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By Maya Lester KC & Michael O’Kane

Licensing

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UN licensing

Each sanctions regime permits sanctions exemptions (licences) in UN resolutions.  Depending on the regime and type of exemption, individuals and entities may be required to submit a request to the relevant Sanctions Committee and await approval before the exemption is granted or to notify the relevant Sanctions Committee of the use of the exemption. Neither approval nor notification is required where the exemptions is a “standing exemption”.

Generally, travel ban exemptions can be requested from the relevant Sanctions Committee on the grounds of: humanitarian need, including religious obligation, where travel is necessary for the fulfilment of a judicial process, and or would further the objectives of peace and stability in the region.

Asset freeze exemptions can be granted by UN resolution for basic expenses (including the payment for foodstuffs, rent, medicines etc), the payment of judgment debts, and the general humanitarian exemption (below).  Depending on the regime, the UN may require prior approval or ex-post reporting for extraordinary expenses.

Exemptions to arms embargoes are sometimes made by UN resolution for the government of the sanctioned country.  There is currently a standing exemption for the supply of arms to the Government of Iraq and an exemption requiring notification for the supply of arms to the Governments of Somalia and the DRC.

Humanitarian exemption

Since December 2022, Resolution 2664 (2022) permits the provision, processing or payment of funds, other financial assets or economic resources or the provision of goods and services necessary to ensure the timely delivery of humanitarian assistance or to support other activities that support basic human needs.

Since the humanitarian exemption is a “standing exemption”, neither approval nor notification is required to rely upon the exemption. The humanitarian exemption applies to all sanctions regimes.  Paragraph 2 of Resolution 2664 (2022) makes provision for the automatic expiry of the application of the humanitarian exemption to the ISIL (Da’esh) and Al-Qaida sanctions regime on 9 December 2024 unless the Sanctions Committee decides to extend its application prior to that date.

Sanctions Regimes Exemptions

Al-Shabaab (Somalia) Exemptions

CAR Exemptions

DRC Exemptions

Guinea-Bissau Exemptions

Haiti Exemptions

ISIL (Da’esh) & Al-Qaida Exemptions

Iraq Exemptions

Libya Exemptions

North Korea Exemptions

South Sudan Exemptions

Sudan Exemptions

Taliban (Afghanistan) Exemptions

Yemen Exemptions

UK Licensing

Introduction

Licences can be issued by UK licensing authorities to allow activity that would otherwise be prohibited by sanctions.

In relation to financial sanctions, the licensing authority is the UK Office of Financial Sanctions Implementation (OFSI), part of HM Treasury. For trade sanctions, the licensing authority is the Office for Trade Sanctions Implementation (OTSI), part of the Department for Business & Trade. Licences for the export/import of various goods are granted by the Import and Export Control Units, also part of the Department for Business & Trade. Licences can also be granted to allow certain transport related activity in respect of particular countries, by the Department for Transport.

Licences can be specific or general. A General Licence permits all parties to carry out specified activities otherwise prohibited by sanctions legislation without the need for a specific licence. A list of current and expired General Licences can be found at the end of this section.  Specific licences can be applied for by individuals and entities for particular activities on specific grounds set out in the relevant legislation, that are not covered by a general licence and would otherwise be prohibited.

 

Financial Sanctions

OFSI issues general licences and grants specific licences in relation to UK financial sanctions measures (including asset freezing prohibitions). The legal framework for licensing is set out in section 15 of the Sanctions and Money Laundering Act 2018 (SAMLA). Specific licences attach to the particular sanctions regime in question. For example, in relation to Russia, the specific licensing grounds are found in Schedule 5 to the Russia Regulations 2019.

Applications for specific licences should be made using the: OFSI Licence Application Form.

Guidance on OFSI licensing:

 

Trade Sanctions

3 licensing bodies administer licences to carry out activity under UK trade sanctions:

Body Responsible for Example
Office of Trade Sanctions Implementation (OTSI) Licensing relating to the provision of standalone services, including professional and business services UK incorporated company planning to provide services prohibited under sanctions
Import Controls and Sanctions Team Licensing for import of goods prohibited under UK import controls or sanctions Trader looking to import controlled goods, e.g. firearms or ammunition
Export Control Joint Unit (ECJU)

(see also Export Controls)

 Licensing for the export of goods, software & technology Trader looking to export military items and dual-use items on the UK’s Strategic Export Control List

Guidance on UK trade sanctions licensing for OTSI and the ECJU:

OTSI Guidance:

Export Control Licences:

Export control licences permit prohibited activity under trade sanctions and embargoes.

A list of UK general export licences is here, including:

UK general licences include:

General Trade Licence Guidance:

For further details see:

 

Transport Sanctions

Apply for a transport sanctions licence.

Guidance:

Department for Transport Guidance

 

General Licences

OFSI General Licences

Current General Licences:

