UN Updates

May 15, 2019: HK SFC AML/CFT Circular: Early Alert on UN Sanctions

Circular to Licensed Corporations and Associated Entities

Anti-Money Laundering / Counter-Financing of Terrorism

Early Alert on United Nations Sanctions

The sanctions committee of the United Nations Security Council (“UNSC”) which administers the sanctions regime for ISIL (Da’esh) and Al-Qaida added one entity to and removed one individual from its sanctions list Note 1, 2 on 14 May 2019 (New York time).  Please refer to the relevant press releases issued by the UNSC in Attachment 1.

Licensed corporations (“LCs”) and associated entities (“AEs”) should update their screening databases with the above changes made by the UNSC sanctions committee for sanctions screening of customers and payments.  LCs and AEs are reminded to refer to our circular on United Nations Sanctions issued on 7 February 2018 Note 3 which sets out our expectations on actions that LCs and AEs should take regarding sanctions imposed by the UNSC.

Should you have any queries regarding the contents of this circular, please contact Ms Kiki Wong at 2231 1569 who will assist to refer your queries to the relevant officer.

Intermediaries Supervision Department
Intermediaries Division
Securities and Futures Commission

Enclosure

End

SFO/IS/025/2019

Note 1 An updated list specifying “individuals, groups, undertakings and entities”, reflecting the amendments by the sanctions committee of the UNSC, was published under section 25 of the United Nations Sanctions (ISIL and Al-Qaida) Regulation (Cap. 537CB) on the website of the Commerce and Economic Development Bureau on 15 May 2019. The list obtained from the website of the Commerce and Economic Development Bureau is attached in Attachment 2.
Note 2 Licensed corporations and associated entities will also be alerted when the updated sanctions list, reflecting the amendments by the sanctions committee of the UNSC, is published under the United Nations (Anti-Terrorism Measures) Ordinance (Cap. 575) in the Gazette. The website of the Securities and Futures Commission (“SFC”) will also be updated to provide a weblink to the gazette notice thereof for easy reference.
Note 3 The circular on United Nations Sanctions can be accessed on the SFC’s website (http://www.sfc.hk/edistributionWeb/gateway/EN/circular/aml/aml-regulations/doc?refNo=18EC9)

Links:

HK SFC Circular

UN Press Releases (Attachment 1)

Commerce and Economic Development Bureau List (Attachment 2)

May 22, 2019: OSFI, UN remove 1 from counter terror list

On Wednesday, Canadian regulators removed:

QDi.202 Name: 1: MAZEN 2: SALAH 3: MOHAMMED 4: na
Name (original script): مازن صلاح محمد
Title: na Designation: na DOB: 18 May 1981 POB: Arbil, Iraq Good quality a.k.a.: a) Mazen Ali Hussein born 1 Jan. 1982 in Baghdad, Iraq b) Issa Salah Muhamad born 1 Jan. 1980 Low quality a.k.a.: na Nationality: IraqPassport no: German travel document (“Reiseausweis”) A 0144378 (revoked as at Sep. 2012) National identification no: na Address: 94051 Hauzenberg, Germany Listed on: 6 Dec. 2005 (amended on 21 Oct. 2008, 13 Dec. 2011, 15 Nov. 2012, 1 May 2019) Other information: Member of Ansar Al-Islam (QDe.098). Released from custody in Germany on 18 May 2012. Review pursuant to Security Council resolution 1822 (2008) was concluded on 30 Jul. 2009. Review pursuant to Security Council resolution 2253 (2015) was concluded on 21 Feb. 2019. INTERPOL-UN Security Council Special Notice web link: www.interpol.int/en/How-we-work/Notices/View-UN-Notices-Individuals

The names of individuals and entities removed from the ISIL (Da’esh) and Al‑Qaida Sanctions List pursuant to a decision by the Committee may be found in the “Press Releases” section on the Committee’s website.  Other information about the ISIL (Da’esh) and Al-Qaida Sanctions List may also be found on the Committee’s website at the following URL: www.un.org/securitycouncil/sanctions/1267/aq_sanctions_list/procedures-for-delisting.

The ISIL (Da’esh) and Al-Qaida Sanctions List is updated regularly on the basis of relevant information provided by Member States and international and regional organizations. An updated List is accessible on the ISIL (Da’esh) and Al-Qaida Sanctions Committee’s website at the following URL:  www.un.org/securitycouncil/sanctions/1267/aq_sanctions_list.

The Consolidated United Nations Security Council List is also updated following all changes made to the ISIL (Da’esh) and Al-Qaida Sanctions List. An updated version of the Consolidated List is accessible via the following URL: www.un.org/securitycouncil/content/un-sc-consolidated-list.

from their counter terror sanctions program, after their delisting by the United Nations ISIL (Da’esh) and Al-Qaida Sanctions Committee. Note that the OSFI page says 4 persons were removed, which is in error.

