摘要：2024年2月以来各大银行纷纷收紧了涉俄收付款业务的审核政策，尤其是浙江稠州商业银行官宣停止俄罗斯和白俄罗斯的业务，对俄罗斯跨境贸易影响很大，因为资金流通是跨境贸易的关键因素和可持续的基础。2024年2月22日-23日在俄乌特别军事行动两周年之际，美国、欧盟、英国、加拿大等多国对俄罗斯展开新一轮大规模制裁。美国海外资产管理办公室(OFAC）将超过500个实体加入到“特别指定国民清单”（SDN）中。随着国际政治格局的不断变化，美国对俄罗斯的经济制裁措施日益加强。特别是2023年12月22日，美国总统拜登签署了新的行政令14114，对行政令14024进行了修订。这一新措施赋予了美国海外资产控制办公室（OFAC）更大的权力，允许其对那些为俄罗斯“特定行业”提供“重大交易”的外国金融机构实施制裁。这是美国对俄罗斯实施“次级制裁”的一部分，意在扩大制裁的覆盖面，进一步压缩俄罗斯的经济空间。美国针对俄罗斯新的金融制裁措施会完全阻断中俄之间的贸易么？市场和时间会告诉我们，尽管面临许多困难，但中俄贸易仍在进行，并且不是所有的涉俄贸易都会面临次级制裁。由于支付受阻，有的涉俄业务通过俄罗斯银行在中国或其他友好国家的分支机构进行支付，有的通过边境口岸银行开设新的账户，有的尝试通过货代代付或者第三方金融平台支付，更有的尝试通过数字货币、虚拟货币或实物资产进行支付......我们支持客户采取不同的途径解决支付问题，但前提是合法合规，特别提醒大家注意甄别信息以免上当受骗及资产损失。

关键词：俄罗斯市场 跨境支付 次级制裁 金融机构 银行 国际贸易 出口管制

一、美国第14114号行政令的背景和动因

今年各大银行收紧涉俄金融政策的具体原因与2023年12月美国发布的第14114号行政令有密切的关系，该行政令是美国政府为了加强对俄罗斯的制裁而采取的切断资金源头的措施。该行政令扩展了美国对外国金融机构的制裁权力，特别针对那些与俄罗斯军工基地有重大交易的机构，这一措施旨在进一步限制俄罗斯通过国际金融系统获得支持其军事活动的资助。

行政令14114是对2021年3月15日行政令14024（Blocking Property With Respect To Specified Harmful Foreign Activities of the Government of the Russian Federation）《冻结与俄罗斯联邦政府特定有害外国活动有关的财产》和对2022年3月11日行政令14068（Prohibiting Certain Imports, Exports, and New Investment With Respect to Continued Russian Federation Aggression）《禁止与俄罗斯联邦持续侵略相关的特定类别的进口、出口和新投资》的扩展。行政令14144授权美国财政部的海外资产控制办公室（OFAC）对那些与俄罗斯军工基地有重大交易的金融机构实施制裁。这意味着，任何被认定为与俄罗斯军工基地有重大交易的金融机构，都可能受到美国政府的制裁，被制裁的后果包括资产冻结、禁止与美国金融机构进行交易等。

以浙江稠州商业银行为例，2024年2月7日该行通知俄罗斯和白俄罗斯客户停止结算服务。近年来该行作为中俄贸易资金往来和结算的重要金融机构，服务了大量的中国和俄罗斯的企业客户，银行的业务量爆发式增长，决定放弃俄罗斯和白俄罗斯的业务可能是因为以下原因：

经济制裁：美国的经济制裁利用了美元和美国的金融系统在全球贸易中的重要地位，即使中俄贸易现在大部分都使用人民币结算，在跨境支付的过程中也会涉及到美国的金融系统。按照行政令14114的规定，如果帮助俄罗斯规避制裁的金融机构都被列入制裁名单。这可能导致稠州银行在与俄罗斯进行业务往来时面临合规风险，因此银行可能选择暂停相关业务以规避潜在的法律风险。

国际关系：国际政治和经济形势的变化也可能对银行的业务决策产生影响。在特定的国际环境下，银行可能需要根据国际形势的变化来调整其业务策略，以应对潜在的风险和挑战。稠州银行的全球业务布局，俄罗斯业务量的占比，欧美以及其他国家的资金量等等都是需要综合考虑的因素。

银行业务调整：银行可能根据自身的发展战略和市场需求，对业务进行调整和优化。在某些情况下，银行可能会选择暂停某些业务，以专注于其他更具盈利性和竞争力的领域。根据中国海关的数据，2023年中俄贸易额迅猛增长，已达到2401亿美元，增幅高达26%。2023年中美进出口贸易额6721亿美元, 同比下跌11.47%；2023年中国与欧洲联盟双边货物进出口额为7829亿美元，同比下降7.1%。稠州银行可能在平衡了收益和风险后作出了上述决定。

需要注意的是，建议冷静理智对待本次修订内容需要，美国行政令是针对特定情况而制定的，具有时效性和针对性。因此，随着国际形势的变化和政策的调整，该行政令可能会被修改或废止。关于美国财政部发布的最新关键物项清单，并不是所列的八大类物项都完全禁止，只是说涉及到特定类别的物项风险度较高，需要更加谨慎地审核，比如第一大项特定类别：机床和制造设备，第三小类：半导体制造设备，有一些制造设备是不受限的，建议企业尤其是金融机构，切勿盲目地采取“一刀切”的审核政策。同时，对于受到制裁的金融机构和个人，有权采取法律手段进行申诉和辩护。