  • General Licence INT/2021/554388, “Emergency Payment(s) Directly or via an Intermediary to Belaeronavigatsia for Air Traffic Services” (Notice), which authorises emergency payments to/for the benefit of Belaeronavigatsia (19 July 2021)
  • General Licence INT/2022/1280976, “Russia: Regulatory Authorities – Prudential Supervision or Financial Stability” (Notice), which authorises financial authorities involved in the regulation of UK financial services to do anything with regard to VTB Capital and its UK subsidiaries related to prudential supervision, or protecting, maintaining or enhancing the financial stability of the UK (1 March 2022).
  • General Licence INT/2022/1280876, “Russian Banks – UK subsidiaries – Basic needs, routine holding and maintenance and the payment of legal fees” (Notice), which authorises certain UK, EU and Guernsey subsidiaries of Russian banks (VTB and Sberbank) to make payment for its basic needs, reasonable fees or service charges arising from routine holding and maintenance of its frozen funds and economic resources and reasonable professional fees for the provision of legal services. People / entities may also make / receive / process payments in connection with Insolvency Proceedings related to the subsidiaries (1 March 2022, as amended).
  • General Licence INT/2022/1322576, “Provision of navigational data to civilian aircrafts for flight safety” (Notice), which indefinitely authorises a flight data provider to make payment directly or via a relevant institution to Belaeronavigatsia for aeronautical information publication data (9 March 2022).
  • General Licence INT/2022/1679676, “Law Enforcement and Regulatory Authorities Asset Recovery” (Notice), issued under the Russia and Global Anti-Corruption sanctions regimes. Subject to certain conditions, indefinitely authorises the an officer of the Financial Conduct Authority (FCA) (or another organisation authorised by HM Treasury) to carry out their duties and actions necessary to comply with specified orders, negotiated settlements, or approved deferred prosecution agreements (27 April 2022).
  • General Licence INT/2022/1710676, “Continuation of Business of Evraz Plc’s North American Subsidiaries” (Notice), which authorises:
    • The continuation of business operations involving Evraz North America plc, Evraz Inc. NA and Evraz Inc. NA – Canada, including:
      • payments to or from these subsidiaries under any obligations or contracts;
      • payments to or from any third party under any obligations or contracts; and
      • receipt of payments made by these subsidiaries for audit services;
    • Evraz North America plc to pay for audit services; and
    • Relevant UK Institutions to process the payments outlined above (5 May 2022, amended 18 August 2022).
  • General Licence INT/2022/1678476, “Amsterdam Trade Bank N.V – winding down, basic needs and insolvency related payments” (Notice), which authorises:
    • Amsterdam Trade Bank N.V (ATB) to make payment for its basic needs including: payment of remuneration, allowances or pensions of employees; payment of tax; payments to suppliers of goods and services.
    • Any person/entity to make, receive or process any payments, or take any other action, in connection with any insolvency proceedings relating to ATB, whether prior to or after the commencement of such proceedings, including, without limitation, an insolvency practitioner for the purposes of his or her functions under or in connection with insolvency proceedings.
    • A person/entity (other than ATB or a subsidiary) to wind down any transactions involving ATB or a subsidiary to which it is a party, including the closing out of any positions and the restructuring of loans or other debt. A person/entity, Relevant Institution, ATB or a subsidiary may carry out any activity reasonably necessary to effect this (12 May 2022).
  • General Licence INT/2022/1839676, “Russian Travel for UK Nationals” (Notice), which authorises:
    • A UK national or entity to purchase tickets from Aeroflot, Rossiya Airlines, Ural Airlines or Russian Railways, or any subsidiary of these, for flights or rail journeys originating in, or within Russia; and
    • A UK national or entity, Relevant Institution, Aeroflot, Rossiya Airlines, Ural Airlines or Russian Railways, or any subsidiary of these entities, to carry out any activity reasonably necessary to effect the purchase of tickets for flights or rail journeys in accordance with the above (23 May 2022).
  • General Licence INT/2022/1834876, “Russia Designated Persons – Charities and Interim Managers and trustees” (Notice), which authorises an Interim Manager and/or trustee of a charity linked to a person/entity listed on the UK’s Russia sanctions list to undertake various activities in relation to the charity (30 May 2022).
  • General Licence INT/2022/1875276, “Continuation of Business and Basic Needs for Telecommunications Services and News Media Services” (Notice), which authorises transactions related to the continuation of business operations involving ZAO TransTeleCom Company and News Media Services (30 May 2022).
  • General Licence INT/2022/1947936, “Humanitarian Activity”, which authorises an approved list of organisations (including the UN, ICRC, Red Cross and Red Crescent, Médecins Sans Frontières, members of the UK Disasters Emergency Committee and others) to:
    • perform activities to ensure the timely delivery of humanitarian assistance activity in relation to the conflict in Ukraine and non-government controlled Ukrainian territory; or
    • carry out other activities that support basic human needs in relation to the conflict in Ukraine and non-government controlled Ukrainian territory (7 July 2022).
  • General Licence INT/2022/2085212, “Mongolia Energy Payments” (Notice), which authorises a person / entity to make payments to Credit Bank of Moscow, Gazprombank, Sberbank or Rosbank PJSC, or a subsidiary of any of these, for the purpose of making energy available for use in Mongolia (15 August 2022).
  • General Licence INT/2022/1845976, “Crown Servants, Contractors & their Family Members” (Notice). Where Crown immunity does not apply to activities by reason of non-application of the Russia (Sanctions) (EU Exit) Regulations 2019 to the Crown, the GL authorises:
    • a Crown Servant, Contractor, Family Member or Visiting Family Member to carry out activities in their personal capacity in Russia, which would otherwise be prohibited by regulations 11-15 and 17A of the Russia Regulations; and
    • in the case of a Visiting Family Member, the permission above extends only to those activities which arise as a result of their being in Russia to visit the household of a Crown Servant or Contractor (16 August 2022).
  • General Licence INT/2022/2009156, “Permitted Payments to UK Insurance Companies” (Notice), under 19 of its autonomous sanctions regimes. It indefinitely authorises (subject to reporting and record-keeping requirements):
    • UK designated people / entities to make ‘Permitted Payments’ (insurance premiums, reinsurance premiums and broker commissions relating to the provision of Buildings Insurance, Terrorism Cover, Property Owners’ Liability Insurance, Claims Preparation Costs Insurance and Engineering insurance provided to UK properties) to UK insurers from a frozen UK bank account;
    • UK insurers to receive Permitted Payments;
