OFAC: Background Reading -- a few FAQs and Overviews
All, I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationship between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email. OFAC FAQ, General Questions: https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as... A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful): https://www.law360.com/articles/262952/4-steps-toward-ofac-sanctions-complia... (Also attached as PDF in case the link can't be accessed) Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control IEEE and OFAC: https://www.ieee.org/about/corporate/compliance/legal/ofac/DF_IEEE_MIG_NAV_9... Greg
Greg Tks for the info which are available on GOOGLE but nor quickly as you gathered. Appreciation for that I request you to kindly collect the names of countries to which OFAC applies by ICANN Kavouss Sent from my iPhone
On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com> wrote:
All,
I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationship between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email.
OFAC FAQ, General Questions: https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...
A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful): https://www.law360.com/articles/262952/4-steps-toward-ofac-sanctions-complia... (Also attached as PDF in case the link can't be accessed)
Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm
Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control
IEEE and OFAC: https://www.ieee.org/about/corporate/compliance/legal/ofac/DF_IEEE_MIG_NAV_9...
Greg <4 Steps Toward OFAC Sanctions Compliance.docx> _______________________________________________ Ws2-jurisdiction mailing list Ws2-jurisdiction@icann.org https://mm.icann.org/mailman/listinfo/ws2-jurisdiction
OFAC applies, it seems, to ALL countries, not a few See answer 10 at https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as... The real key as to whether ICANN and/or PTI is seriously affected by OFAC depends not so much on the countries to which OFAC applies (to which, for the reasons above the answer is "ALL"), but to the true construction of the expression "prohibited transaction". OFAC's own website gives a fairly general and broad definition: " trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute." But what matters is the detail of the statute and the regulations issued under it. Nonetheless, if ICANN, or PTI does not engage in prohibited transactions for which a license would be required, then the effect of the OFAC system is going to be negligible, or insignificant. (Unfortunately, risk aversion, an over-abundance of caution, and a 'box-ticking' approach might result in an inappropriately disproportionate approach to compliance "just to make sure"). Which is a risk in itself. On 31/07/17 07:53, Arasteh wrote:
Greg Tks for the info which are available on GOOGLE but nor quickly as you gathered. Appreciation for that I request you to kindly collect the names of countries to which OFAC applies by ICANN Kavouss
Sent from my iPhone
On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com>> wrote:
All,
I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationshipO between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email.
OFAC FAQ, General Questions: https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...
A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful): https://www.law360.com/articles/262952/4-steps-toward-ofac-sanctions-complia... (Also attached as PDF in case the link can't be accessed)
Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm
Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control
IEEE and OFAC: https://www.ieee.org/about/corporate/compliance/legal/ofac/DF_IEEE_MIG_NAV_9...
Greg <4 Steps Toward OFAC Sanctions Compliance.docx> _______________________________________________ Ws2-jurisdiction mailing list Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> https://mm.icann.org/mailman/listinfo/ws2-jurisdiction
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Dear All, As I mentioned before, in order to enable everybody, to equally understands the presentation of Samantha ,she is kindly and respectfully requested to provide a written version of what she is being prepared on OFAC FOR TOMORROW 's meeting at 13,00 UTC. This in no way supersedes or replaces the background document that I have asked Regards Kavouss On Mon, Jul 31, 2017 at 9:18 AM, Nigel Roberts <nigel@channelisles.net> wrote:
OFAC applies, it seems, to ALL countries, not a few
See answer 10 at https://www.treasury.gov/resource-center/faqs/Sanctions/ Pages/faq_general.aspx#licenses
The real key as to whether ICANN and/or PTI is seriously affected by OFAC depends not so much on the countries to which OFAC applies (to which, for the reasons above the answer is "ALL"), but to the true construction of the expression "prohibited transaction".
OFAC's own website gives a fairly general and broad definition: " trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute."
But what matters is the detail of the statute and the regulations issued under it.
Nonetheless, if ICANN, or PTI does not engage in prohibited transactions for which a license would be required, then the effect of the OFAC system is going to be negligible, or insignificant.
(Unfortunately, risk aversion, an over-abundance of caution, and a 'box-ticking' approach might result in an inappropriately disproportionate approach to compliance "just to make sure").