二、美国第14114号行政令的内容和影响

以下内容来自美国财政部官网，为了方便感兴趣的人士学习和精准理解原文的内容，将以中英文的形式呈现，如有翻译或理解不一致的地方，欢迎在文章下面留言指正。因为制裁不仅仅是复杂的法律问题，同时也是涉及地缘政治、经济、贸易、国际关系、金融、科学技术等多个领域交叉的综合性问题，期待更多的学者专家参与进来，共同探讨解决方案。

总统办公厅于 2023 年 12 月 26 日发布的总统文件

第 14114 号行政令，2023 年 12 月 22 日

行政令说明：修订2021年5月15日第14024号行政令；修订2022年3月11日第14068号行政令

《Taking Additional Steps With Respect to the Russian Federation's Harmful Activities》

《针对俄罗斯联邦的有害活动采取额外措施的行政令》

根据《宪法》和美国法律赋予总统的权力，包括《国际紧急经济权力法》（《美国法典》第50篇第1701条及以下各条）（IEEPA）、《国家紧急状态法》（《美国法典》第50篇第1601条及以下各条）和《美国法典》第3篇第301条、

I, JOSEPH R. BIDEN JR., President of the United States of America, in view of the Russian Federation's continued use of its military-industrial base to aid its effort to undermine security in countries and regions important to United States national security, including its reliance on the international financial system for the procurement of dual-use and other critical items from third countries, and in order to take additional steps with respect to the national emergency declared in Executive Order 14024 of April 15, 2021, expanded by Executive Order 14066 of March 8, 2022, and relied on for additional steps taken in Executive Order 14039 of August 20, 2021, Executive Order 14068 of March 11, 2022, and Executive Order 14071 of April 6, 2022, hereby order:

我，小约瑟夫-拜登、 美国总统，鉴于俄罗斯联邦继续利用其军事工业基地，协助其破坏对美国国家安全具有重要意义的国家和地区的安全，包括依赖国际金融体系从第三国采购军民两用和其他关键物项、 为了对 2021 年 4 月 15 日第 14024 号行政令宣布的、经 2022 年 3 月 8 日第 14066 号行政令扩大的国家紧急状态采取进一步措施，并根据 2021 年 8 月 20 日第 14039 号行政令、2022 年 3 月 11 日第 14068 号行政令和 2022 年 4 月 6 日第 14071 号行政令采取进一步措施，特此命令：

Section 1 . Amendments to Executive Order 14024.Executive Order 14024 is hereby amended by redesignating section 11 of that order as section 12 and adding a new section 11 to read as follows:

第 1 条 对第 14024 号行政令特此修订，将该命令第 11 节重新指定为第 12 节，并增加新的第 11 节，内容如下：

“ Sec. 11 . (a) The Secretary of the Treasury, in consultation with the Secretary of State, and with respect to subsection (a)(ii) of this section, in consultation with the Secretary of State and the Secretary of Commerce, is hereby authorized to impose on a foreign financial institution the sanctions described in subsection (b) of this section, upon determining that the foreign financial institution has:

第 11 节 (a) 兹授权财政部长与国务卿并就本节(a)(ii)分节共同协商处理，在确定外国金融机构有以下行为时，对该外国金融机构实施本节(b)分节所述制裁：

(i) conducted or facilitated any significant transaction or transactions for or on behalf of any person designated pursuant to section 1(a)(i) of this order for operating or having operated in the technology, defense and related materiel, construction, aerospace, or manufacturing sectors of the Russian Federation economy, or other such sectors as may be determined to support Russia's military-industrial base by the Secretary of the Treasury, in consultation with the Secretary of State; or

(i) 根据本命令第 1(a)(i)条指定的在俄罗斯联邦的技术、国防和相关材料、建筑、航空航天或制造部门，或财政部长与国务卿协商后确定支持俄罗斯军事工业基础的其他部门经营或曾经经营的任何人，或代表该人，进行或协助进行任何重大交易；

(ii) conducted or facilitated any significant transaction or transactions, or provided any service, involving Russia's military-industrial base, including the sale, supply, or transfer, directly or indirectly, to the Russian Federation of any item or class of items as may be determined by the Secretary of the Treasury, in consultation with the Secretary of State and the Secretary of Commerce.

(ii) 进行或促成涉及俄罗斯军事工业基地的任何一项或多项重大交易，或提供任何服务，包括直接或间接向俄罗斯联邦出售、供应或转让财政部长在与国务卿和商务部长协商后可能确定的任何物品或任何类别的物品。

(b) With respect to any foreign financial institution determined to meet the criteria set forth in subsection (a) of this section, the Secretary of the Treasury, in consultation with the Secretary of State, may:

(b) 对于任何被认定符合本条(a)款所列标准的外国金融机构，财政部长经与国务卿协商，可

(i) prohibit the opening of, or prohibit or impose strict conditions on the maintenance of, correspondent accounts or payable-through accounts in the United States; or

(i) 禁止在美国开设代理账户或通汇账户，或对在美国开设代理账户或通汇账户施加严格条件；或

(ii) block all property and interests in property that are in the United States, that hereafter come within the United States, or that are or hereafter come within the possession or control of any United States person of Start Printed Page 89272 such foreign financial institution, and provide that such property and interests in property may not be transferred, paid, exported, withdrawn, or otherwise dealt in.