    • UK insurers to make ‘Return Payments’ to frozen UK bank accounts (for the payment of funds due as a result of a claim made pursuant to the Permitted Payments, or as a result of an overpayment); and
    • UK designated people / entities to receive Return Payments from UK Insurers into a frozen UK bank account (22 July 2022, amended 17 August 2022).
  • General Licence INT/2022/2104808, “Bank Fees” (Notice), which indefinitely authorises a Bank to take the payment of Service Fees from accounts frozen under the Russia Regulations arising from the routine holding or maintenance of those accounts. This permits the payment of Service Fee arrears but does not permit the payment to banks designated under Russia sanctions. Should payments of Service Fees result in tax liability, payment may be made to settle these and HMRC may receive such payments. Records of activity purported to have been permitted under this licence must be kept for a minimum of 6 years (22 August 2022).
  • General Licence INT/2022/2349952, “Transactions Related to Agricultural Commodities Including the Provision of Insurance and Other Services” (Notice), which allows, subject to certain conditions, transactions related to agricultural commodities including the provision of insurance and other services (4 November 2022)
  • General Licence INT/2022/2300292, “Payment to Utility Companies for Gas and / or Electricity” (Notice), which authorises the payment of utility companies for gas and electricity supplies by UK designated people or entities that own or rent UK properties (17 November 2022).
  • General Licence INT/2022/2470056, “Correspondent banking and payment processing” (Notice), indefinitely authorises Relevant Institutions to process, clear or send payments from any person / entity in connection with activities that would otherwise breach Russia regulation 46Z9C, subject to conditions (5 December 2022).
  • General Licence INT/2023/2589788, “Wind down of Trust Services provided to Designated Persons” (Notice), permits the wind down of Trust Services provided to Designated Persons otherwise prohibited by Regulation 18C of the Russia Regulations.
  • General Licence INT/2023/2824812, “Bond amendments and restructurings for non-Designated Persons” (Notice), pursuant to which, an Issuer which considers that it has or may have Bondholders who are Designated Persons may effect the terms of any Bond restructuring or amendments agreed between itself and its Bondholders, provided that the conditions of the General Licence are met.
  • General Licence INT/2023/3074680, “Oil Price Cap: Trading in Derivatives and Futures”, which authorises trade in Derivatives and Futures in connection with activities which would otherwise contravene regulation 46Z9C of the Russia Regulations, and associated payments/provisions of brokering services (14 June 2023).
  • General Licence INT/2023/3263556, “GTLK Companies and their Subsidiaries – Insolvency related payments and activities”, which authorises payments concerning insolvency proceedings of GTLK and its subsidiaries (1 August 2023).
  • General Licence INT/2023/3179120, “Payment to Water Companies for Water & Sewage” (Notice), permits UK designated individuals and entities to pay water companies for water and sewage services.
  • General Licence INT/2024/4423849, “Oil Price Cap” (Notice), which permits the supply or delivery by ship of Russian crude oil and oil products, as well as provision of associated services, so long as the price paid for Russian oil or oil products is at or below the price cap.
  • General Licence INT/2024/4398024, “Court Funds Office Payments” (Notice), which allows Persons who owe monies to a designated person as a result of a Court Order to pay these to the Court Funds Office and for the Court Funds Office to receive these payments.
  • General Licence INT/2024/4761108,”Personal Remittances” (Notice), permits non-DPs to make use of the retail banking services of a designated Credit or Financial Institution for their personal use up to £50,000.
  • General Licence INT/2024/5028385, “East-West United Bank – Insolvency related payments and activities” (Notice), allows payments and other permitted activities to take place in relation to the insolvency proceedings associated with East-West United Bank (9 August 2024).
  • General Licence INT/2024/5394840, “Correspondent Banking – 2022 Blocked Payments” (Notice), permits relevant institutions to process payments made in 2022 from or through a designated credit or financial institution, provided that the sender and recipient are not designated persons (7 November 2024).
  • General licence INT/2025/5635700, “Russian Oil Exempt Projects” (Notice), allows for the continuation of business operations with Gazpromneft-Sakhalin LLC (and any entity owned or controlled, directly or indirectly, by it) to the extent they are in relation to Sakhalin-2 (10 January 2025).
  • General licence INT/2025/5632740 “Interim Basic Necessities for Designated Persons” (Notice),  allows Persons to make funds available to or for the benefit of a UK DP up to the Permitted Maximum in each of the two Months following the date of the UK DP’s designation for the purpose of the UK DP making payments for food and beverages, medicines and medical products, and personal and household products (14 January 2025).
  • General Licence INT/2025/5810196 “Syria humanitarian activity” (Notice), which allows for payments to be made in respect of relevant humanitarian assistance activities (12 February 2025)
  • General Licence INT/2025/5855272 “Membership Fees for International Organisations” (Notice), which allows International Organisations to receive Permitted Payments transferred from an account held with Gazprombank (21 February 2025)
  • General Licence INT/2025/5886860 “Petrol station payments for United Kingdom nationals in Kyrgyzstan and Tajikistan” (Notice), which allows UK nationals to purchase petrol from Gazpromneft (or its subsidiaries) at any petrol station in Kyrgyzstan and Tajikistan that is either owned by Gazpromneft or sells its petrol, provided that the petrol is for that UK national’s personal vehicle (14 March 2025)
  • General Licence INT/2025/5787748 “Arbitration Costs” (Notice), which applies to the Russia & Belarus regimes and authorises designated people and entities to make payments to Arbitration Associations and Arbitrators to cover fees and expenses for their arbitration services; and to representatives (or legal representatives) of designated persons to cover Arbitration Costs (31 March 2025)
  • General Licence INT/2025/6135848, “Integration of Credit Suisse Group AG and UBS Group AG” (Notice), which allows the transfer of assets and liabilities as part of the integration of Credit Suisse Group AG into UBS Group AG (28 April 2025)
  • General Licence INT/2025/6160920, “Legal Fees (Russia & Belarus)” (Notice), permits a UK legal firm or UK counsel who has provided legal advice to a person designated under either the Russia or Belarus regime to receive payment from that designated person without an OFSI specific licence (29 April 2025)
  • General Licence INT/2025/6275812, ” Wind Down of Positions Involving St Petersburg Currency Exchange and Non-bank Credit Organization Joint-Stock Company Petersburg Settlement Center” (Notice), which permits wind down transactions down involving JSC SPCEX and/or JSC PSC (20 May 2025)