Which is a risk in itself.
On 31/07/17 07:53, Arasteh wrote:
Greg Tks for the info which are available on GOOGLE but nor quickly as you gathered. Appreciation for that I request you to kindly collect the names of countries to which OFAC applies by ICANN Kavouss
Sent from my iPhone
On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com>> wrote:
All,
I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationshipO between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email.
OFAC FAQ, General Questions: https://www.treasury.gov/resource-center/faqs/Sanctions/ Pages/faq_general.aspx#basic
A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful): https://www.law360.com/articles/262952/4-steps-toward-ofac- sanctions-compliance (Also attached as PDF in case the link can't be accessed)
Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm
Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control
IEEE and OFAC: https://www.ieee.org/about/corporate/compliance/legal/ofac/ DF_IEEE_MIG_NAV_94987
Greg <4 Steps Toward OFAC Sanctions Compliance.docx> _______________________________________________ Ws2-jurisdiction mailing list Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> https://mm.icann.org/mailman/listinfo/ws2-jurisdiction
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Dear Greg Thank ou again for the materials that you have provided. What I need are different from those provided. I wish to know how ICANN had applied given terms and sanctions in regard with request for a domain name at different levels through inclusion or otherwise a clause in the Registry and/ or Registrar. Samantha could present the way ICANN is implementing or applying OFAC Terms /Clauses Regards Kavouss Sent from my iPhone
On 31 Jul 2017, at 09:18, Nigel Roberts <nigel@channelisles.net> wrote:
OFAC applies, it seems, to ALL countries, not a few
See answer 10 at https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...
The real key as to whether ICANN and/or PTI is seriously affected by OFAC depends not so much on the countries to which OFAC applies (to which, for the reasons above the answer is "ALL"), but to the true construction of the expression "prohibited transaction".
OFAC's own website gives a fairly general and broad definition: " trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute."
But what matters is the detail of the statute and the regulations issued under it.
Nonetheless, if ICANN, or PTI does not engage in prohibited transactions for which a license would be required, then the effect of the OFAC system is going to be negligible, or insignificant.
(Unfortunately, risk aversion, an over-abundance of caution, and a 'box-ticking' approach might result in an inappropriately disproportionate approach to compliance "just to make sure").
Which is a risk in itself.
On 31/07/17 07:53, Arasteh wrote: Greg Tks for the info which are available on GOOGLE but nor quickly as you gathered. Appreciation for that I request you to kindly collect the names of countries to which OFAC applies by ICANN Kavouss
Sent from my iPhone
On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com>> wrote:
All,
I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationshipO between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email.
OFAC FAQ, General Questions: https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...
A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful): https://www.law360.com/articles/262952/4-steps-toward-ofac-sanctions-complia... (Also attached as PDF in case the link can't be accessed)
Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm
Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control
IEEE and OFAC: https://www.ieee.org/about/corporate/compliance/legal/ofac/DF_IEEE_MIG_NAV_9...
Greg <4 Steps Toward OFAC Sanctions Compliance.docx> _______________________________________________ Ws2-jurisdiction mailing list Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> https://mm.icann.org/mailman/listinfo/ws2-jurisdiction
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My question to Sam would be simple: Since its inception, has ICANN's operation been impacted by OFAC? If so, how? Since its inception, is ICANN aware of OFAC impacting the operation of any of the related DNS organizations -- registrars, registries, etc.? If so, how? Does ICANN Legal have an opinion on whether the IANA transition to the new structures will change how OFAC has (or has not) impacted its operation or those of the related DNS organizations? If so, what is that opinion? Thanks Paul Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 www.redbranchconsulting.com My PGP Key: https://keys.mailvelope.com/pks/lookup?op=get&search=0x9A830097CA066684 -----Original Message----- From: ws2-jurisdiction-bounces@icann.org [mailto:ws2-jurisdiction-bounces@icann.org] On Behalf Of Nigel Roberts Sent: Monday, July 31, 2017 3:19 AM To: ws2-jurisdiction@icann.org Subject: Re: [Ws2-jurisdiction] OFAC: Background Reading -- a few FAQs and Overviews OFAC applies, it seems, to ALL countries, not a few See answer 10 at https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as px#licenses The real key as to whether ICANN and/or PTI is seriously affected by OFAC depends not so much on the countries to which OFAC applies (to which, for the reasons above the answer is "ALL"), but to the true construction of the expression "prohibited transaction". OFAC's own website gives a fairly general and broad definition: " trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute." But what matters is the detail of the statute and the regulations issued under it. Nonetheless, if ICANN, or PTI does not engage in prohibited transactions for which a license would be required, then the effect of the OFAC system is going to be negligible, or insignificant. (Unfortunately, risk aversion, an over-abundance of caution, and a 'box-ticking' approach might result in an inappropriately disproportionate approach to compliance "just to make sure"). Which is a risk in itself. On 31/07/17 07:53, Arasteh wrote:
Greg Tks for the info which are available on GOOGLE but nor quickly as you gathered. Appreciation for that I request you to kindly collect the names of countries to which OFAC applies by ICANN Kavouss
Sent from my iPhone
On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com>> wrote:
All,
I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationshipO between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email.
