Foreign Assets Control Regulations for the Securities Industry (brochure)

Date issued: Apr. 29 2004

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TURBOFAC Commentary (1347 words)

Notes:

1) This document was removed from OFAC's website at some point in 2013, presumably because many of the specific programs referred to have been repealed and those in existence have substantially changed form (i.e. Iran and North Korea), and perhaps also because the characterization of OFAC’s diligence expectations is out of date as not stringent enough.

2) The guidance is noteworthy in part for the list of securities OFAC considers to be blocked. It is somewhat odd that OFAC listed "bankers’ acceptances that indicate on their face that they relate to unauthorized trade transactions involving...Iran." At the time this guidance was issued, the ITR/ITSR contained no blocking provisions, so dealings in such instruments may have been prohibited, e.g. by 560.208 (facilitation).

In any event, OFAC makes...