Issues Facing Financial Institutions and Regulated Entities – Export Controls and Trade and Investment Sanctions

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Financial institutions and regulated entities face a range of industry-specific challenges when complying with sanctions stemming from strong legal requirements and regulatory expectations. In addition, financial institutions and regulated entities often engage in activities that may involve multiple – and sometimes conflicting – sanction regimes. This chapter presents some key considerations for financial institutions and regulated entities to take into account in proactively managing sanctions risk, examines some key challenges emerging in the regulated space, and offers practical recommendations to help financial institutions and entities regulated to navigate the complexity of sanctions.

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This article by Mayer Brown provides information and commentary on interesting legal issues and developments. The foregoing is not a complete treatment of the subject matter covered and is not intended to provide legal advice. Readers should seek specific legal advice before taking any action regarding the matters discussed here.

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