OFAC FAQ, General Questions:
https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as px#basic
A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful):
https://www.law360.com/articles/262952/4-steps-toward-ofac-sanctions-complia nce
(Also attached as PDF in case the link can't be accessed)
Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm
Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control
IEEE and OFAC:
https://www.ieee.org/about/corporate/compliance/legal/ofac/DF_IEEE_MIG_NAV_9 4987
Greg <4 Steps Toward OFAC Sanctions Compliance.docx> _______________________________________________ Ws2-jurisdiction mailing list Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> https://mm.icann.org/mailman/listinfo/ws2-jurisdiction
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Dear all, Just one question I like to add is: Can ICANN operation be impacted by OFAC? If Yes, how? I will also appreciate if ways to address the impact(if any) can be stated as well. Regards PS: Okay maybe that was 1.5 questions ;-) Sent from my mobile Kindly excuse brevity and typos On Jul 31, 2017 3:58 PM, "Paul Rosenzweig" < paul.rosenzweig@redbranchconsulting.com> wrote:
My question to Sam would be simple:
Since its inception, has ICANN's operation been impacted by OFAC? If so, how?
Since its inception, is ICANN aware of OFAC impacting the operation of any of the related DNS organizations -- registrars, registries, etc.? If so, how?
Does ICANN Legal have an opinion on whether the IANA transition to the new structures will change how OFAC has (or has not) impacted its operation or those of the related DNS organizations? If so, what is that opinion?
Thanks Paul
Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 www.redbranchconsulting.com My PGP Key: https://keys.mailvelope.com/pks/lookup?op=get&search=0x9A830097CA066684
-----Original Message----- From: ws2-jurisdiction-bounces@icann.org [mailto:ws2-jurisdiction-bounces@icann.org] On Behalf Of Nigel Roberts Sent: Monday, July 31, 2017 3:19 AM To: ws2-jurisdiction@icann.org Subject: Re: [Ws2-jurisdiction] OFAC: Background Reading -- a few FAQs and Overviews
OFAC applies, it seems, to ALL countries, not a few
See answer 10 at https://www.treasury.gov/resource-center/faqs/ Sanctions/Pages/faq_general.as px#licenses
The real key as to whether ICANN and/or PTI is seriously affected by OFAC depends not so much on the countries to which OFAC applies (to which, for the reasons above the answer is "ALL"), but to the true construction of the expression "prohibited transaction".
OFAC's own website gives a fairly general and broad definition: " trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute."
But what matters is the detail of the statute and the regulations issued under it.
Nonetheless, if ICANN, or PTI does not engage in prohibited transactions for which a license would be required, then the effect of the OFAC system is going to be negligible, or insignificant.
(Unfortunately, risk aversion, an over-abundance of caution, and a 'box-ticking' approach might result in an inappropriately disproportionate approach to compliance "just to make sure").
Which is a risk in itself.
On 31/07/17 07:53, Arasteh wrote:
Greg Tks for the info which are available on GOOGLE but nor quickly as you gathered. Appreciation for that I request you to kindly collect the names of countries to which OFAC applies by ICANN Kavouss
Sent from my iPhone
On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com>> wrote:
All,
I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationshipO between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email.