(ii) 冻结在美国境内的、今后进入美国境内的、或由该外国金融机构的任何美国人占有或控制的所有财产和财产权益，并规定不得转让、支付、出口、提取或以其他方式处理这些财产和财产权益。

(c) The prohibitions in subsection (b) of this section apply except to the extent provided by statutes, or in regulations, orders, directives, or licenses that may be issued pursuant to this order, and notwithstanding any contract entered into or any license or permit granted before the date of this order.

(c) 本节(b)小节中的禁令适用，但法规或根据本命令可能发布的条例、命令、指令或许可证中规定的除外，而且，即使在本命令发布之日前签订了任何合同或颁发了任何许可证或执照，也不例外。

(d) I hereby determine that the making of donations of the types of articles specified in section 203(b)(2) of IEEPA (50 U.S.C. 1702(b)(2)) by, to, or for the benefit of any person whose property and interests in property are blocked pursuant to subsection (b)(ii) of this section would seriously impair my ability to deal with the national emergency declared in this order, and I hereby prohibit such donations as provided by subsection (b)(ii) of this section.

(d) 拜登特此强调，如果根据本节第(b)(ii)小节的规定，财产和财产权益被冻结的任何人向其或为其利益进行捐赠，根据IEEPA 第 203(b)(2)节（《美国法典》第 50 编第 1702(b)(2)条）规定的各类物品，将严重损害总统应对本命令所宣布的国家紧急状态的能力，总统拜登特此根据本节第(b)(ii)小节的规定禁止此类捐赠。

(e) The prohibitions in subsection (b)(ii) of this section include: 

(e) 本节第(b)(ii)小节中的禁令包括

(i) the making of any contribution or provision of funds, goods, or services by, to, or for the benefit of any person whose property and interests in property are blocked pursuant to subsection (b)(ii) of this section; and

(i) 其财产和财产权益根据本条(b)(ii)款被冻结的任何人，向其或为其利益作出任何捐助或提供资金、货物或服务；

(ii) the receipt of any contribution or provision of funds, goods, or services from any such person.

(ii) 以及接受任何此类人员的捐助或提供的资金、物品或服务。

(f) For purposes of this section, the term “foreign financial institution” means any foreign entity that is engaged in the business of accepting deposits; making, granting, transferring, holding, or brokering loans or credits; purchasing or selling foreign exchange, securities, futures or options; or procuring purchasers and sellers thereof, as principal or agent. It includes depository institutions; banks; savings banks; money services businesses; operators of credit card systems; trust companies; insurance companies; securities brokers and dealers; futures and options brokers and dealers; forward contract and foreign exchange merchants; securities and commodities exchanges; clearing corporations; investment companies; employee benefit plans; dealers in precious metals, stones, or jewels; and holding companies, affiliates, or subsidiaries of any of the foregoing. The term does not include the international financial institutions identified in 22 U.S.C. 262r(c)(2), the International Fund for Agricultural Development, the North American Development Bank, or any other international financial institution so notified by the Office of Foreign Assets Control.”.

(f) 就本条而言，"外国金融机构 "一词指作为委托人或代理人从事以下业务的任何外国实体：接受存款；发放、授予、转让、持有或代理贷款或信贷；购买或出售外汇、证券、期货或期权；或促成其购买者和出售者。它包括存款机构、银行、储蓄银行、货币服务企业、信用卡系统运营商、信托公司、保险公司、证券经纪人和交易商、期货和期权经纪人和交易商、远期合约商和外汇商、证券和商品交易所、清算公司、投资公司、雇员福利计划、贵金属、宝石或珠宝交易商，以及上述任何机构的控股公司、关联公司或子公司。该术语不包括《美国法典》第 22 编第 262r(c)(2)条中确定的国际金融机构、国际农业发展基金、北美开发银行或外国资产管制处通知的任何其他国际金融机构。

Sec. 2 . Additional Amendments to Executive Order 14024.Executive Order 14024 is hereby amended by striking section 7 and inserting, in lieu thereof, the following:

第 2 条 对第 14024 号行政令的补充修订，删除第 7 节，并插入以下内容：

“ Sec. 7 . For those persons whose property and interests in property are blocked pursuant to this order who might have a constitutional presence in the United States, I find that because of the ability to transfer funds or other assets instantaneously, prior notice to such persons of measures to be taken pursuant to this order would render those measures ineffectual. I therefore determine that for these measures to be effective in addressing the national emergency declared in this order, there need be no prior notice of a listing or determination made pursuant to section 1 or section 11 of this order.”.