Links:

OSFI Notice

UN Notice

May 16, 2019: UN, DFAT remove 4 from Iraq sanctions

On May 16, Australian regulators removed:

IQe.021 Name: DIRECTORATE GENERAL OF BAGHDAD

ELECTRICITY DISTRIBUTION

A.k.a.: na F.k.a.: na Address: P.O. Box 24042, Al-Jumhuriya Street, Building

66, Baghdad, Baghdad, Iraq Listed on: 26 Apr. 2004 Other information:

IQe.050 Name: IDRISI CENTRE FOR ENGINEERING CONSULTANCY

(ICEC)

A.k.a.: na F.k.a.: na Address: Museum Square, Karkh, P.O. Box 14077,

Baghdad, Iraq Listed on: 26 Apr. 2004 Other information:

IQe.082 Name: NATIONAL CENTRE FOR ENGINEERING AND

ARCHITECTURAL CONSULTANCY

A.k.a.: na F.k.a.: na Address: Rashid Street, P.O. Box 11387, Baghdad, Iraq

Listed on: 26 Apr. 2004 Other information:

IQe.127 Name: STATE ENTERPRISE FOR FERTILIZER INDUSTRIES

A.k.a.: na F.k.a.: na Address: P.O. Box 74, Basrah, Basrah, Iraq Listed on:

26 Apr. 2004 Other information:

from their Iraq sanctions program after their delisting by the United Nations Sanctions Committee.

Link:

UN Notice

May 16, 2019: UN, DFAT add ISIL-K to, remove 1 from counter terror list

On May 16th, Australian regulators added:

QDe.161 Name: ISLAMIC STATE IN IRAQ AND THE LEVANT – KHORASAN

(ISIL- K)

A.k.a.: a) ISIL KHORASAN b) ISLAMIC STATE’S KHORASAN PROVINCE c) ISIS

WILAYAT KHORASAN d) ISIL’S SOUTH ASIA BRANCH e) SOUTH ASIAN

CHAPTER OF ISIL F.k.a.: na Address: na Listed on: 14 May 2019 Other

information: Islamic State of Iraq and the Levant – Khorasan (ISIL – K) was formed on

January 10, 2015 by a former Tehrik-e Taliban Pakistan (TTP) (QDe.132) commander

and was established by former Taliban faction commanders who swore an oath of

allegiance to the Islamic State of Iraq and the Levant (listed as Al-Qaida in Iraq

(QDe.115)). ISIL – K has claimed responsibility for numerous attacks in both

Afghanistan and Pakistan. INTERPOL-UN Security Council Special Notice web link:

https://www.interpol.int/en/notice/search/une/xxxx

to their counter terrorism sanctions program after its addition by the United Nations ISIL (Da’esh) and Al-Qaida Sanctions Committee.

They also removed:

QDi.148 Name: 1: NESSIM 2: BEN MOHAMED 3: AL-CHERIF BEN MOHAMED 4:

SALEH AL-SAADI

Title: na Designation: na DOB: 30 Nov. 1974 POB: Haidra Al-Qasreen, Tunisia Good

quality a.k.a.: a) Nassim Saadi b) Dia el Haak George born 20 Nov. 1974 in

Lebanon c) Diael Haak George born 30 Nov. 1974 in Lebanon d) El Dia Haak George

born 30 Nov. 1974 in Algeria Low quality a.k.a.: a) Abou Anis b) Abu

Anis Nationality: Tunisia Passport no: Tunisia number M788331, issued on 28 Sep.

2001 (expired 27 Sep. 2006) National identification no: na Address: a) Via Monte

Grappa 15, Arluno (Milan), Italy b) Via Cefalonia 11, Milan, Italy (Domicile, last known

address) Listed on: 12 Nov. 2003 ( amended on 20 Dec. 2005, 31 Jul. 2006, 21 Dec.

2007, 3 Jun. 2009, 16 May 2011 ) Other information: Arrested on 9 Oct. 2002. In

detention in Italy until 27 Apr. 2012. Sentenced in absentia to 20 years of imprisonment

by the Tunis Military Court on 11 May 2005 for membership of a terrorist organization.