OFAC FAQ, General Questions:
https://www.treasury.gov/resource-center/faqs/ Sanctions/Pages/faq_general.as px#basic
A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful):
https://www.law360.com/articles/262952/4-steps- toward-ofac-sanctions-complia nce
(Also attached as PDF in case the link can't be accessed)
Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm
Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control
IEEE and OFAC:
https://www.ieee.org/about/corporate/compliance/legal/ ofac/DF_IEEE_MIG_NAV_9 4987
Greg <4 Steps Toward OFAC Sanctions Compliance.docx> _______________________________________________ Ws2-jurisdiction mailing list Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> https://mm.icann.org/mailman/listinfo/ws2-jurisdiction
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My questions to ICANN legal on OFAC are: What if a business/ party from an country under OFAC sanctions applies for a gTLD? Will ICANN necessarily seek a waiver? What if a waiver is not given? What if a future US administration seeks to enforce OFAC on ICANN's ccTLD dealings with any country? What would happen to that ccTLD? (An article by Farzaneh in IGP blog for instance says that access to DNS"should not be hampered by the change of political administration in the U.S" meaning whatever soultions we suggest these must be future-proofed against political changes in the US.) What happens to an existing gTLD owned by a party in country on which US administration decides to apply OFAC sanctions (and a waiver if asked for is not got)? Thanks, parminder On Monday 31 July 2017 09:44 PM, Seun Ojedeji wrote:
Dear all,
Just one question I like to add is:
Can ICANN operation be impacted by OFAC? If Yes, how?
I will also appreciate if ways to address the impact(if any) can be stated as well.
Regards PS: Okay maybe that was 1.5 questions ;-) Sent from my mobile Kindly excuse brevity and typos
On Jul 31, 2017 3:58 PM, "Paul Rosenzweig" <paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com>> wrote:
My question to Sam would be simple:
Since its inception, has ICANN's operation been impacted by OFAC? If so, how?
Since its inception, is ICANN aware of OFAC impacting the operation of any of the related DNS organizations -- registrars, registries, etc.? If so, how?
Does ICANN Legal have an opinion on whether the IANA transition to the new structures will change how OFAC has (or has not) impacted its operation or those of the related DNS organizations? If so, what is that opinion?
Thanks Paul
Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com <mailto:paul.rosenzweig@redbranchconsulting.com> O: +1 (202) 547-0660 <tel:%2B1%20%28202%29%20547-0660> M: +1 (202) 329-9650 <tel:%2B1%20%28202%29%20329-9650> VOIP: +1 (202) 738-1739 <tel:%2B1%20%28202%29%20738-1739> www.redbranchconsulting.com <http://www.redbranchconsulting.com> My PGP Key: https://keys.mailvelope.com/pks/lookup?op=get&search=0x9A830097CA066684 <https://keys.mailvelope.com/pks/lookup?op=get&search=0x9A830097CA066684>
-----Original Message----- From: ws2-jurisdiction-bounces@icann.org <mailto:ws2-jurisdiction-bounces@icann.org> [mailto:ws2-jurisdiction-bounces@icann.org <mailto:ws2-jurisdiction-bounces@icann.org>] On Behalf Of Nigel Roberts Sent: Monday, July 31, 2017 3:19 AM To: ws2-jurisdiction@icann.org <mailto:ws2-jurisdiction@icann.org> Subject: Re: [Ws2-jurisdiction] OFAC: Background Reading -- a few FAQs and Overviews
OFAC applies, it seems, to ALL countries, not a few
See answer 10 at https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as px#licenses <https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...>
The real key as to whether ICANN and/or PTI is seriously affected by OFAC depends not so much on the countries to which OFAC applies (to which, for the reasons above the answer is "ALL"), but to the true construction of the expression "prohibited transaction".
OFAC's own website gives a fairly general and broad definition: " trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute."
But what matters is the detail of the statute and the regulations issued under it.
Nonetheless, if ICANN, or PTI does not engage in prohibited transactions for which a license would be required, then the effect of the OFAC system is going to be negligible, or insignificant.
(Unfortunately, risk aversion, an over-abundance of caution, and a 'box-ticking' approach might result in an inappropriately disproportionate approach to compliance "just to make sure").
Which is a risk in itself.