" 第 7 节。对于根据本命令其财产和财产权益被冻结但可能在美国有宪法规定的相关人员，由于能够即时转移资金或其他资产，如果事先通知这些人根据本命令将采取的措施将使会无法执行。因此，为了使这些措施能有效处理本命令宣布的国家紧急状态，无需事先通知根据本命令第 1 节或第 11 节作出的列名或决定"。

Sec. 3 . Amendments to Executive Order 14068.Executive Order 14068 is hereby amended as follows:

第 3 条 对第 14068 号行政令修订如下：

(a) in section 1, by striking subsection (a)(i) and inserting, in lieu thereof, the following:

(a) 在第 1 节中，删除(a)(i)分节，代之以以下内容

(i) the importation and entry into the United States, including importation for admission into a foreign trade zone located in the United States, of:

(i) 进口和进入美国，包括为进入位于美国的外贸区而进口以下物品

(A) the following products of Russian Federation origin: fish, seafood, and preparations thereof; alcoholic beverages; non-industrial diamonds; Start Printed Page 89273 and any other products of Russian Federation origin, as may be determined by the Secretary of the Treasury, in consultation with the Secretary of State and the Secretary of Commerce;

(A) 下列原产于俄罗斯联邦的产品：鱼类、海产品及其制剂；酒精饮料；非工业用钻石；以及财政部长在与国务卿和商务部长协商后确定的任何其他原产于俄罗斯联邦的产品；

(B) categories of any of the following products as may be determined by the Secretary of the Treasury, in consultation with the Secretary of State, the Secretary of Commerce, and the Secretary of Homeland Security, that were mined, extracted, produced, or manufactured wholly or in part in the Russian Federation, or harvested in waters under the jurisdiction of the Russian Federation or by Russia-flagged vessels, notwithstanding whether such products have been incorporated or substantially transformed into other products outside of the Russian Federation: fish, seafood, and preparations thereof; diamonds; and any other such products as may be determined by the Secretary of the Treasury, in consultation with the Secretary of State, the Secretary of Commerce, and the Secretary of Homeland Security;

(B) 由财政部长与国务卿、商务部长和国土安全部长协商确定的以下任何产品类别：全部或部分在俄罗斯联邦开采、提取、生产或制造的产品，或在俄罗斯联邦管辖水域或由悬挂俄罗斯国旗的船只捕获的产品，无论这些产品是否已并入或实质上已转化为俄罗斯联邦境外的其他产品：鱼类、海产品及其制剂；钻石；以及财政部长在与国务卿、商务部长和国土安全部长协商后可能确定的任何其他此类产品；

(C) products containing any of the products subject to the prohibitions of subsections (a)(i)(A)–(B) of this section, as may be determined by the Secretary of the Treasury, in consultation with the Secretary of State, the Secretary of Commerce, and the Secretary of Homeland Security; and

(C) 含有本节(a)(i)(A)-(B)分节所禁止的任何产品，这可由财政部长在与国务卿、商务部长和国土安全部长协商后确定；以及 (D) 含有本节(a)(i)(A)-(B)分节所禁止的任何产品。

(D) products subject to the prohibitions of subsections (a)(i)(A)–(C) of this section that transited through or were exported from or by the Russian Federation, as may be determined by the Secretary of the Treasury, in consultation with the Secretary of State, the Secretary of Commerce, and the Secretary of Homeland Security;”;

(D) 本节(a)(i)(A)-(C)分节所禁止的经由俄罗斯联邦过境或从俄罗斯联邦出口的产品，可由财政部长与国务卿、商务部长和国土安全部长协商确定；"

(b) in section 1, by adding new subsections (c)–(f) to read as follows:

(b) 在第 1 节中，加入新的(c)-(f)分节如下

“(c) The prohibitions in subsection (a)(i) of this section apply with respect to:

"(c) 本节(a)(i)小节中的禁令适用于以下方面：

(i) products subject to the prohibitions of subsection (a)(i)(A) of this section imported on or after the date of this order or the date specified in any determinations made pursuant to that subsection, unless otherwise specified or authorized; and

(i) 本节(a)(i)(A)分节禁止进口的产品，在本命令发布之日或之后进口，或在根据该分节作出的任何决定中规定的日期或之后进口，除非另有规定或授权；

(ii) products subject to the prohibitions of subsections (a)(i)(B)–(D) of this section imported on or after the date specified in any determinations made pursuant to those subsections, unless otherwise specified or authorized.

(ii) 本节第(a)(i)(B)-(D)小节禁止进口的产品，除非另有规定或授权。

(d) The Secretary of Homeland Security, with the concurrence of the Secretary of the Treasury, shall prescribe rules and regulations to collect, including through an authorized electronic data interchange system as appropriate, any documentation or information as may be necessary to enforce subsections (a)(i)(B)–(D) and (c) of this section as expeditiously as possible.”;

(d) 国土安全部部长在财政部部长的同意下，应制定规则和条例，包括酌情通过经授权的电子数据交换系统，收集为尽快执行本节(a)(i)(B)-(D)和(c)分节所需的任何文件或信息"；

(c) in section 4, by striking “and” at the end of subsection 4(c), by striking the period at the end of subsection (d) and replacing it with “; and”, and by inserting the following new subsection after subsection (d):

(c) 在第 4 条中，刪去第 4(c)款末尾的 "及"，刪去(d)款末尾的句號，代 以"；及"，並在(d)款後加入以下新的条款：

“(e) the term “diamond” includes any diamonds classifiable under subheadings 7102.10, 7102.31, and 7102.39 of the Harmonized Tariff Schedule of the United States and under any other subheadings of the Harmonized Tariff Schedule of the United States specified in determinations made pursuant to section (1)(a)(i) of this order.”; and

"(e) "钻石 "一词包括可归入《美国协调关税表》子目 7102.10、7102.31 和 7102.39 以及根据本命令第(1)(a)(i)节所作裁定中指明的《美国协调关税表》任何其他子目下的任何钻石。

(d) by striking section 5 and inserting, in lieu thereof, the following:

(d) 删除第 5 节，代之以以下内容

“ Sec. 5 . The Secretary of the Treasury, the Secretary of Commerce, and the Secretary of Homeland Security, in consultation with the Secretary of State, are hereby authorized to take such actions, including the promulgation of rules and regulations, and to employ all powers granted to the President by IEEPA, as may be necessary to carry out the purposes of this order. The Secretary of the Treasury, the Secretary of Commerce, and the Secretary of Homeland Security may, consistent with applicable law, redelegate any of these functions within the Department of the Treasury, the Department of Commerce, and the Department of Homeland Security, respectively. All Start Printed Page 89274 executive departments and agencies of the United States shall take all appropriate measures within their authority to implement this order.”.