Father’s name is Mohamed Sharif. Mother’s name is Fatima. Review pursuant to Security Council resolution 1822 (2008) was concluded on 21 Jun. 2010. INTERPOL-UN

Security Council Special Notice web link:

https://www.interpol.int/en/notice/search/un/1419840 click here

from the same program

Link:

UN Notice 1, UN Notice 2

May 23, 2019: UN, DFAT remove Mazen Salah Mohammed from terror list

Yesterday, Australian regulators removed:

QDi.202 Name: 1: MAZEN 2: SALAH 3: MOHAMMED 4: na

Title: na Designation: na DOB: 18 May 1981 POB: Arbil, Iraq Good quality

a.k.a.: a) Mazen Ali Hussein born 1 Jan. 1982 in Baghdad, Iraq b) Issa Salah Muhamad

born 1 Jan. 1980 Low quality a.k.a.: na Nationality: Iraq Passport no: German travel

document (“Reiseausweis”) A 0144378 (revoked as at Sep. 2012) National

identification no: na Address: 94051 Hauzenberg, Germany Listed on: 6 Dec. 2005

(amended on 21 Oct. 2008, 13 Dec. 2011, 15 Nov. 2012, 1 May 2019) Other

information: Member of Ansar Al-Islam (QDe.098). Released from custody in Germany

on 18 May 2012. Review pursuant to Security Council resolution 1822 (2008) was

concluded on 30 Jul. 2009. Review pursuant to Security Council resolution 2253 (2015)

was concluded on 21 Feb. 2019. INTERPOL-UN Security Council Special Notice web

link: https://www.interpol.int/en/How-we-work/Notices/View-UN-Notices-

Individuals click here

from their Consolidated List, after his delisting by the United Nations ISIL (Da’esh) and Al-Qaida Sanctions Committee.

Link:

UN Notice

May 6, 2019: UN, DFAT update a ton of terror listings

Apparently, the United Nations ISIL (Da’esh) and Al-Qaida Sanctions Committee reviews its listings periodically (this is the first one I’m aware of – guess Mr. Watchlist has some research to do), and it resulted in a ton of updates (just to add the wording about the review being done – at least in the listings I saw). And, on Monday, Australian officials incorporated those updates in their Consolidated List.

Link:

UN Web Notice

April 18, 2019: HK SFC AML/CFT Circular

Circular to Licensed Corporations and Associated Entities

Anti-Money Laundering / Counter-Financing of Terrorism

(1)  United Nations (Anti-Terrorism Measures) Ordinance

(2)  United Nations Sanctions (ISIL and Al-Qaida) Regulation

(1)  United Nations (Anti-Terrorism Measures) Ordinance 

Further to our circular issued on 16 April 2019, an updated list specifying terrorists and terrorist associates designated by the United Nations Security Council (“UNSC”) was published under section 4 of the United Nations (Anti-Terrorism Measures) Ordinance (“the UNATMO”) (Cap. 575) in the Gazette (G.N. (E.) 22 of 2019) on 18 April 2019.  A relevant press release issued by the UNSC, reflecting the updates since the previous list was published in the Gazette (G.N. (E.) 21 of 2019), is attached in Attachment 1 Note 1.

The aforesaid list can be found on the Government’s website (https://www.gld.gov.hk/egazette/pdf/20192322e/egn2019232222.pdf).

(2)  United Nations Sanctions (ISIL and Al-Qaida) Regulation 

Further to our circular issued on 16 April 2019, an updated list specifying “individuals, groups, undertakings and entities” was published under section 25 of the United Nations Sanctions (ISIL and Al-Qaida) Regulation (Cap. 537CB) on the website of the Commerce and Economic Development Bureau on 18 April 2019. A relevant press release issued by the UNSC, reflecting the updates since the previous list was published on the website of the Commerce and Economic Development Bureau, is attached in Attachment 1 Note 1.

The aforesaid list obtained from the website of the Commerce and Economic Development Bureau is attached in Attachment 2.

Licensed corporations (“LCs”) and associated entities (“AEs”) are reminded to refer to Chapter 6 of the Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (For Licensed Corporations) (“AML Guideline”) which contains guidance on the appropriate measures that LCs and AEs should take to ensure compliance with the regulations made under the UNATMO (Cap. 575) and the United Nations Sanctions Ordinance (Cap.537) Note 2.  The Securities and Futures Commission expects all new designations to be screened by LCs and AEs against their client lists as soon as practicable whenever there are updates.  LCs and AEs are also reminded to report any transactions or relationships they have or have had with any designated person or entity to the Joint Financial Intelligence Unit.

Should you have any queries regarding the contents of this circular, please contact Ms Kiki Wong at 2231 1569 who will assist to refer your queries to the relevant officer.

Intermediaries Supervision Department
Intermediaries Division
Securities and Futures Commission

Enclosure

End

SFO/IS/019/2019

Note 1 The updates made to the sanctions lists published under the UNATMO and the United Nations Sanctions (ISIL and Al-Qaida) Regulation are identical.
Note 2 Under paragraph 6 of the Prevention of Money Laundering and Terrorist Financing Guideline issued by the Securities and Futures Commission for Associated Entities, AEs that are not authorized financial institutions are expected to have regard to the provisions of the AML Guideline as if they were themselves LCs.

Links:

HK SFC Notice

HK SFC Circular

UN Press Release (Attachment 1)

Commerce and Economic Development Bureau list (Attachment 2)