How frontline states tackle sanctions against Russia: Implementation and enforcement dynamics in Poland and the Baltics

Katarzyna J. McNaughton , Marcin Łukowski
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Abstract

Russia’s invasion of Ukraine in February 2022, reshaped the EU’s security landscape, prompting sanctions aimed at weakening Russia’s war capabilities. These sanctions also redefined the roles of public authorities and the private sector, introducing new challenges in a shifting geopolitical context.
Public authorities, including financial intelligence units, customs, state security agencies, law-enforcement agencies, etc., must identify, prevent, and investigate sanctions evasion and circumvention. This requires robust legal frameworks, adequate resources, and expertise in sanctions evasion typologies. Similarly, businesses and financial institutions operate in legal ambiguity, often asking, “Who am I dealing with in this transaction?”, as they navigate complex compliance requirements.
Both the public and private sectors need a strong framework for domestic and cross-border sharing of financial intelligence, trade data, and knowledge of sanctions evasion typologies, as well as insight into the corporate structures of sanctioned entities. However, the EU's decentralized approach of independently designed national enforcement models may hamper cooperation and cross-border financial intelligence sharing.
This paper examines how Poland, Lithuania, Latvia, and Estonia that are post-Warsaw Pact EU countries bordering Russia, implement and enforce those sanctions. It explores who "does what" and whether national authorities are adapting their modi operandi to enforce sanctions effectively.
The findings reveal distinct national approaches. Latvia’s FIU became Europe’s first sanctions authority, integrating intelligence and enforcement functions. Estonia’s FIU plays a significant role but shares responsibilities with other agencies. Lithuania’s FIU adopts a collaborative model, leveraging a public-private partnership with the Center of Excellence in Anti-Money Laundering. Poland has a fragmented enforcement structure and regulatory framework but is unique in implementing its own autonomous sanctions.
前线国家如何应对对俄罗斯的制裁:波兰和波罗的海国家的实施和执法动态
俄罗斯在2022年2月入侵乌克兰,重塑了欧盟的安全格局,引发了旨在削弱俄罗斯战争能力的制裁。这些制裁还重新界定了公共当局和私营部门的作用,在不断变化的地缘政治背景下带来了新的挑战。公共当局,包括金融情报单位、海关、国家安全机构、执法机构等,必须查明、防止和调查逃避和规避制裁的行为。这需要健全的法律框架、充足的资源和规避制裁类型方面的专门知识。同样,企业和金融机构在法律上也存在模糊性,它们经常会问:“在这笔交易中,我是在和谁打交道?”,因为他们需要处理复杂的合规要求。公共和私营部门都需要一个强有力的框架,以便在国内和跨境共享金融情报、贸易数据和有关制裁逃避类型的知识,并深入了解受制裁实体的公司结构。然而,欧盟独立设计的国家执法模式的分散方法可能会阻碍合作和跨境金融情报共享。本文考察了波兰、立陶宛、拉脱维亚和爱沙尼亚这些与俄罗斯接壤的后华沙条约欧盟国家如何实施和执行这些制裁。它探讨了谁“做什么”,以及国家当局是否正在调整其操作方式,以有效执行制裁。研究结果揭示了不同国家的不同做法。拉脱维亚的金融情报组成为欧洲第一个制裁机构,集情报和执行职能于一身。爱沙尼亚的金融情报组发挥重要作用,但与其他机构分担责任。立陶宛金融情报研究所采用合作模式,利用与反洗钱卓越中心的公私伙伴关系。波兰的执法结构和监管框架支离破碎,但在实施自己的自主制裁方面是独一无二的。
本文章由计算机程序翻译,如有差异,请以英文原文为准。
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