On 31/07/17 07:53, Arasteh wrote: > Greg > Tks for the info which are available on GOOGLE but nor quickly as you > gathered. > Appreciation for that > I request you to kindly collect the names of countries to which OFAC > applies by ICANN > Kavouss > > Sent from my iPhone > > On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com> > <mailto:gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com>>> wrote: > >> All, >> >> I thought it might be helpful to provide some background information >> on OFAC in advance of Tuesday's meeting. These are intended to >> provide overall information on OFAC, not analysis of the relationshipO >> between OFAC compliance and ICANN. If there are other helpful general >> resources, please reply to this email. >> >> OFAC FAQ, General Questions: >> https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as px#basic <https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...> >> >> A basic overview of OFAC compliance for US-based businesses (a little >> old (2011), but still helpful): >> https://www.law360.com/articles/262952/4-steps-toward-ofac-sanctions-complia <https://www.law360.com/articles/262952/4-steps-toward-ofac-sanctions-complia> nce >> (Also attached as PDF in case the link can't be accessed) >> >> Good overview, though oriented toward banks and financial >> institutions, from FFIEC (Federal Financial Institutions Examination >> Council, a US inter-agency body empowered to prescribe uniform >> principles, standards, and report forms for the federal examination of >> financial institutions): >> https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm <https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm> >> >> Wikipedia >> https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control <https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control> >> >> IEEE and OFAC: >> https://www.ieee.org/about/corporate/compliance/legal/ofac/DF_IEEE_MIG_NAV_9 <https://www.ieee.org/about/corporate/compliance/legal/ofac/DF_IEEE_MIG_NAV_9> 4987 >> >> >> >> >> Greg >> <4 Steps Toward OFAC Sanctions Compliance.docx> >> _______________________________________________ >> Ws2-jurisdiction mailing list >> Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> <mailto:Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org>> >> https://mm.icann.org/mailman/listinfo/ws2-jurisdiction <https://mm.icann.org/mailman/listinfo/ws2-jurisdiction> > > > _______________________________________________ > Ws2-jurisdiction mailing list > Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> > https://mm.icann.org/mailman/listinfo/ws2-jurisdiction <https://mm.icann.org/mailman/listinfo/ws2-jurisdiction> > _______________________________________________ Ws2-jurisdiction mailing list Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> https://mm.icann.org/mailman/listinfo/ws2-jurisdiction <https://mm.icann.org/mailman/listinfo/ws2-jurisdiction>
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Hello Greg/Staff, I just like to note that it seem my question wasn't captured on the list. Here was my question again: "Can ICANN operation be impacted by OFAC? If Yes, how?" There is a question no 5[1] that touched on a section of mine but I don't think the response to question 5 will adequately address my question as I believe the operation of ICANN is not solely ccTLD/gTLD alone. I have heard in the past that OFAC list/restrictions does affect ability for certain people to attend ICANN meetings, also ICANN does not just serve names only. Regards 1. How could OFAC terms and conditions impact gTLDs and ccTLDs? On Mon, Jul 31, 2017 at 5:14 PM, Seun Ojedeji <seun.ojedeji@gmail.com> wrote:
Dear all,
Just one question I like to add is:
Can ICANN operation be impacted by OFAC? If Yes, how?
I will also appreciate if ways to address the impact(if any) can be stated as well.
Regards PS: Okay maybe that was 1.5 questions ;-) Sent from my mobile Kindly excuse brevity and typos
On Jul 31, 2017 3:58 PM, "Paul Rosenzweig" <paul.rosenzweig@redbranchcons ulting.com> wrote:
My question to Sam would be simple:
Since its inception, has ICANN's operation been impacted by OFAC? If so, how?
Since its inception, is ICANN aware of OFAC impacting the operation of any of the related DNS organizations -- registrars, registries, etc.? If so, how?
Does ICANN Legal have an opinion on whether the IANA transition to the new structures will change how OFAC has (or has not) impacted its operation or those of the related DNS organizations? If so, what is that opinion?