 

Expired and Revoked General Licences

US Licensing

OFAC

OFAC has the authority to issue specific and general licences. The Bureau of Industry and Security (BIS) has the authority to issue export licences. The Directorate of Defense Trade Controls (DDTC) is responsible for licences for the export, reexport, retransfer, or temporary import of defence articles/services, including technical data.

A specific licence is a written document issued by OFAC to one or more particular persons or entities, authorizing a particular transaction in response to a written license application.  A general licence authorizes a particular type of transaction for a class of persons without the need to apply for a license.

The activities permitted by general licences generally include humanitarian activities such as donating food, clothing, or medicine, however the scope of the exceptions will vary from one regime to another, depending on the policy aims of the regime.

Pursuant to both specific licences and general licences, OFAC may require reports and statements from the licensee.

 

Applying for an OFAC licence

OFAC licensing procedure is set out in 31 CFR 501.801.

OFAC’s licence application portal is used to submit requests for licences or interpretative guidance and submit reports required by some licences. Users do not have to register for an account to apply for licences or guidance. However, registering for an account allows applicants to:

  • save and return to applications in progress
  • view a list of their applications and associated case statuses in one dashboard
  • save frequently used contacts
  • replicate applications

 

 OFAC Specific Licences Guidance

  • OFAC FAQs: how do I apply for a license to get my money unblocked

 

BIS Export Licences

Export licences can be obtained from BIS via the SNAP-R online portal, after registering for a SNAP-R account. SNAP-R allows users to submit BIS export license applications, commodity classification requests, reexport license applications, and license exception AGR notifications via the Internet.

Applicants can track the status of requests submitted to BIS through the System for Tracking Export License Applications (STELA).

The EAR also includes numerous License Exceptions, found in EAR Part 740.

 

DDTC

DDTC Registration

Any person who engages in the United States in the business of manufacturing, exporting, or temporarily importing defense articles, or furnishing defense services, is required to register with DDTC under 22 C.F.R. Part 122.2.  In addition, any person who engages in brokering activities subject to the ITAR must register with DDTC under 22 C.F.R. Part 129.3.  Registration is a precondition for being able to obtain an export license or other authorization from DDTC, or to use an available ITAR License Exemption.

To register, Applicants must first create an account in DDTC’s Defense Export Control and Compliance System (DECCS).  Once a DECCS account is created, an Applicant can use DECCS to complete and submit the ITAR registration application.

DDTC Registration Overview

 

DDTC Licences

Licences for the export, reexport, retransfer, or temporary import of defence articles/services, including technical data, can be obtained from the DDTC. Applicants can also obtain comprehensive Agreements to provide technical data and defence services to a foreign person.

These licences are governed by the International Traffic in Arms Regulations (ITAR), 22 C.F.R. Parts 120-130.

Generally, any person or company who intends to export or temporarily import a defence article, defense service or technical data must obtain prior approval from DDTC.  Exporters may submit to DDTC a commodity jurisdiction request to obtain an official determination regarding whether a commodity or service is covered by the US Munitions List, and therefore is subject to the ITAR, or is subject to other export control regulations such as the EAR.

DDTC Commodity Jurisdiction Overview

Applicants should use DECCS to submit license applications for:

  • Exporting, reexporting, and retransferring defence articles and technical data.
  • Temporarily importing defence articles and technical data.
  • Brokering:
    • Foreign defence articles and defence services as described on the U.S. Munitions List (USML) or the U.S. Munitions Import List
    • U.S.-origin defence articles or defence services as described in section 129.4(a)(2) of the ITAR

DDTC Licensing Guidance Overview

 

DDTC Agreements

Guidance

An agreement approved by DDTC is the primary mechanism for authorizing a U.S. person to furnish defense services and/or disclose technical data to a foreign person, manufacture defense articles abroad, or establish a distribution point abroad for defense articles of U.S. origin for subsequent distribution to foreign persons.  The scope of an agreement may encompass a range of licensable activities to include exports, reexports, retransfers and temporary imports but the furnishing of a defense service, transfer of manufacturing know-how or production rights, or the establishment of a distribution point abroad is what distinguishes an “agreement” from other forms of authorizations issued by DDTC.

In exceptional cases involving activities of limited scope and duration, DDTC may consider approving the provision of limited defense services under a DSP-5 in accordance with §124.1(a)

There are three types of agreements:

  • manufacturing license agreements, for manufacturing defence articles abroad
  • technical assistance agreements, for furnishing defence services or disclosing technical data to foreign persons
  • distribution agreements, for warehouse or distribution point abroad for defence articles, or

Agreements must be approved by DDTC, and may not enter into force until executed by all parties to the agreement.

 

OFAC General Licences

General licences applicable to different sanctions regimes can be found in the Code of Federal Regulations or as separate documents on the OFAC website. Relevant general licenses are available via the links to sanctions programs and have also been reproduced in full below. Expired GLs can be found via OFAC’s Archive of Expired General Licenses

 

Australia

The Minister for Foreign Affairs, assisted by the Australian Sanctions Office, may grant “sanctions permits” to authorise activities that would otherwise be prohibited by Australian sanctions law.  The permit may be subject to conditions.

Different sanctions regimes impose different criteria for the grant of a permit.  For UN sanctions regimes, the Minister may need to notify or receive the approval of the UNSC before granting a sanctions permit.

Applications for sanctions permits must be made through the Australian sanctions portal Pax and should include relevant information about the proposed activity, for example a detailed description of the goods or services involved, the end use of the goods or services, information on the end users, and the intended transport pathway for the goods or services.

The Australian Department of Foreign Affairs and Trade website says that it usually takes 6-8 weeks to process a Pax application, but “you should allow 3 months”, especially for complex activities and activities in high-risk countries.  The length of time for a permit is decided on a case-by-case basis.  Permits are usually issued for a period of 180 days.