" 第 5 节 兹授权财政部长、商务部长和国土安全部长与国务卿协商，采取必要行动，包括颁布规则和条例，并运用 IEEPA 授予总统的所有权力，以实现本命令的宗旨。财政部长、商务部长和国土安全部长可在符合适用法律的前提下，分别在财政部、商务部和国土安全部内部重新授权任何上述职能。美国所有行政部门和机构应在其职权范围内采取一切适当措施执行本命令"。

Sec. 4 . General Provisions. (a) Nothing in this order shall be construed to impair or otherwise affect:

第 4 条 一般规定 (a) 本命令中的任何内容均不得解释为损害或以其他方式影响以下内容

(i) the authority granted by law to an executive department or agency, or the head thereof; or

(i) 法律赋予行政部门或机构或其负责人的权力；或

(ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals.

(ii) 管理和预算办公室主任在预算、行政或立法建议方面的职能。

(b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations.

(b) 本命令的执行应符合适用法律，并视拨款情况而定。

(c) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other persons.

(c) 本命令无意也不会产生任何一方针对美国、其部门、机构或实体、其官员、雇员或代理人或任何其他人依法或通过衡平法可强制执行的任何实质性或程序性权利或利益。

THE WHITE HOUSE, December 22, 2023. Filed 12–22–23; 11:15 am

美国白宫，2023 年 12 月 22 日。提交时间：23-12-22  上午 11:15

附录：关键物项清单列表

总之，美国第14114号行政令是美国政府为了加强对俄罗斯的制裁而采取的一项措施，它扩展了对外国金融机构的制裁权力，并特别针对那些与俄罗斯军工基地有重大交易的机构。这一措施旨在限制俄罗斯通过国际金融系统获得支持其军事活动的资源。外国金融机构的风险增加，外国金融机构若与俄罗斯有重大交易往来，可能面临被美国制裁的风险。这将导致这些机构在国际金融市场上的声誉受损，进而影响其业务发展和盈利能力。制裁措施可能导致资本流动受到限制，影响俄罗斯与外国之间的经贸合作。同时，这也可能引发国际金融市场的不稳定。由于俄罗斯是全球经济体系的一部分，制裁措施可能产生溢出效应，对全球经济产生负面影响。特别是那些与俄罗斯有紧密经济联系的国家和地区，可能会受到更大的冲击。

三、美国第14024号行政令的内容和影响

Presidential Documents 20249

总统文件 20249

Federal Register Vol. 86, No. 73 Monday, April 19, 2021

《联邦公报》第 86 卷第 73 期 2021 年 4 月 19 日星期一 

Title 3— The President Executive Order 14024 of April 15, 2021

标题 3 总统 2021 年 4 月 15 日第 14024 号行政令  

《Blocking Property With Respect To Specified Harmful Foreign Activities of the Government of the Russian Federation 》

《冻结与俄罗斯联邦政府特定有害外国活动有关的财产》

By the authority vested in me as President by the Constitution and the laws of the United States of America, including the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.) (IEEPA), the National Emergencies Act (50 U.S.C. 1601 et seq.) (NEA), section 212(f) of the Immigration and Nationality Act of 1952 (8 U.S.C. 1182(f)), and section 301 of title 3, United States Code,

根据《宪法》和美国法律赋予我总统的权力，包括《国际紧急经济权力法》(50 U.S.C. 1701 et seq.)(IEEPA)、《国家紧急状态法》(50 U.S.C. 1601 et seq.)(NEA)、1952 年《移民和国籍法》第 212(f)条(8 U.S.C. 1182(f))和《美国法典》第 3 篇第 301 条

I, JOSEPH R. BIDEN JR., President of the United States of America, find that specified harmful foreign activities of the Government of the Russian Federation—in particular, efforts to undermine the conduct of free and fair democratic elections and democratic institutions in the United States and its allies and partners; to engage in and facilitate malicious cyber-enabled activities against the United States and its allies and partners; to foster and use transnational corruption to influence foreign governments; to pursue extraterritorial activities targeting dissidents or journalists; to undermine security in countries and regions important to United States national security; and to violate well-established principles of international law, including respect for the territorial integrity of states—constitute an unusual and extraordinary threat to the national security, foreign policy, and economy of the United States. I hereby declare a national emergency to deal with that threat.

