United States: Executive Order 13959 - Finance of Communist Chinese Military Companies
Notice to customers:
We call your attention to United States Executive Order 13959, which prohibits, as of January 11, 2021, transactions involving the purchase by United States persons of securities issued by companies on the "Non-SDN Communist Chinese Military Companies List" published by the Office of Foreign Assets Control ("OFAC") as well as securities an economic exposure to such OFAC-listed securities (collectively, "CMC Securities").
A U.S. person as defined by OFAC is "a U.S. citizen, a U.S. permanent resident alien, an entity organized under the laws of the U.S. (including its foreign branches) or any individual or entity in the United States".
All clients, irrespective of their jurisdiction, should not sell Impacted Securities to a U.S. person from the effective date onwards. Non U.S. persons will continue to be able to purchase, settle, clear, process etc. securities but must abide by the EO when selling securities.
Customers should undertake their own assessments on the impact of the Executive Order on their trading, investment and/or settlement activities as part of their standard compliance, legal, and risk assessment.
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