Bermuda

The Minister of Legal Affairs is responsible for licensing.

Applicants for a licence for an activity otherwise prohibited under asset freezing measures in the Overseas Territories Orders in Council (Overseas Territories Orders) listed in the International Sanctions Act Regulations 2013 (2013 Regulations) should use the prescribed form.

For licensing that relates to a person or entity designated under the Counter-Terrorism (Sanctions) (Overseas Territories) Order 2020, the Minister must consult the UK Treasury before issuing a licence.

Licensing grounds, which are set out in the prescribed form include:

  • basic expenses of the designated person or his or her dependent family members
  • reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services
  • fees or service charges for the maintenance of frozen funds or economic resources
  • extraordinary expenses
  • obligations due under a contract or agreement entered into, or an obligation which arose prior to the designation of the person or entity in question (N.B. only available for the release of frozen funds, this ground is not available to make funds or economic resources available to a designated person)
  • obligations arising in connection with certain judicial, administrative or arbitral liens, decisions or judgments (N.B. only available for the release of frozen funds, this ground is not available to make funds or economic resources available to a designated person)

Other grounds may be available if the applicant specifies the ground with reference to relevant legislation.

 

All sanctions licence applications, notifications and authorisations should be made to:

The Minister of Legal Affairs
Financial Sanctions Implementation Unit
Global House
43 Church Street
Hamilton HM 12

Email: [email protected]

 

General Licences:

UK General Licences do not extend to Bermuda, Bermuda issues its own General Licences (listed below).

Anyone intending to use a General Licence should notify the Financial Sanctions Implementation Unit (FSIU, a unit within the Ministry of Legal Affairs Headquarters) within 14 days (except in relation to: 1)a) the General Licence: Wind down of Trust Services Provided to Designated Persons; and 1)b) the General Licence: Russian Sanctions – Vessels, which in each case is 30 days; and 2) in relation to the General Licence: Russian Oil Price Cap which is 40 days or 60 days (as applicable)).

General Licence – Russia Sanctions – Legal Fees (3 January 2025)

  • allows for payment for the provision of legal services to a designated person under the Russia or Belarus regimes.

General Licence – GTLK Companies and their subsidiaries – Insolvency related payments and activities (20 December 2024)

  • allows payments and other permitted activities to take place in relation to insolvency proceedings associated with GTLK Europe and GTLK Capital and their subsidiaries.

General Licence: Russia Sanctions – Wind down of Trust Services Provided to Designated Persons (21 March 2023)

  • permits Persons to undertake activity necessary to terminate an arrangement to provide Trust Services between them and a Designated Person, provided that the terms of the general licence are met.

General Licence: Russian Oil Price Cap (17 March 2023)

  • permits the supply or delivery of Russian oil and oil products by ship, as well as provision of associated services, subject to the price cap terms being met.

General Licence: Russia Sanctions – Vessels (20 October 2022)

  • authorises the provision of technical assistance, financial services, and funds, and brokering services, related to vessels, subject to restrictions set out in the licence

British Virgin Islands

The Governor of the BVI with the consent of the UK Secretary of State may issue licences permitting transactions otherwise prohibited by sanctions.  The Governor may also need to notify or seek approval from the UNSC prior to granting a licence for UN sanctions regimes.

Licence applications must be made to the Governor’s Office by email at [email protected]. Forms can be found online on the both FSC and FIA’s website.

Applications should provide evidence which demonstrates that the criteria of the relevant licensing ground have been met, for example: the intended purpose of the transaction; intended payment route; sender and receiver of funds; how the funds will be accounted for; and an explanation of the reasonableness of the proposed payment.

The grounds for issuing licences are in the legislation underpinning each sanctions regime.  Common grounds for issuing a licence include:

  • basic needs of a designated person or dependent family member(s);
  • reasonable professional fees and disbursements for the provision of legal services;
  • fees and service charges for routine holding or maintenance of frozen funds or economic resources;
  • extraordinary expenses;
  • extraordinary situations;
  • satisfying prior obligations under a contract or pre-existing judicial decisions that arose prior to the designation of the person/entity; and
  • humanitarian assistance activity, etc.

The granting of a licence will be considered on a case-by-case basis.  The Governor may attach reporting conditions to a licence.  Licences will not be issued retrospectively.

The Virgin Islands General Licences

The Virgin Islands Financial Sanctions Guidelines, page 35

Appendix I – Licence Application Form

Virgin Islands General Licence No.6 2024 (Payment of Reasonable Professional Legal Fees and Expenses)

Virgin Islands General Licence No. 5 2023 (payment of reasonable professional legal fees and expenses)

Virgin Islands General Licence No. 4 2023 (Maintenance of Economic Resources)

Virgin Islands General Licence No. 3, 2023 (Payment of Reasonable Professional Legal Fees and Expenses)

Virgin Islands General Licence No. 2 2023 (Wind Down of Trust Services Provided to Designated Persons)

Virgin Islands General Licence No. 1, 2023 (As Amended) (Russian Oil Price Cap)

Canada

Canadian sanctions regulations generally include mechanisms for the Minister of Foreign Affairs to issue permits or certificates to authorise specified activities or transactions that are otherwise prohibited. This authority is found in the related Permit Authorisation Order or in the relevant Act or regulation.

Permits can only be issued to individuals and entities in Canada and Canadians outside Canada.

Applications for permits under the regulations should be made to the Sanctions Policy and Operations Coordination Division (e-mail: [email protected]).  Applications for permits under the Freezing Assets of Corrupt Foreign Officials Act should be made to the Criminal, Security and Diplomatic Law Division (e-mail: [email protected]).

Applications should set out (inter alia) a detailed description of the proposed activity or transaction; an explanation as to how the activity or transaction would violate the relevant regulation, or how the request otherwise meets the criteria for application; which section of the regulation and/or which permit authorization order is being relied on to support the application; and a detailed explanation of the reasons for the transaction and the anticipated effects if a permit or certificate is not granted.

