If you didn’t know where to look, it could take a long time to stumble across the U.S. 限制军火交易的规则.

直到1996年,国会才修改了这一规定 武器出口管制法第38条 要求参与美国国债经纪的人.S. and non-U.S. 国防装备和技术向政府登记, 并经常为他们的活动获得批准.

At the time, 众议院国际关系委员会的一份报告 stated:

“……在某些情况下,美国.S. 一些人参与了与美国法律不一致的武器交易.S.  policy. 其中某些交易可能会加剧地区不稳定, 要么支持恐怖主义,要么与美国的外交政策背道而驰.S. 不向特定国家或地区出售武器的政策决定. U的扩展.S. legal authority under this provision to regulate brokering activities would help to curtail such transactions.”

The legislation was implemented the following year with the addition to the ITAR of 第129部-经纪人的注册及发牌.

军火经纪背景

ITAR主要处理的是美国货币的流动.S. defense articles and equipment from the United States to the rest of the world, even placing controls on reexports and retransfers of ITAR-controlled goods and technologies after they’ve been legally exported.

但考虑到美国作为世界主要武器出口国的角色, the ITAR prior to 1996 didn’t cover some sensitive private-sector activities that could impact U.S. 外交政策.

For example, someone could work from an office anywhere in the United States and take a fee to arrange the sale of arms between two foreign entities—perhaps a seller of ammunition from Estonia and a buyer in Iraq. 只要弹药不是来自或进入美国, 而在其他方面不受ITAR规管, 没有什么可以给美国.S. 国务院有权审查此类交易或, 就此而言, 甚至有机会知道它正在发生.

但是当第129部分被添加到ITAR时, it gave the State Department a process to monitor brokered transactions for conflicts with U.S. 外交政策.

The initial rule 已经修改了几次,是 overhauled 从2013年到今天的基本形式.

识别国防经纪人

Being an arms broker isn’t as exciting as Hollywood makes it out to be; it covers a range of activities, 其中大部分是办公室工作.

There are more companies than individuals that are registered as arms brokers. 但这条规则是有意宽泛的——这就是为什么它值得谨慎对待. Here’s the order of analysis to understand who is subject to the brokering rules and how to navigate them.

Who you are: 第129部分适用于:

  1. Any U.S. person, corporation, 政府单位或其他实体, 世界上任何地方, 从事经纪活动的;
  2. Any foreign person or entity located in the United States that conducts brokering activity;
  3. Any foreign person or entity outside the United States that is owned or controlled by a U.S. 从事经纪活动的个人或实体.

What you do: ITAR定义了经纪 作为“任何代表他人的行动,以促进生产。, export, 永久进口, transfer, reexport, 或重新转移美国银行.S. or foreign defense article or defense service, regardless of its origin.(就第129部分而言, 术语“国防物品或国防服务”包括任何硬件, 涵盖的技术数据或服务 U.S. 弹药列表,不论其来源,以及物品上的指定 U.S. 军需品进口清单.)

经纪业务可以包括但不限于:

  • Financing
  • Insuring
  • Transporting
  • 货运代理
  • Soliciting
  • Promoting
  • Negotiating
  • Contracting
  • Arranging

Brokering activities for items subject to the EAR rather than the ITAR are excluded; so are strictly administrative services that arms brokers might use in the course of business, 比如租用办公空间和购买广告. So if two parties rent a conference room in a hotel to hammer out an arms deal, 酒店本身并不被视为经纪人.

拟合排除: There are some meaningful carveouts to the definition of brokering, which can be found at ITAR 129.2(b)(2). They include:

  • 仅涉及国内销售或转让的活动;
  • 涉及受《LOL外围下注》而非《英雄联盟外围下注》规管的项目的活动;
  • 以官方身份为美国政府工作.S. government;
  • Performing work for an affiliate that is legally permitted to sell arms and other items subject to the ITAR. 例如,如果一家美国公司的外国子公司.S. arms manufacturer represents its parent company in negotiating a transaction, that isn’t considered brokering—though the transaction is still subject to other rules in the ITAR.