Thanks Paul
Paul Rosenzweig paul.rosenzweig@redbranchconsulting.com O: +1 (202) 547-0660 M: +1 (202) 329-9650 VOIP: +1 (202) 738-1739 www.redbranchconsulting.com My PGP Key: https://keys.mailvelope.com/pks/lookup?op=get&search=0x9A830097CA066684
-----Original Message----- From: ws2-jurisdiction-bounces@icann.org [mailto:ws2-jurisdiction-bounces@icann.org] On Behalf Of Nigel Roberts Sent: Monday, July 31, 2017 3:19 AM To: ws2-jurisdiction@icann.org Subject: Re: [Ws2-jurisdiction] OFAC: Background Reading -- a few FAQs and Overviews
OFAC applies, it seems, to ALL countries, not a few
See answer 10 at https://www.treasury.gov/resource-center/faqs/Sanctions/Page s/faq_general.as px#licenses <https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...>
The real key as to whether ICANN and/or PTI is seriously affected by OFAC depends not so much on the countries to which OFAC applies (to which, for the reasons above the answer is "ALL"), but to the true construction of the expression "prohibited transaction".
OFAC's own website gives a fairly general and broad definition: " trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute."
But what matters is the detail of the statute and the regulations issued under it.
Nonetheless, if ICANN, or PTI does not engage in prohibited transactions for which a license would be required, then the effect of the OFAC system is going to be negligible, or insignificant.
(Unfortunately, risk aversion, an over-abundance of caution, and a 'box-ticking' approach might result in an inappropriately disproportionate approach to compliance "just to make sure").
Which is a risk in itself.
On 31/07/17 07:53, Arasteh wrote:
Greg Tks for the info which are available on GOOGLE but nor quickly as you gathered. Appreciation for that I request you to kindly collect the names of countries to which OFAC applies by ICANN Kavouss
Sent from my iPhone
On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com>> wrote:
All,
I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationshipO between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email.
OFAC FAQ, General Questions:
https://www.treasury.gov/resource-center/faqs/Sanctions/Page s/faq_general.as px#basic <https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...>
A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful):
https://www.law360.com/articles/262952/4-steps-toward-ofac-s anctions-complia nce
(Also attached as PDF in case the link can't be accessed)
Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm
Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control
IEEE and OFAC:
https://www.ieee.org/about/corporate/compliance/legal/ofac/D F_IEEE_MIG_NAV_9 4987
Greg <4 Steps Toward OFAC Sanctions Compliance.docx> _______________________________________________ Ws2-jurisdiction mailing list Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> https://mm.icann.org/mailman/listinfo/ws2-jurisdiction
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-- ------------------------------------------------------------------------ *Seun Ojedeji,Federal University Oye-Ekitiweb: http://www.fuoye.edu.ng <http://www.fuoye.edu.ng> Mobile: +2348035233535**alt email: <http://goog_1872880453>seun.ojedeji@fuoye.edu.ng <seun.ojedeji@fuoye.edu.ng>* Bringing another down does not take you up - think about your action!
Nigel Are you suggesting that ICANN's dealings with registries, gTLD or ccLTD, may not even be a matter covered under OFAC, meaning even if an OFAC sanction is in force, it would not cover ICANN's dealings with a gTLD of ccTLD owned by a person within a sanctioned country? Do correct me if that is not what you are saying. Well, we should then certainly ask ICANN legal this question: Are ICANN's interactions with gTLDs and ccTLDs covered under sanctions assuming an OFAC sanction is in force over the country/ persons concerned? This should clear the matter. Greg, may I request ICANN legal also responds to the above question that arises from Nigel's email... parminder On Monday 31 July 2017 12:48 PM, Nigel Roberts wrote:
OFAC applies, it seems, to ALL countries, not a few
See answer 10 at https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...
The real key as to whether ICANN and/or PTI is seriously affected by OFAC depends not so much on the countries to which OFAC applies (to which, for the reasons above the answer is "ALL"), but to the true construction of the expression "prohibited transaction".
OFAC's own website gives a fairly general and broad definition: " trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute."
But what matters is the detail of the statute and the regulations issued under it.
Nonetheless, if ICANN, or PTI does not engage in prohibited transactions for which a license would be required, then the effect of the OFAC system is going to be negligible, or insignificant.
(Unfortunately, risk aversion, an over-abundance of caution, and a 'box-ticking' approach might result in an inappropriately disproportionate approach to compliance "just to make sure").
Which is a risk in itself.