Permits and Certificates

Justice for Victims of Corrupt Foreign Officials Permit Authorization Order

Estonia

S.13 of the International Sanctions Act governs licensing (authorisations).

Applications should be submitted to the relevant competent authority which grants or refuses the application within 30 days of the submission of the application. The relevant competent authority responsible for licensing varies according to the restriction/sanctions in place.

Relevant competent authorities are as follows:

  • restrictions related to financial sanctions and public procurements – the Financial Intelligence Unit;
  • entry ban – the Ministry of the Interior;
  • restrictions on the stay, residence and employment – the Police and Border Guard Board;
  • ban on the import and export of goods – the Tax and Customs Board;
  • restriction relating to accounting, auditing, accountancy, tax consultancy, business consultancy, management consultancy, public relations, architectural, engineering, legal, tourism, media, information society and advertising services, market research and public opinion polling services, technical testing and analysis services and information technology consultancy services – Consumer Protection and Technical Regulatory Authority;
  • restriction relating to a vessel, aircraft or motor vehicle – the Transport Board;
  • ban on entry into the inland sea and port – the Defence Forces;
  • prohibition related to the registration of a company/directors disqualification – the registration department of Tartu County Court.

In the case of financial sanctions – applications should be sent to [email protected] using the Exemption application form. The Money Laundering Information Bureau may then grant the exemption.

The competent authority may, in justified cases, extend the time limit for processing the application by up to 60 days. The extension of the time limit is notified in writing to the applicant. The grant of the authorisation is coordinated with the Ministry of Foreign Affairs.

Priority is given to applications for the granting of authorisation for provision of humanitarian aid.

Authorisations may be issued with terms and conditions that the applicant is required to comply with upon providing the authorised service or carrying out the transaction/action.

 

General Authorisations:

The Financial Intelligence Unit (FIU) has granted a general authorisation for the partial release of funds for the payment of necessary and extraordinary expenses for the management of the company’s assets. The Estonian Money-Laundering Information Bureau has issued corresponding general permits to the following legal entities: EuroChem Terminal Sillamäe Private Limited Company (issued on 4.07.2022)

  • TT Baltics SIA Estonian branch (issued on 29.09.2022)
  • Social Welfare Department of the Embassy of the Russian Federation (issued on 01.03.2024)

Germany

The Deutsche Bundesbank is responsible for granting sanctions licences.  The Federal Office for Economic Affairs and Export Control is responsible for granting import and export licences.

Gibraltar

The Chief Minister can issue licences under section 10 of the Sanctions Act 2019 where there are licensing grounds enabling the minister to do so, and where the conditions on those grounds have been met. The Minister can also create exceptions to autonomous Gibraltar sanctions regulations under section 31 of the Sanctions Act 2019.

The licensing grounds are:

  • basic needs
  • legal fees and disbursements
  • fees or service charges for routine holding/maintenance of frozen funds/economic resources
  • satisfaction of prior court judgments/arbitration decisions against the designated person/entity
  • satisfaction of prior contractual obligations of the designated person
  • extraordinary expenses

For sanctions exemption licence applications, contact the competent authority at [email protected].

Licences may come with reporting conditions within a particular time frame. A failure to comply with these reporting requirements may result in the revocation, suspension or termination of a licence or further restrictions being included in it. It may also result in a criminal prosecution or monetary penalty.

General Licences

UK General Licences do not extend to Gibraltar, which issues its own GLs (listed below):

Russian Oil Price Cap

Wind Down of Trust Services Provided to Designated Persons

Guernsey

Guernsey does not automatically adopt General Licences issued by the Office of Financial Sanctions Implementation and as such they do not have direct effect but in certain circumstances it may choose to do so. Further, the Policy & Resource Committee may independently issue a General Licence insofar as the UK sanctions provide for General Licences to be issued.  

Licenses in respect of financial sanctions – a guide

Template for making licence requests

INT/2022/1280976  – Russia: Regulatory Authorities – Prudential Supervision or Financial Stability

INT/2022/1280876 – Russian Banks – UK subsidiaries – Basic needs, routine holding and maintenance and the payment of legal fees

INT/2022/1322576 – Provision of navigational data to civilian aircrafts for flight safety

INT/2022/1845976, “Crown Servants, Contractors & their Family Members”

INT/2022/1678476, “Amsterdam Trade Bank N.V – winding down, basic needs and insolvency related payments”

INT/2023/2589788, “Wind down of Trust Services provided to Designated Persons”

General Licence – RUSSIA/GY/2022/1

General Licence – RUSSIA/GY/2022/2

General Licence – GY/RUSSIA/2022/6

General Licence – RUSSIA/GY/2022/9

General Licence – RUSSIA/GY/2022/18

General Licence – RUSSIA/GY/2022/21

General Licence – GY/RUSSIA/2023/17

General Licence — GY/ RUSSIA /2024/4

General Licence – RUSSIA/GY/2024/GL2

 

Ireland

The Central Bank of Ireland is responsible for assessing derogation applications in respect of financial sanctions prohibitions. Further information is available on the Central Bank of Ireland’s webpage on derogations.

The Department of Enterprise, Trade and Employment is responsible for managing controls on exports of dual-use items, military items and items destined for countries to which trade sanctions apply. Further information is available on the Department of Enterprise, Trade and Employment’s webpage on export licences.

Central Bank of Ireland – Derogations

Sanctions Derogation Application Form

Isle of Man

A licence can be sought from Isle of Man Treasury to allow an activity or transaction to take place that would otherwise be prohibited under asset freezing measures using the application form below.

Sanctions and Export Control – Sanctions Licences (general licences)

CEM 85 MAN – Sanctions Licence Application Form

Italy

Pursuant to Legislative Decree no. 109 of 22 June 2007, license applications concerning restrictive measures of a financial nature, as well as the unfreezing of assets, must be submitted to the Financial Security Committee.