我，小约瑟夫-拜登、 美国总统，认定俄罗斯联邦政府的特定有害外国活动，特别是破坏美国及其盟国和伙伴进行自由公正的民主选举和民主体制的活动；参与和协助针对美国及其盟国和伙伴的恶意网络活动；助长和利用跨国腐败影响外国政府；开展针对持不同政见者或记者的域外活动；破坏对美国国家安全至关重要的国家和地区的安全；违反国际法的既定原则，包括尊重国家领土完整--这对美国的国家安全、外交政策和经济构成了不同寻常的特殊威胁。我在此宣布全国进入紧急状态，以应对这一威胁。

 Accordingly, I hereby order:

因此，我特此命令：

Section 1. All property and interests in property that are in the United States, that hereafter come within the United States, or that are or hereafter come within the possession or control of any United States person of the following persons are blocked and may not be transferred, paid, exported, withdrawn, or otherwise dealt in:

第 1 节 在美国境内的、今后进入美国境内的、或由美国人占有或控制的下列人员的所有财产和财产权益均被冻结，不得转让、支付、出口、提取或以其他方式处理：

（a）any person determined by the Secretary of the Treasury, in consultation with the Secretary of State, and, with respect to subsection (a)(ii) of this section, in consultation with the Attorney General, or by the Secretary of State, in consultation with the Secretary of the Treasury, and, with respect to subsection (a)(ii) of this section, in consultation with the Attorney General:

(a) 由财政部长在与国务卿协商后确定的任何人，以及就本条(a)(ii)款而言，在与总检察长协商后确定的任何人，或由国务卿在与财政部长协商后确定的任何人，以及就本条(a)(ii)款而言，在与总检察长协商后确定的任何人：

(i) to operate or have operated in the technology sector or the defense and related materiel sector of the Russian Federation economy, or any other sector of the Russian Federation economy as may be determined by the Secretary of the Treasury, in consultation with the Secretary of State;

(i)在俄罗斯经济技术部门或国防及相关材料部门，或在财政部长与国务卿协商后确定的俄罗斯经济的任何其他部门经营或曾经经营；

(ii) to be responsible for or complicit in, or to have directly or indirectly engaged or attempted to engage in, any of the following for or on behalf of, or for the benefit of, directly or indirectly, the Government of the Russian Federation:

(ii) 直接或间接地为俄罗斯联邦政府或代表俄罗斯联邦政府或为其利益， 对下列任何行为负责或参与共谋，或直接或间接地从事或企图从事下列任何行为：

(A) malicious cyber-enabled activities;

(A) 恶意网络活动；

(B) interference in a United States or other foreign government election;

(B) 干预美国或其他外国政府选举；

(C) actions or policies that undermine democratic processes or institutions in the United States or abroad;

(C) 破坏美国或外国民主进程或制度的行动或政策；

(D) transnational corruption;

(D) 跨国腐败

(E ) assassination, murder, or other unlawful killing of, or infliction of other bodily harm against, a United States person or a citizen or national of a United States ally or partner;

(E ) 暗杀、谋杀或以其他方式非法杀害美国人或美国盟友或伙伴的公民或国民，或对其造成其他身体伤害；

(F )activities that undermine the peace, security, political stability, or territorial integrity of the United States, its allies, or its partners; or

(F）破坏美国、其盟国或合作伙伴的和平、安全、政治稳定或领土完整的活动；或

(G）deceptive or structured transactions or dealings to circumvent any United States sanctions, including through the use of digital currencies or assets or the use of physical assets;

(G）为规避美国制裁而进行的欺骗性或结构性交易，包括通过使用数字货币或资产或使用实物资产； 

(iii) to be or have been a leader, official, senior executive officer, or member of the board of directors of:

(iii)是或曾经是以下机构的领导人、官员、高级行政官员或董事会成员

(A) the Government of the Russian Federation;  

(A) 俄罗斯联邦政府；

(B) an entity that has, or whose members have, engaged in any activity described in subsection (a)(ii) of this section; or

(B) 从事或其成员从事本节(a)(ii)小节所述任何活动的实体；

(C) an entity whose property and interests in property are blocked pursuant to this order;

(C) 其财产和财产权益根据本命令被冻结的实体；

(iv) to be a political subdivision, agency, or instrumentality of the Government of the Russian Federation; 俄罗斯联邦(iv)政府的政治分支、机构或部门；

(v) to be a spouse or adult child of any person whose property and interests in property are blocked pursuant to subsection (a)(ii) or (iii) of this section;

(v) 其财产和财产权益根据本节第(a)(ii)或(iii)小节被冻结者的配偶或成年子女；

(vi) to have materially assisted, sponsored, or provided financial, material, or technological support for, or goods or services to or in support of:

(vi) 为以下行为提供了实质性协助、赞助或提供了资金、物质或技术支持，或提供了货物或服务，或为支持以下行为而提供了货物或服务：

(A) any activity described in subsection (a)(ii) of this section; or

(A)本节(a)(ii)小节所述的任何活动；或

(B) any person whose property and interests in property are blocked pursuant to this order; or

(B)其财产和财产权益根据本命令被冻结的任何人；或

(vii) to be owned or controlled by, or to have acted or purported to act for or on behalf of, directly or indirectly, the Government of the Russian Federation or any person whose property and interests in property are blocked pursuant to this order.