On 31/07/17 07:53, Arasteh wrote:
Greg Tks for the info which are available on GOOGLE but nor quickly as you gathered. Appreciation for that I request you to kindly collect the names of countries to which OFAC applies by ICANN Kavouss
Sent from my iPhone
On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com>> wrote:
All,
I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationshipO between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email.
OFAC FAQ, General Questions: https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...
A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful): https://www.law360.com/articles/262952/4-steps-toward-ofac-sanctions-complia...
(Also attached as PDF in case the link can't be accessed)
Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm
Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control
IEEE and OFAC: https://www.ieee.org/about/corporate/compliance/legal/ofac/DF_IEEE_MIG_NAV_9...
Greg <4 Steps Toward OFAC Sanctions Compliance.docx> _______________________________________________ Ws2-jurisdiction mailing list Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> https://mm.icann.org/mailman/listinfo/ws2-jurisdiction
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It is going to depend up whether ICANN engages in transactions with that person (and 'person' is construed here as "legal or natural person") that are "prohibited transactions" within the meaning of the legislation, isn't it> If it's not a matter covered by the legislation, then, er, it's not a matter covered by the legislation. In practice,what is going to matter for any US private company (and ICANN is just a US private company) is compliance -- in other words that they can be sure that they are above board. And that inevitably requires inquiry and documentation. If I were a Board member or senior member of staff, I wouldn't want to go to gaol . . . On 01/08/17 06:57, parminder wrote:
Nigel
Are you suggesting that ICANN's dealings with registries, gTLD or ccLTD, may not even be a matter covered under OFAC, meaning even if an OFAC sanction is in force, it would not cover ICANN's dealings with a gTLD of ccTLD owned by a person within a sanctioned country? Do correct me if that is not what you are saying.
Well, we should then certainly ask ICANN legal this question:
Are ICANN's interactions with gTLDs and ccTLDs covered under sanctions assuming an OFAC sanction is in force over the country/ persons concerned?
This should clear the matter.
Greg, may I request ICANN legal also responds to the above question that arises from Nigel's email...
parminder
On Monday 31 July 2017 12:48 PM, Nigel Roberts wrote:
OFAC applies, it seems, to ALL countries, not a few
See answer 10 at https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...
The real key as to whether ICANN and/or PTI is seriously affected by OFAC depends not so much on the countries to which OFAC applies (to which, for the reasons above the answer is "ALL"), but to the true construction of the expression "prohibited transaction".
OFAC's own website gives a fairly general and broad definition: " trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute."
But what matters is the detail of the statute and the regulations issued under it.
Nonetheless, if ICANN, or PTI does not engage in prohibited transactions for which a license would be required, then the effect of the OFAC system is going to be negligible, or insignificant.
(Unfortunately, risk aversion, an over-abundance of caution, and a 'box-ticking' approach might result in an inappropriately disproportionate approach to compliance "just to make sure").
Which is a risk in itself.
On 31/07/17 07:53, Arasteh wrote:
Greg Tks for the info which are available on GOOGLE but nor quickly as you gathered. Appreciation for that I request you to kindly collect the names of countries to which OFAC applies by ICANN Kavouss
Sent from my iPhone
On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com>> wrote:
All,
I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationshipO between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email.
OFAC FAQ, General Questions: https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...
A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful): https://www.law360.com/articles/262952/4-steps-toward-ofac-sanctions-complia...
(Also attached as PDF in case the link can't be accessed)
Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm
Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control
IEEE and OFAC: https://www.ieee.org/about/corporate/compliance/legal/ofac/DF_IEEE_MIG_NAV_9...
Greg <4 Steps Toward OFAC Sanctions Compliance.docx> _______________________________________________ Ws2-jurisdiction mailing list Ws2-jurisdiction@icann.org <mailto:Ws2-jurisdiction@icann.org> https://mm.icann.org/mailman/listinfo/ws2-jurisdiction
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On Tuesday 01 August 2017 12:17 PM, Nigel Roberts wrote:
It is going to depend up whether ICANN engages in transactions with that person (and 'person' is construed here as "legal or natural person") that are "prohibited transactions" within the meaning of the legislation, isn't it>
right
If it's not a matter covered by the legislation, then, er, it's not a matter covered by the legislation.
right again. But ICANN legal would know the nature of ICANNs transactions with gTLDs and ccTLDs, right? And should also know, and if they dont should find out, if these transactions are within OFAC legislation as prohibited transactions . I would be most surprised, with such solid legal presence, if ICANN has still not formed a view on whether or not its transactions would be covered under OFAC. But in any case nice to know whether they have or not, and so a good question for ICANN legal.