Pursuant to Legislative Decree no. 221 of 15 December 2017, license applications concerning export controls and restrictive measures regarding the trade in goods, technologies and services must be submitted to UAMA.

Japan

Sanctioned people and entities can apply for permission for financial transactions/trade otherwise prohibited by sanctions under article 10 Foreign Exchange and Foreign Trade Act 1949. Applications are submitted to prefectural public safety commissions (committees established under the jurisdiction of governors of prefectures). The commission must grant the application if for:

  • payment of expenses normally required for the living of the relevant person subject to freezing of assets, etc., and the spouse or other relatives who have the same livelihood with the relevant person;
  • payment of taxes and other public charges;
  • payment of costs in connection with a lawsuit involving a disposition under the provisions of the Foreign Exchange and Foreign Trade Act, or any other act involving the exercise of public authority;

and there is no risk of the permission being used for:

  • international terrorists, criminal acts for the purpose of intimidating the general public, etc.;
  • people involved in weapons of mass destruction programs and activities, etc.,

The public safety commission may attach conditions to the licence.

 

Jersey

The Minister for External Relations is responsible for handling sanctions licence applications.

A licence is defined as “a written permission from the Minister for External Relations (the “Minister”) allowing an act that would otherwise breach prohibitions imposed by financial sanctions” under the Jersey Financial Sanctions and Implementation Unit Guide.

A licence will only normally be granted by the Minister for External Relations if there is scope in the relevant UK Sanctions Regulations (e.g. Russia (Sanctions) (EU Exit) Regulations 2019) implemented in Jersey under the Jersey Sanctions Order.

Licensing grounds, which are set out in the sanctions licence application form, include the following:

  • basic expenses of the designated person or his or her dependent family members
  • reasonable professional fees and expenses associated with the provision of legal services
  • fees or service charges for the maintenance of frozen funds or economic resources
  • extraordinary expenses
  • obligations due under a contract or agreement entered into, or an obligation which arose prior to the designation of the person or entity in question (N.B. only available for the release of frozen funds, this ground is not available to make funds or economic resources available to a designated person)
  • obligations arising in connection with certain judicial, administrative or arbitral liens, decisions or judgments (N.B. only available for the release of frozen funds, this ground is not available to make funds or economic resources available to a designated person)

Other grounds may be available if the applicant specifies the ground with reference to relevant legislation. All licence applications must be submitted using the sanctions licence application form to:

Financial Sanctions Implementation Unit

Ministry of External Relations

19-21 Broad Street

St Helier

Jersey

JE2 3RR

Email: [email protected]

 

All UK General Licences issued under the Russia and Belarus sanctions regimes only, apply automatically in Jersey and may be relied upon by Jersey-based individuals and entities. All reporting requirements of a UK General Licence are applicable in Jersey and reports must be filed to the Minister for External Relations.

Note, however, that UK General Licences issued under all other regimes do not apply to Jersey-based individuals and entities, though they may be considered as basis for a licence application.

Financial Sanctions Implementation Unit Sanctions Licences and Exemptions Guidance

Sanctions forms for licences and suspected breach notifications

Latvia

In order to obtain a licence from sanctions in Latvia, persons should submit a written application to the FIU outlining information on the transaction, the applicable sanctions regulation, and an explanation of how the proposed activity complies with the grounds for exceptions in the relevant sanctions regulation.

The FIU may request a report by an independent auditor on whether a licence should be granted based upon criteria issued by the FIU.  For example, where the licence is requested on the basis of basic needs, an independent report may be requested by the FIU on whether the proposed activity is necessary to meet basic needs.

The decision to refuse a licence may be challenged by submitting an application to the Head of the FIU pursuant to Article 10 of the Sanctions Act.

FAQ 7

Malta

Individuals and entities may apply to the Sanctions Monitoring Board using the template form (linked below) for a licence to allow an activity, service, or transaction to take place that would otherwise be prohibited under EU or UN restrictive measures.

Sanctions Monitoring Board Applications for Derogations

New Zealand

Applications for sanctions licenses under the Russia Sanctions Act must be made using this application form and sent to [email protected].  Applications are considered by either the Minister of Foreign Affairs or the Secretary of Foreign Affairs and Trade.

According to the guidance, the following criteria will be considered when applications are assessed:

  • the purpose of the Russia Sanctions Act 2022 and Russia Sanctions Regulations 2022;
  • risk of an exemption benefitting a sanctioned person or entity;
  • any harm if an exemption is not granted;
  • the accuracy of facts and law;
  • other factors material to the application; and
  • principles of natural justice or procedural fairness.

Applications for amendments or revocation of a regulation can also be made to the Minister using the same application form.

Requests for guidance on whether general exceptions apply to certain circumstances may be made to the New Zealand Sanctions Unit at [email protected].

Apply for an exemption, amendment or revocation

Guidance Note: Permitted activities including exemptions

Russia-Sanctions-Register.xlsx (live.com)

Norway

Designated persons (or their representatives) may submit an application to the Ministry of Foreign Affairs ([email protected]) to use frozen assets.

Applications for and inquiries about sanctions and export licences may be submitted using the Ministry of Foreign Affairs’ E-license portal.

Applications for permission for port calls or road transport must be sent to [email protected].

Section 4.4 of Financial sanctions: Guidance on the freezing provisions

Section 3.2 of Guidance on sanctions in response to Russia’s military aggression against Ukraine

E-licence portal

Russia

The Sub-Commission of the Government Commission for Control over Foreign Investments in Russia can grant permits to execute restricted transactions. For transactions involving financial organisations, the permits are issued by the Central Bank of the Russian Federation.

A permit issued by the President is required for transactions involving Russian entities operating in sectors critical to national defense and security.

