單邊制裁與阻斷立法下中國企業的合規困境與應對策略

Compliance Dilemma and Coping Strategies for Chinese Enterprises under Unilateral Sanctions and Blocking Legislation

當今社會，以美國為代表的霸權主義國家愈加頻繁地通過金融、貿易等單邊制裁手段迫使目標國家及實體改變行為，以達成自身國家安全和政治經濟利益目標。為應對此類將國內法律法規、行政命令不當域外適用的方式，中國出臺了《阻斷辦法》和《反外國制裁法》來維護本國主權與正常經貿活動交往。在此背景下，中國企業可能面臨遵守外國制裁法律而受到中國阻斷立法處罰，或者執行阻斷禁令遭遇外國制裁而失去市場的兩難困境。這背後是美國制裁管轄權擴張和制裁對象精准化的演變與中國逐漸形成的阻斷立法體系間的衝突，而這引發了棘手的實踐案例並導向國家與國家之間、國家與個人之間的利益博弈。由此，中國阻斷立法體系本身應進一步完善，從而助力中國企業通過明確的豁免申請與救濟制度和外國主權強制原則抗辯來搭建合規模式，找到困境出路。

Nowadays, hegemonic countries such as the United States, are more and more frequently forcing targeted countries and entities to change their behavior through financial and trade unilateral sanctions in order to achieve their own goals of national security and economic interest. In response to such ways of improper extraterritorial application of domestic laws and regulations, China has enacted Rules on Counteracting Unjustified Extraterritorial Application of Foreign Legislation and Other Measures and Anti-Foreign Sanctions Law to safeguard its sovereignty and normal economic and trade activities interactions. Under this context, Chinese companies are possibly facing the punishment of Chinese blocking legislation for complying with foreign sanctions, or losing their markets due to foreign sanctions for implementing blocking bans. This is a conflict between the evolving trend of U.S. sanctions with expanded jurisdiction and precise targeting of sanctions and the developing system of Chinese blocking legislation, which leads to difficult practical situations and games of interests between states and individuals. Therefore, China’s blocking legislation system itself should be further improved, so as to help Chinese enterprises to build a compliance framework and find a way out through a clear exemption application, an effective relief system and the defense of foreign sovereignty compulsory doctrine.