(vii) 由俄罗斯联邦政府或其财产和财产权益根据本命令被冻结的任何人直接或间接拥有或控制，或为其或声称为其或代表其行事。

(b) any person determined by the Secretary of the Treasury, in consultation with the Secretary of State, to have materially assisted, sponsored, or provided financial, material, or technological support for, or goods or services to or in support of, a government whose property and interests in property are blocked pursuant to chapter V of title 31 of the Code of Federal Regulations or another Executive Order, and to be:

(b) 经财政部长与国务卿协商后认定，曾向其财产和财产权益根据《联邦法规汇编》第 31 编第 V 章或另一项行政令被冻结的政府提供实质性协助、赞助或财政、物质或技术支持，或向其提供货物或服务，或为支持该政府而向其提供货物或服务的任何人，且该人是：

(i) a citizen or national of the Russian Federation;

(i)俄罗斯联邦公民或国民；

(ii) an entity organized under the laws of the Russian Federation or any jurisdiction within the Russian Federation (including foreign branches); or  

(ii) 根据俄罗斯联邦法律或俄罗斯联邦境内任何司法管辖区的法律组建的实体（包括外国分支机构）；或

(iii) a person ordinarily resident in the Russian Federation.

(iii)俄罗斯联邦常住居民。

(c) any person determined by the Secretary of State, in consultation with the Secretary of the Treasury, to be responsible for or complicit in, or to have directly or indirectly engaged in or attempted to engage in, cutting or disrupting gas or energy supplies to Europe, the Caucasus, or Asia, and to be:

(c) 国务卿在与财政部长协商后认定对切断或扰乱欧洲、高加索或亚洲的天然气或能源供应负有责任或与其同谋，或直接或间接参与或企图参与切断或扰乱此种供应的任何人，并且是

(i) an individual who is a citizen or national of the Russian Federation; or

 (i)俄罗斯联邦公民或国民；或

(ii) an entity organized under the laws of the Russian Federation or any jurisdiction within the Russian Federation (including foreign branches).

(ii)根据俄罗斯联邦法律或俄罗斯联邦境内任何司法管辖区的法律组建的实体（包括外国分支机构）。

(d) The prohibitions in subsections (a), (b), and (c) of this section apply except to the extent provided by statutes, or in regulations, orders, directives, or licenses that may be issued pursuant to this order, and notwithstanding any contract entered into or any license or permit granted before the date of this order.

(d) 本节(a)、(b)和(c)小节中的禁令适用，但法规或根据本命令可能发布的条例、命令、指令或许可证中规定的除外，而且，即使在本命令发布之日前签订了任何合同或颁发了任何许可证或执照，也不例外。

 Sec. 2. The prohibitions in section 1 of this order include:

第 2 节 本命令第 1 节中的禁令包括

(a) the making of any contribution or provision of funds, goods, or services by, to, or for the benefit of any person whose property and interests in property are blocked pursuant to this order; and

(b) the receipt of any contribution or provision of funds, goods, or services from any such person.

(a) 由财产和财产权益根据本命令被冻结的任何人，向其或为其利益提供任何捐助或提供资金、货物或服务；以及

(b) 接受任何此类人员提供的任何捐助或资金、货物或服务。

Sec. 3. (a) The unrestricted immigrant and nonimmigrant entry into the United States of noncitizens determined to meet one or more of the criteria in section 1 of this order would be detrimental to the interests of the United States, and the entry of such persons into the United States, as immigrants or nonimmigrants, is hereby suspended, except when the Secretary of State or the Secretary of Homeland Security, as appropriate, determines that the person’s entry would not be contrary to the interests of the United States, including when the Secretary of State or the Secretary of Homeland Security, as appropriate, so determines, based on a recommendation of the Attorney General, that the person’s entry would further important United States law enforcement objectives.

(a) 被确定符合本命令第 1 节中一项或多项标准的非公民不受限制地移民或非移民进入美国将损害美国的利益，暂停这些人作为移民或非移民进入美国，除非国务卿或国土安全部长根据司法部长的建议酌情认定此人入境将促进美国重要执法目标的情况下。

The Secretary of State shall implement this authority as it applies to visas pursuant to such procedures as the Secretary of State, in consultation with the Secretary of Homeland Security, may establish.国务卿应根据国务卿与国土安全部部长协商制定的程序，执行这一适用于签证的授权。 

The Secretary of Homeland Security shall implement this order as it applies to the entry of noncitizens pursuant to such procedures as the Secretary of Homeland Security, in consultation with the Secretary of State, may establish.

国土安全部部长应根据与国务卿协商制定的程序，执行适用于非公民入境的命令。

Such persons shall be treated by this section in the same manner as persons covered by section 1 of Proclamation 8693 of July 24, 2011 (Suspension of Entry of Aliens Subject to United Nations Security Council Travel Bans and International Emergency Economic Powers Act Sanctions).

本条对此类人员的处理方式与 2011 年 7 月 24 日第 8693 号公告第 1 条（暂停受联合国安理会旅行禁令和国际紧急经济权力法制裁的外国人入境）所涵盖的人员相同。

Sec. 4. (a) Any transaction that evades or avoids, has the purpose of evading or avoiding, causes a violation of, or attempts to violate any of the prohibitions set forth in this order is prohibited.

（b）Any conspiracy formed to violate any of the prohibitions set forth in this order is prohibited.

第 4 条. (a) 禁止任何逃避或规避、以逃避或规避为目的、导致违反或企图违反本命令中任何禁令的交易。

（b）禁止为违反本命令规定的任何禁令而进行的任何共谋。

Sec. 5. I hereby determine that the making of donations of the types of articles specified in section 203(b)(2) of IEEPA (50 U.S.C. 1702(b)(2)) by, to, or for the benefit of any person whose property and interests in property are blocked pursuant to this order would seriously impair my ability to deal with the national emergency declared in this order, and I hereby prohibit such donations as provided by section 1 of this order.