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Registration

如果你符合经纪人的定义, 而且你的经纪活动并不都符合规定, 那你就是经纪人了, 这需要通过 国防出口管制和合规系统(DECCS)门户网站 并支付费用. (目前收费从 每年2250美元,并根据许可活动增加.)经纪人每年更新注册的要求, notify DDTC of certain changes and maintain records are generally the same as for exporters.

经纪活动批准

一旦注册, brokers and exporters alike still need permission to engage in an ITAR-controlled activity. 许可以许可或豁免的形式出现.

Brokers are required to get advance approval before arranging deals involving non-U.S. 国防用品和服务. 这是因为这类物品通常不受ITAR的约束, 但它们确实对美国经济产生了潜在影响.S. 外交政策.

然而,要求事先批准美国.S.-origin defense articles and defense services doesn’t apply to all items—just certain ones. 例如,完整的U.S.-origin aircraft, ships and tanks requires prior approval, while brokering of U.S.-origin defense article components for these platforms generally does not. For other U.S.- USML上的origin项, brokers don’t need to obtain advance approval to broker a deal (probably because the ITAR still requires the exporter or reexporter to obtain a license before the transaction can take place.)

There is one other twist: The brokering rules also apply to items on the U.S. 军需品进口清单(参见相关文章: Permanent v. 临时进口:ITAR符合ATF的地方), which is different than the USML and falls under the jurisdiction of the Bureau of Alcohol, 烟草和火器. It’s a rare instance when the ITAR encompasses another agency’s control list. 原因是许多小型武器已不再列在美国海军上, so this allows the State Department to maintain jurisdiction over brokering of those firearms too.

许可证和豁免

Advance approval for brokering comes in two forms: a license or an exemption.

There are 两个许可证豁免 特别针对经纪人:

  1. 你是代表美国政府做交易的中间人.S government, under specific contractual authority of an appropriate agency. The reason for this is intuitive: You shouldn’t need to ask the government for permission to do something the government has already asked you to do.
  2. 如果你在美国.S., 另一个北约国家或其他几个选定的盟国, 你只在这些国家之间做军火交易, advance brokering permission isn’t required in most cases involving foreign defense articles or defense services. (However, you’re still required to report the brokering activity in the annual report. It’s an example why recordkeeping discipline is an important part of being a broker.)

If neither of these exemptions apply, a brokering license is required, through DECCS门户网站上的DS-4294表.

Reporting

The annual report that’s required of all registered brokers is typically filed along with the annual registration renewal and fee. All activities must be reported, whether based on a license or an exemption. 报告的细节包括所有相关人员, 涉及的物品或服务以及交易的所有细节.

这些经纪规则得到了积极的执行. 2022年3月,美国总统奥巴马签署了一份协议.S. marketing executive was convicted and jailed for arranging the manufacture and shipment of unspecified items on the USML and USMIL between a Chinese manufacturer and one of his clients. 根据 司法部新闻稿 在刑事调查中,他从未注册过经纪人. Since 2008, Academi LLC (formerly Blackwater) has paid nearly $50 million in fines in two cases involving unauthorized brokering activities, 据媒体报道.

And in 2011, BAE Systems agreed to a $79 million civil penalty after it “allegedly committed an estimated 2,591 violations of the ITAR in connection with unauthorized brokering of U.S. 国防用品和服务, 未注册为经纪人, 未提交年度经纪人报告, 导致未经授权的代理, failure to report the payment of fees or commissions associated with defense transactions, 以及未能保存涉及itar控制的交易的记录,” 据美国国务院发布的一份新闻稿称.

联系出口合规培训机构

你对军火交易和ITAR有什么问题吗? Visit www.productsmartsl.com 了解LOL外围下注的公司,LOL外围下注的教师,LOL外围下注的员工和LOL外围下注尊敬的人 出口合规专家(ECoP®)认证计划. 找到即将到来的 e-seminarslive seminars in the U.S.美国、欧洲和其他地区 live webinars and 浏览LOL外围下注的目录80多个按需网络研讨会参观LOL外围下注的ECTI学院. 您也可以致电LOL外围下注 540-433-3977 了解更多信息.

Scott Gearity 是ECTI公司的总裁.

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