This website is based on the book United Nations Non-Proliferation Regimes on Iran and North Korea – Practitioner’s Compliance Handbook
This website is based on the book United Nations Non-Proliferation Regimes on Iran and North Korea – Practitioner’s Compliance Handbook byEnrico Carisch and Loraine Rickard-Martin of Compliance and Capacity Skills International, LLC. The book was produced with the following contributors
Shawna Meister – contributing author
David Cortright- Foreword
Nikos Passas – author of a special chapter”Sanctions Violations and the Applicability of UN Conventions for Better Controls”
LipikaMajumdar Roy Choudhury – Reviewer
George A. Lopez – Reviewer and contributor
William Newcomb – Reviewer
Svetlana Utkina – Reviewer
The books is organized in four sections
Section I discusses general intentions and history of U.N. non-proliferation sanctions and how arms control measures such as sanctions does not substitute global disarmament. It further introduces
theSecurity Council resolution1540 (2004), compares it with the North Korea sanctions and Iran resolutions, whose historical background and current context are fully explained. The section concludes with a detailed discussion of the Iran agreement under the JCPOA, and offers in annexes, the schedule and names for the delisting of individuals and entities currently under sanctions
Section II introduces the reader into the UN sanctions system, its actors and responsibilities. This discussion covers not only the UN actors, but also the central role of Member States and their regional and autonomous sanctions, as well as the expanding chain of UN sanctions implementation actors that have particular relevance for companies seeking to comply with international sanctions. The section includes detailed explanations for each of the five principal UN sanctions measures, including embargoes on conventional arms and WMD, strategies by arms embargo violators and smugglers, the role of Customs and border control authorities, the Proliferation Security Initiative, vulnerabilities of the transportation industry, financial aspects of an arms embargo with assets freezes and activity-based sanctions, as well as the role of anti money-laundering in response recognized patterns and typologies of financial sanctions violations. A discussion of the working of the UN travel ban, aviation sanctions and no-fly zones, the broader role of financial and economic sanctions, the ban against the exportation of luxury goods to North Korea and finally the nature of diplomatic sanctions conclude this section.
A Special Chapter by Nikos Passas: discusses the relationship between sanctions and legal conventions and how they mutually enhance each other.
Section IIIoffers all aspects required to build an integrated sanctions implementation mechanism for states, by discussing the legislative basis under which a State must implement and enforce sanctions, how best to comply by constructing a “Whole of Government approach” along with a sectoral implementation support system. The section also includes a number of typologies of sanctions violations and the most effective government responses. Finally, additional sector-specific implementation guidance in the form of checklists conclude this section.
Section IV.provides guidance for an integrated sanctions implementation system for companies, along with discussions about the economic considerations why sanctions compliance is not merely an expense but also supports rules and fairness in the international markets. The section offers information for how to institute a “whole of enterprise approach” together with specific sectoral compliance guidance, that details considerations and for industry-specific compliance models. This section also contains a number of case studies of sanctions violations and how best to respond from the perspective of a corporate compliance officer.
The book includes five annexes with extensive lists of definitions and designations of individuals, companies and other entities currently under UN, US and EU sanctions that will be release as part of the Iran agreement.
The texts are supported throughout the book with fourteendata tables and twenty-three illustrations.
Print or Kindle edition of the handbook is available at Amazon and many other international book sellers.