Note to Parties and Arbitral Tribunals on ICC Compliance (English version)

This Note is intended to provide parties and arbitral tribunals with information regarding administrative measures taken during proceedings administered by the International Court of Arbitration (“Court”) of the International Chamber of Commerce (“ICC”) under the ICC Rules of Arbitration in order to ensure compliance with obligations imposed on ICC by relevant regulatory authorities.

I - General Information on Applicable Sanctions Regimes

1. When managing cases as part of the Dispute Resolution Services (DRS) provided by the
Court and the International Centre for ADR, ICC treats parties of all nationalities equally.

2. Sanctions regulations may be applicable to DRS activities. Relevant information on countries
subject to the sanctions regimes of the United Nations ("UN"), the European Union ("EU")
and the US Office of Foreign Assets Control ("OFAC") can be found on the following official
websites:

UN: https://www.un.org/sc/suborg/en/sanctions/un-sc-consolidated-list

EU: http://eeas.europa.eu/cfsp/sanctions/docs/measures_en.pdf

OFAC: http://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx

3. In addition to general requirements under applicable ICC DRS Rules, and in order to ensure
compliance with the above-mentioned international sanctions regimes, administrative
measures may be taken, in particular if:

• one of the parties in a DRS procedure is listed under a sanctions regime; and/or
• one of the related entities, such as (i) entities or individuals directly or indirectly owning and/or controlling a party in the matter; (ii) entities or individuals directly or indirectly owned and/or controlled by a party in the matter; or (iii) entities or individuals affiliated to a party in the matter ("Related Entities"), in a DRS procedure is listed under a sanctions regime; and/or the subject matter of the dispute falls within the scope of a sanctions regime; and/or
• one of the parties or Related Entities is a citizen of a country subject to a sanctions regime; and/or
• an arbitrator, mediator, expert or neutral is a citizen of an embargoed country.