In practice,what is going to matter for any US private company (and ICANN is just a US private company)
Alas!! But lets not get distracted.....
is compliance -- in other words that they can be sure that they are above board. And that inevitably requires inquiry and documentation.
If I were a Board member or senior member of staff, I wouldn't want to go to gaol . . .
Right. But still not getting you..... Is it therefore not right to ask ICANN legal the question that I framed for them? p
On 01/08/17 06:57, parminder wrote:
Nigel
Are you suggesting that ICANN's dealings with registries, gTLD or ccLTD, may not even be a matter covered under OFAC, meaning even if an OFAC sanction is in force, it would not cover ICANN's dealings with a gTLD of ccTLD owned by a person within a sanctioned country? Do correct me if that is not what you are saying.
Well, we should then certainly ask ICANN legal this question:
Are ICANN's interactions with gTLDs and ccTLDs covered under sanctions assuming an OFAC sanction is in force over the country/ persons concerned?
This should clear the matter.
Greg, may I request ICANN legal also responds to the above question that arises from Nigel's email...
parminder
On Monday 31 July 2017 12:48 PM, Nigel Roberts wrote:
OFAC applies, it seems, to ALL countries, not a few
See answer 10 at https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...
The real key as to whether ICANN and/or PTI is seriously affected by OFAC depends not so much on the countries to which OFAC applies (to which, for the reasons above the answer is "ALL"), but to the true construction of the expression "prohibited transaction".
OFAC's own website gives a fairly general and broad definition: " trade or financial transactions and other dealings in which U.S. persons may not engage unless authorized by OFAC or expressly exempted by statute."
But what matters is the detail of the statute and the regulations issued under it.
Nonetheless, if ICANN, or PTI does not engage in prohibited transactions for which a license would be required, then the effect of the OFAC system is going to be negligible, or insignificant.
(Unfortunately, risk aversion, an over-abundance of caution, and a 'box-ticking' approach might result in an inappropriately disproportionate approach to compliance "just to make sure").
Which is a risk in itself.
On 31/07/17 07:53, Arasteh wrote:
Greg Tks for the info which are available on GOOGLE but nor quickly as you gathered. Appreciation for that I request you to kindly collect the names of countries to which OFAC applies by ICANN Kavouss
Sent from my iPhone
On 31 Jul 2017, at 08:40, Greg Shatan <gregshatanipc@gmail.com <mailto:gregshatanipc@gmail.com>> wrote:
All,
I thought it might be helpful to provide some background information on OFAC in advance of Tuesday's meeting. These are intended to provide overall information on OFAC, not analysis of the relationshipO between OFAC compliance and ICANN. If there are other helpful general resources, please reply to this email.
OFAC FAQ, General Questions: https://www.treasury.gov/resource-center/faqs/Sanctions/Pages/faq_general.as...
A basic overview of OFAC compliance for US-based businesses (a little old (2011), but still helpful): https://www.law360.com/articles/262952/4-steps-toward-ofac-sanctions-complia...
(Also attached as PDF in case the link can't be accessed)
Good overview, though oriented toward banks and financial institutions, from FFIEC (Federal Financial Institutions Examination Council, a US inter-agency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions): https://www.ffiec.gov/bsa_aml_infobase/pages_manual/olm_037.htm
Wikipedia https://en.wikipedia.org/wiki/Office_of_Foreign_Assets_Control
IEEE and OFAC: https://www.ieee.org/about/corporate/compliance/legal/ofac/DF_IEEE_MIG_NAV_9...
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I think what I said does not mean what you think it means. I made no comment as to the validity (or otherwise) of the question you raised.
Right. But still not getting you..... Is it therefore not right to ask ICANN legal the question that I framed for them?
participants (7)
-
Arasteh -
Greg Shatan -
Kavouss Arasteh
-
Nigel Roberts -
parminder -
Paul Rosenzweig -
Seun Ojedeji