第 5 节。我在此确定，向根据本命令其财产和财产权益被冻结的任何人或为其利益，捐赠《国际紧急状态法》第 203(b)(2)条（《美国法典》第 50 编第 1702(b)(2)条）规定的各类物品，将严重损害我处理本命令所宣布的国家紧急状态的能力，我在此根据本命令第 1 条的规定禁止此类捐赠。

Sec. 6. For the purposes of this order:

第 6 节. 就本命令而言

(a) the term ‘‘entity’’ means a partnership, association, trust, joint venture, corporation, group, subgroup, or other organization;

(a) 术语 "实体 "指合伙企业、协会、信托、合资企业、公司、集团、子集团或其他组织；

(b) the term ‘‘Government of the Russian Federation’’ means the Government of the Russian Federation, any political subdivision, agency, or instrumentality thereof, including the Central Bank of the Russian Federation, and any person owned, controlled, or directed by, or acting for or on behalf of, the Government of the Russian Federation;

(b) 术语 "俄罗斯联邦政府 "指俄罗斯联邦政府、其任何政治分支机构、机构或部门，包括俄罗斯联邦中央银行，以及由俄罗斯联邦政府拥有、控制或指挥，或为其或代表其行事的任何人；

(c) the term ‘‘noncitizen’’ means any person who is not a citizen or noncitizen national of the United States;

(c) 术语 "非公民 "是指不是美国公民或非公民国民的任何人；

(d) the term ‘‘person’’ means an individual or entity; and

(d) "人 "是指个人或实体；以及

(e) the term ‘‘United States person’’ means any United States citizen, lawful permanent resident, entity organized under the laws of the United States or any jurisdiction within the United States (including foreign branches), or any person in the United States.

(e) 术语 "美国人 "是指任何美国公民、合法永久居民、根据美国法律或美国境内任 何司法管辖区（包括外国分支机构）组建的实体或美国境内的任何人。

Sec. 7. For those persons whose property and interests in property are blocked pursuant to this order who might have a constitutional presence in the United States, I find that because of the ability to transfer funds or other assets instantaneously, prior notice to such persons of measures to be taken pursuant to this order would render those measures ineffectual.I therefore determine that for these measures to be effective in addressing the national emergency declared in this order, there need be no prior notice of a listing or determination made pursuant to section 1 of this order.

第 7 节。对于那些其财产和财产权益根据本命令被冻结、但可能在美国有宪法规定的相关人员，我发现，由于可以即时转移资金或其他资产，事先通知这些人根据本命令将采取的措施将使这些措施无效。因此，我决定，为了使这些措施有效地应对本命令宣布的国家紧急状态，无需事先通知根据本命令第 1 节作出的列名或裁定。

Sec. 8. The Secretary of the Treasury, in consultation with the Secretary of State, is hereby authorized to take such actions, including the promulgation of rules and regulations, and to employ all powers granted to the President by IEEPA, as may be necessary to carry out the purposes of this order. The Secretary of the Treasury may, consistent with applicable law, redelegate any of these functions within the Department of the Treasury. All departments and agencies of the United States shall take all appropriate measures within their authority to carry out the provisions of this order.

第 8 节。兹授权财政部长与国务部长协商，采取必要的行动，包括颁布规则和条例，并运用《国际经济合作与发展法》赋予总统的一切权力，以实现本命令的宗旨。财政部长可在符合适用法律的前提下，在财政部内部重新授予上述任何职能。美国所有部门和机构应在其职权范围内采取一切适当措施，执行本命令的规定。

Sec. 9. Nothing in this order shall prohibit transactions for the conduct of the official business of the Federal Government or the United Nations (including its specialized agencies, programs, funds, and related organizations) by employees, grantees, and contractors thereof.

第 9 节 本命令的任何内容均不禁止美国联邦政府或联合国（包括其专门机构、计划署、基金和相关组织）的雇员、受赠人和承包商进行公务交易。

Sec. 10. The Secretary of the Treasury, in consultation with the Secretary of State, is hereby authorized to submit recurring and final reports to the Congress on the national emergency declared in this order, consistent with section 401(c) of the NEA (50 U.S.C. 1641(c)) and section 204(c) of IEEPA (50 U.S.C. 1703(c)).

第 10 节。根据《国家紧急状态法》第 401(c)条（《美国法典》第 50 编第 1641(c)条）和《国际紧急状态法》第 204(c)条（《美国法典》第 50 编第 1703(c)条），授权财政部长与国务部长协商，就本命令中宣布的国家紧急状态向国会提交定期报告和最终报告。

Sec. 11. (a) Nothing in this order shall be construed to impair or otherwise affect:

第 11 节 (a) 本命令的任何内容不得解释为损害或以其他方式影响：

the authority granted by law to an executive department or agency, or the head thereof; or

(a) 法律赋予行政部门或机构或其负责人的权力；或

(b) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals.

(b) 管理和预算办公室主任在预算、行政或立法提案方面的职能。

(c) This order shall be implemented consistent with applicable law and subject to the availability of appropriations.

 (c)本命令的执行应符合适用法律，并视拨款情况而定。

(d) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

本命令无意也不会产生任何一方针对美国、其部门、机构或实体、其官员、雇员或代理人或任何其他人的、在法律上或衡平法上可强制执行的任何权利或利益，无论是实质性的还是程序性的。

四、涉俄经济制裁风险管控建议