The Ministry of Industry and Trade is responsible for licensing export and import of goods.

The Ministry of Finance is responsible for granting licences on transactions with designated persons.

Singapore

Financial Measures In Relation To Russia – Non-Prohibited Payments And Transactions – this Notice sets out categories of payments and transactions which are excluded from the prohibition on dealing with certain designated Russian banks (in Notice SNR-N01).

Non-prohibited payments include payments for basic expenses, transactions involving a designated bank to facilitate withdrawal of a person’s funds from a non-designated bank, and transactions necessary for the performance of the functions of the Russian Embassy in Singapore.

United Arab Emirates

An individual or entity listed in the Local List, or legal representative or stakeholder may submit to the Executive Office a written request for accessing all or part of frozen funds which will be referred to the Ministry of Justice. Send the request form to [email protected].

Following coordination with the Supreme Council, the Ministry of Justice may approve the use of part of the frozen funds of an individual or legal entity listed in Local List for any of the following purposes:

  1. To cover necessary or basic expenses, such as foodstuffs, rent, mortgage, medicine, medical treatment, insurance, educational and judicial fees, and public utility fees.
  2. To pay professional fees and costs relating to rendered legal services and other exceptional expenses within reasonable limits, or services relating to safekeeping or management of frozen funds.
  3. Extraordinary expenses if and as approved, on a case-by-case basis, by the Ministry of Justice.

The Executive Office will notify the applicant in writing of the outcome of the decision related to the approval or rejection of the request.

If the application is rejected or remains without response for 30 days from the date of its submission, the applicant may file a claim with the UAE court.

Executive Office – “Grievances and Requests”

Латвия

Чтобы получить лицензию от санкций в Латвии, лица должны подать письменное заявление в ПФР, содержащее информацию о сделке, применимое положение о санкциях и объяснение того, как предлагаемая деятельность соответствует основаниям для исключений в соответствующем положении о санкциях.

ПФР может запросить отчет независимого аудитора о том, следует ли выдавать лицензию на основании критериев, установленных ПФР. Например, если лицензия запрашивается на основании базовых потребностей, ПФР может запросить независимый отчет о том, является ли предлагаемая деятельность необходимой для удовлетворения базовых потребностей.

Решение об отказе в выдаче лицензии может быть оспорено путем подачи заявления на имя Главы ПФР в соответствии со статьей 10 Закона о санкциях.

FAQ 7

Россия

Подкомиссия Правительственной комиссии по контролю за осуществлением иностранных инвестиций в РФ может выдавать разрешения на совершение сделок с ограниченным доступом. Для операций с участием финансовых организаций разрешения выдаются Центральным банком Российской Федерации.

Разрешение, выданное Президентом, требуется для сделок с российскими компаниями, работающими в секторах, критически важных для национальной обороны и безопасности.

Министерство промышленности и торговли отвечает за лицензирование экспорта и импорта товаров.

Министерство финансов отвечает за выдачу лицензий на операции с указанными лицами.

الإمارات العربية المتحدة

يجوز للفرد أو الكيان المدرج في القائمة المحلية أو الممثل القانوني أو صاحب المصلحة أن يقدم إلى المكتب التنفيذي طلباً خطياً للوصول إلى كل أو جزء من الأموال المجمدة التي ستحال إلى وزارة العدل. أرسل نموذج الطلب إلى [email protected].

يجوز لوزارة العدل، بعد التنسيق مع المجلس الأعلى، الموافقة على استخدام جزء من الأموال المجمدة لفرد أو كيان قانوني مدرج في القائمة المحلية لأي من الأغراض التالية

  1. لتغطية النفقات الضرورية أو الأساسية، مثل المواد الغذائية والإيجار والرهن العقاري والدواء والعلاج الطبي والتأمين والرسوم التعليمية والقضائية ورسوم المرافق العامة.
  2. دفع الأتعاب والتكاليف المهنية المتعلقة بالخدمات القانونية المقدمة والمصروفات الاستثنائية الأخرى في حدود المعقول، أو الخدمات المتعلقة بحفظ أو إدارة الأموال المجمدة.
  3. النفقات الاستثنائية إذا تمت الموافقة عليها، على أساس كل حالة على حدة، من قبل وزارة العدل.

يقوم المكتب التنفيذي بإخطار مقدم الطلب كتابيًا بنتيجة القرار المتعلق بالموافقة على الطلب أو رفضه.

إذا تم رفض الطلب أو ظل الطلب دون رد لمدة 30 يومًا من تاريخ تقديمه، يجوز لمقدم الطلب رفع دعوى إلى محكمة الإمارات العربية المتحدة.

المكتب التنفيذي – ”التظلمات والطلبات“

新加坡

与俄罗斯有关的金融措施–非禁止付款和交易–本通知列出了不在禁止与某些指定俄罗斯银行交易范围内的付款和交易类别（见SNR-N01 号通知）。

非禁止付款包括用于基本开支的付款、涉及指定银行以方便个人从非指定银行提取资金的交易，以及俄罗斯驻新加坡大使馆履行职能所必需的交易。

日本

根据1949 年《外汇和外贸法》第 10 条的规定，受制裁的个人和实体可申请许可进行制裁所禁止的金融交易/贸易。申请应提交都道府县公共安全委员会（在都道府县知事管辖下设立的委员会）。如果符合以下条件，委员会必须批准申请

  • 支付受冻结资产等限制的相关人员及其配偶或其他与相关人员有相同生活来源的亲属的正常生活所需的费用；
  • 缴纳税款和其他公共费用；
  • 支付与根据《外汇和外贸法》的规定进行处置的诉讼有关的费用，或与行使公共权力的任何其他行为有关的费用；

而且也没有许可被用于其他目的的风险：

  • 国际恐怖分子、以恐吓公众为目的的犯罪行为等；
  • 参与大规模杀伤性武器计划和活动的人，等等、

公共安全委员会可对许可证附加条件。

 

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