Export Controls & Sanctions: Advanced Topics

Export controls and sanctions are key components of international trade compliance, ensuring that sensitive goods, services, and technologies are not used to harm national security or violate foreign policy objectives. This advanced course covers the legal intricacies of export control regimes, including U.S. EAR (Export Administration Regulations), ITAR (International Traffic in Arms Regulations), and global sanctions programs. Participants will explore compliance challenges, the enforcement of sanctions, and advanced risk management strategies for multinational companies.

• To provide an advanced understanding of export controls and sanctions regulations across various jurisdictions.
• To explore the complexities of obtaining export licenses, navigating sanctions programs, and responding to compliance risks.
• To equip professionals with strategies for navigating global trade restrictions while ensuring legal and regulatory compliance.
• To analyze case studies and real-world enforcement actions, helping participants understand the operational impact of sanctions violations.

• Learn the key principles and regulatory frameworks governing export controls and sanctions in international trade.
• Understand the legal requirements for obtaining export licenses, including specific restrictions related to dual-use goods, military technologies, and sensitive data.
• Gain insights into the enforcement mechanisms of sanctions programs, including OFAC (Office of Foreign Assets Control), UN, and EU sanctions regulations.
• Understand the risks of non-compliance with export controls and sanctions and develop strategies for mitigating potential liabilities.
• Analyze real-world case studies to understand enforcement patterns and penalties associated with export control and sanctions violations.

Module 1: Introduction to Export Controls & Sanctions

• Overview of export control laws and sanctions in international trade.
• The role of export controls in national security and foreign policy.
• Key terms and concepts: dual-use goods, sanctions programs, restricted parties, and embargoes.
• Overview of international sanctions regimes: U.S. OFAC sanctions, UN sanctions, EU sanctions.
• The intersection of national security and trade regulations: How governments use export controls and sanctions to influence international relations.

Module 2: Key Export Control Frameworks

• The U.S. Export Administration Regulations (EAR): Licensing requirements and the Commerce Control List (CCL).
• The International Traffic in Arms Regulations (ITAR): What goods and services fall under ITAR and the licensing process.
• The EU Dual-Use Regulation: How European Union sanctions and export controls are enforced.
• End-User & End-Use Controls: Identifying restricted end users and how to assess export end use for compliance.
• Overview of the China Export Control Regime: Understanding China’s role in international export controls and compliance.

Module 3: Sanctions and Embargoes

• Understanding sanctions: The role of sanctions programs in enforcing foreign policy and national security interests.
• Comprehensive vs. selective sanctions: Differences and implications for businesses.
• The OFAC sanctions list: How to navigate SDN (Specially Designated Nationals) and Restricted Parties Lists.
• UN Sanctions: The role of UN Security Council sanctions and their impact on global trade.
• EU Sanctions: How the European Union enforces sanctions and restrictions, including secondary sanctions.
• Understanding sanctions enforcement: Penalties and consequences for violating sanctions laws.

Module 4: Export Licensing Process

• The steps involved in obtaining export licenses under different jurisdictions.
• How to assess license exceptions and determine if a license is required for export.
• End-User Certificates and End-Use Statements: Importance in obtaining export licenses and ensuring compliance.
• Navigating license denials and how to challenge decisions made by regulatory authorities.
• Managing dual-use goods and how they are regulated in both civilian and military contexts.

Module 5: Compliance Risks & Managing Sanctions Exposure

• Key risks associated with non-compliance with export controls and sanctions regulations.
• How to conduct a sanctions risk assessment: Identifying risks related to export transactions with sanctioned countries or entities.
• Compliance with Know Your Customer (KYC) and Anti-Money Laundering (AML) regulations in sanctions compliance.
• Internal compliance audits: Setting up an audit trail to ensure compliance with export controls and sanctions.
• Third-party risk management: Assessing and managing risks from suppliers, vendors, and partners involved in international trade.

Module 6: Enforcement of Export Control & Sanctions Violations

• How regulatory agencies enforce export controls and sanctions: Investigations, penalties, and enforcement actions.
• Case study analysis: Key enforcement actions and penalties related to violations of export controls and sanctions.
• The role of whistleblowers and reporting violations: How businesses can mitigate risk through self-reporting and cooperation with regulatory authorities.
• International enforcement: The impact of foreign regulatory agencies and international cooperation on sanctions violations.
• Key considerations for managing the legal implications of investigations and enforcement actions.

Module 7: Advanced Topics in Compliance

• Compliance program development: How to establish and maintain a robust export control and sanctions compliance program.
• Developing internal controls for ensuring compliance with export restrictions and sanctions programs.
• The role of training and awareness programs for employees in sanctions and export control compliance.
• The impact of Brexit on UK export control laws and sanctions programs.
• Preparing for trade restrictions and understanding secondary sanctions under U.S. and international law.

Module 8: Case Studies and Real-World Applications

• Analyzing high-profile sanctions violations and export control breaches.
• Case study 1: The ZTE Corporation and Huawei Technologies: Understanding the consequences of violating U.S. export controls and sanctions.
• Case study 2: OFAC enforcement actions and their effect on global businesses, including banking and shipping industries.
• The role of compliance officers in preventing and managing sanctions violations.
• Key lessons from real-world cases of businesses navigating complex export control regulations and sanctions enforcement.

• Compliance Officers, legal professionals, and export managers.
• Risk managers and regulatory affairs professionals involved in international trade.
• Legal advisors specializing in sanctions regulations, export controls, and international law.
• Government relations professionals and policy advisors working in trade compliance and regulatory enforcement.
• Corporate executives, procurement officers, and supply chain managers handling international transactions.