions Implementation (OFSI), HM Treasury
Author:
Office of Financial Sanctions Implementation
Target Audience:
Individuals or entities seeking a licence from OFSI
Period of Validity:
N/A
Approval Date:
N/A
Date of Changes:
N/A
Contextual description:
A form for individuals or entities requesting a licence from the Office of Financial Sanctions Implementation (OFSI) to allow transactions or activities otherwise prohibited under asset freezing measures.
Year:
2018
Region / City:
Fairfax County, Virginia
Theme:
Legal Action, Eviction, Sanctions
Document Type:
Court Motion
Organization / Institution:
Circuit Court of Fairfax County
Author:
Clair L. Eggiman
Target Audience:
Legal professionals, court officials
Period of validity:
Not specified
Date of approval:
Not specified
Date of amendments:
Not specified
Year:
2023
Region / City:
United States
Subject:
Terrorism, Sanctions
Document Type:
Bill
Organ / Institution:
United States Congress
Author:
Mr. Sherman
Target Audience:
United States legislators, policymakers
Period of validity:
Not specified
Approval Date:
Not specified
Date of Changes:
Not specified
Contextual description:
Legislation proposing the imposition of sanctions on the Popular Resistance Committees and affiliated groups involved in terrorism.
Year:
2024
Region / City:
United Kingdom
Topic:
Financial sanctions, maritime transportation, Russian oil
Document Type:
Application form
Issuing Body:
Office of Financial Sanctions Implementation (OFSI)
Author:
OFSI
Target Audience:
Individuals or entities applying for a specific licence
Period of Validity:
Not specified
Approval Date:
March 13, 2024
Date of Changes:
March 13, 2024
Change date:
March 10, 2020
Document section:
Chapter 5
Subject area:
Sanctions and enforcement
Program:
VA Home Loan Program
Regulatory references:
2 C.F.R. Part 180; 2 C.F.R. Part 801
Sanction types:
Debarment; Suspension; Limited Denial of Participation
Responsible authorities:
Central Office; Regional Loan Centers; Loan Guaranty Officer
Covered participants:
Program participants and affiliates
Geographic scope:
Federal; Regional jurisdiction
Hearing rights:
Formal hearing procedures outlined
Evidence standards:
Adequate evidence as defined in 2 C.F.R. 180.900
Related agencies:
Department of Housing and Urban Development
Source type:
Federal administrative guidance
Note:
Year
Contextual description:
This document is a reply to a call for input on the guiding principles related to sanctions, compliance, and human rights, aiming to establish rules of behavior for various actors in the context of sanctions.
Year:
2019
Region / City:
Jersey
Topic:
Financial Sanctions, Licensing
Document Type:
Application Form
Organization:
Ministry of External Relations
Author:
Financial Sanctions Implementation Unit
Target Audience:
Individuals and entities seeking a licence for activities or transactions subject to sanctions
Period of validity:
Not specified
Approval Date:
Not specified
Modification Date:
Not specified
Year:
Not specified
Region / city:
Wisconsin
Topic:
Juvenile Court Sanctions
Document type:
Court order
Organization / institution:
Wisconsin Circuit Court
Author:
Not specified
Period of validity:
Not specified
Approval date:
Not specified
Date of changes:
Not specified
Context:
A court order regarding the imposition of sanctions on a juvenile for violation of dispositional conditions, including placement in juvenile detention and other penalties.
Year:
2021
Region / City:
Doha, Qatar
Topic:
Sanctions
Document Type:
Official Notice
Organization:
United Nations Security Council
Author:
United Nations Security Council Committee
Target Audience:
Public, Security and Enforcement Bodies
Effective Period:
From 23 March 2021
Approval Date:
23 March 2021
Date of Amendments:
23 March 2021
Contextual Description:
Official notice listing individuals affected by sanctions under UN Security Council resolutions, detailing amendments to the ISIL (Da’esh) and Al-Qaida Sanctions List.
Year:
2026
Region / City:
International
Theme:
International Law, Sanctions
Document Type:
Scholarly Article
Institution:
N/A
Author:
Tom Ruys
Target Audience:
Scholars, International Relations Professionals, Legal Experts
Period of Validity:
N/A
Approval Date:
N/A
Date of Changes:
N/A
Year:
2017
Region / City:
Memphis
Topic:
Export Control and Economic Sanctions
Document Type:
Policy
Institution:
University of Memphis
Author:
Executive Vice President for Research and Innovation
Target Audience:
Faculty, staff, visiting scientists, postdoctoral fellows, students
Effective Period:
Ongoing
Approval Date:
Jan-09-2017
Amendment Date:
N/A
Year:
2023
Region / City:
Global
Topic:
Human Rights, Sanctions
Document Type:
Report
Organization:
UN Human Rights Council, UN General Assembly
Author:
UN Special Rapporteur on the negative impact of unilateral coercive measures on human rights
Target Audience:
Governments, NGOs, Human Rights Experts
Period of validity:
N/A
Approval Date:
N/A
Date of Amendments:
N/A
Date:
12-Aug-22
Subject:
Agents Declaration-UNSC, Sanctions: Vessels/Cargo/Transshipments/Loading Ports/Organizations/Individuals
Vessel Name:
MT. SAMPLE
IMO:
123456789
Flag:
Sri Lanka
Port:
Colombo
Owner:
NAME OF THE REGISTERED OWNER
Manager:
NAME OF THE REGISTERED MANAGER
Cargo Owner:
NAME OF THE REGISTERED OWNER OF THE CARGO
Consignee:
NAME OF THE LEGAL CONSIGNEE
Loading Port:
Colombo, Sri Lanka
ETA HIP:
21/10/2021;1300 HRS LOCAL
Country/Organization/Individual Sanctions Status:
Not bound to any UNSC sanctions
Agent Name:
MS/REGISTERED NAME OF THE AGENTS
Agent’s Representative:
Mr/Mrs/Ms/NAME OF THE APPLICANT
Type of document:
Agents Declaration
Year:
2012
Region / City:
United States
Topic:
Proficiency Testing, Clinical Laboratory Improvement Amendments (CLIA)
Document Type:
Regulatory Overview
Institution:
Centers for Medicare & Medicaid Services (CMS)
Author:
Not specified
Target Audience:
Clinical Laboratories, Laboratory Technicians, Laboratory Managers
Period of Action:
Ongoing (after 2012 amendments)
Approval Date:
2012
Date of Changes:
May 2014