Moscow, September 19, 2014

How to Deal with the Sanctions Labyrinth What do the new sanctions really forbid? On September, 12, the EU and the US issued new sanctions against Russian companies and economy sectors. Canada followed on September, 16. As new sanctions regulation is getting more and more complicated, we at RUSSIA CONSULTING have prepared this newsletter with the explanations of the most important changes and – most important – explanation of the overall picture in order to keep the overview. What is new? – The EU First, the EU has four different types of sanctions now. There is the “red list” (see Appendix I below) of private persons and companies, with whom it is not allowed to deal at all (“No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of natural or legal persons, entities or bodies listed”), this list has been expanded and 24 new persons have been added on the list to a total of 119 private persons and 23 companies. There are restrictions on the access to the capital market for the Russian state-owned companies (public interest of over 50%), mentioned in the sectorial sanctions list. The following amendments were made: state-owned banks from this list may not get access to the capital market instruments with maturity of over 30 days (before: over 90 days). State-owned arms producers and oil companies have also been added to the sanctions list, falling under the same over-30-days regulation. The new list with arms producers and oil companies includes the following important companies: Rosneft, Transneft, Gazprom Neft, Oboronprom, Uralvagonzavod and United Aircraft Corporation. Sectorial sanctions list contains now 11 legal entities. New types of sanctions are on the special list of companies that are banned from receiving goods of dual use. Currently, there are 9 companies in this list (see Appendix I below), mostly arms producers. Now it is also forbidden to provide any financial support to dealing with dual-use goods in relation to these companies. Finally, the former sectorial sanctions (ban on certain investments in Crimea, on military exports to Russia, on export of certain oil drilling technologies as well as restrictions on exports of goods of dual-use) was expanded too, by export bans for off-shore oil platforms and for other technologies that are necessary for oil exploration in Arctic or for shale oil exploration. The already signed contracts may be continued. What is new? – The USA The US has introduced more restrictions on capital market access for the Russian companies. All transactions in new debt of longer than 30 days maturity, as well as provision of financing of such debt or other dealings with such debt are forbidden in relation with the banks and the defense companies from the current SSI list (Sectorial Sanctions Identification, see Appendix I below). The same activities in relation with the companies from the energy sector, mentioned in the current SSI list are forbidden, only for the debt of longer than 90 days maturity. No new persons have been put on the list. The US sanctions SDN list (Specially Designated Nationals List, forbids any economic contacts with the listed persons) contains currently 57 private persons and 36 legal entities, the SSI List contains currently 14 legal entities.

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Page 1 of 11

What is new? – Canada Canadian sanctions list consists of three parts: Schedule 1, Schedule 2 and Schedule 3. Any economic contacts are forbidden with the persons from Schedule 1 list. This list has been expanded by 4 new private persons and 5 new companies (mostly arms producers and high-tech concerns). Schedule 2 list, which forbids dealing with a loan, bond or debenture of the listed companies, has been expanded by the biggest Russian state-owned bank Sberbank. Schedule 1 list contains now 66 private persons and 34 legal entities, Schedule 2 list contains 6 legal entities and Schedule 3 list contains 1 legal entity. An important change in the regulation is that the companies from Schedule 2 list are now banned from financial market instruments with maturity of longer than 30 days (former: longer than 90 days), it is also forbidden to deal with shares of these companies. The companies from Schedule 3 list (currently only one company: Novatek) are only banned from access to the capital market instruments (loan, bond or debenture) with the maturity of longer than 90 days. These two bans (according to Schedule 2 and 3) are also applied to the subsidiaries which are owned by 50% or more of the listed companies. What penalties can I face? It is important to know that not only a knowingly and willingly violation of the sanctions is punishable (fines up to 1 million USD per transaction or imprisonment up to 30 years in the USA, or imprisonment up to 10 years in Germany), but also negligence. What to do to protect myself? As new sanctions are getting more and more complicated, including in total about 200 private persons and companies affected by different sanctions regimes, it is highly important to check every economic contact and every deal to be on the safe side. We, at RUSSIA CONSULTING, have developed our own search engine that allows to check the structure of ownership of almost every Russian partner/supplier/client company and to compare it with the sanctions lists. This procedure allows our clients to find out, whether their partner/supplier/client company is affected by sanctions and whether the economic contact with this company is allowed.

For further questions, please contact: Sergej Sumlenny, Head of PR [email protected]

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Dmitry Kononenko, Senior Project Manager [email protected]

Page 2 of 11

Overview of persons and legal entities, affected by sanctions issued by the USA, the EU and Canada due to the Russian-Ukrainian crisis As of September 18th, 2014 Persons from the US SSI list, the EU Appendix III, V, VI list and Canadian Schedule 2 and 3 are marked yellow. The SSI list does not forbid economic contacts, except for certain financial services, especially money loans for longer than 30 days (ban ks, defense companies) or 90 days (energy companies). The Appendix III, V, VI of Council Regulation No 833/2014 do not forbid economic contacts except for certain financial services, especially money loa ns for longer than 30 days. The Schedule 2 prohibits for any person in Canada and any Canadian outside of Canada to transact in, provide or otherwise deal in a loan, bond or debenture, of longer than 30 days’ maturity in relation to a designated entity or their property as well as to deal with shares of the listed entities. Schedule 3 prohibits providing or dealing in a loan, bond or debenture of longer than 90 days’ maturity.

№

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24

US sanctions

EU sanctions

Canadian sanctions

No

Yes

No

Prime Minister of Crimea

Yes

Yes

No

First vice-premier of the so called „Donetsk People’s Republic”

No

Yes

No

No

Yes

Yes

No

Yes

No

Yes

Yes

Yes

No

Yes

No

No

Yes

No

Yes

Yes

Yes

Yes

Yes

No

Yes

Yes

Yes

Yes

Yes

No

No

Yes

Yes

Yes

Yes

Yes

Aide to the Russian President

Yes

No

Yes

Advisor to the Russian President

Yes

Yes

Yes

Yes

Yes

Yes

No

Yes

Yes

No

Yes

No

No

Yes

No

No

No

Yes

No

Yes

No

Yes

No

Yes

Yes

No

Yes

Name and Russian spelling

ABISOV, Sergey АБИСОВ, Сергей Вадимович AKSENOV, Sergei Valeryevich АКСЁНОВ, Сергей Валерьевич ANTYUFEYEV (aka SHEVTSOV), Vladimir АНТЮФЕЕВ (ШЕВЦОВ), Владимир Георгиевич BABAKOV, Alexander Mikhailovich БАБАКОВ, Александр Михайлович BASHIROV, Marat БАШИРОВ, Марат BELAVENCEV, Oleg Evgenyevich БЕЛАВЕНЦЕВ, Олег Евгеньевич BEREZA, Oleg БЕРЕЗА, Олег BEREZIN, Fedor БЕРЕЗИН, Федор Дмитриевич BESEDA, Sergey Orestovich БЕСЕДА, Сергей Орестович BORODAI, Aleksandr Yurevich БОРОДАЙ, Александр Юрьевич BUSHMIN, Evgeny Viktorovich БУШМИН, Евгений Викторович CHALY, Alexei Mikhailovich ЧАЛЫЙ, Алексей Михайлович DEGTYAREV, Mikhail Vladimirovich ДЕГТЯРЕВ, Михаил Владимирович DZHABAROV, Vladimir Mikhailovich ДЖАБАРОВ, Владимир Михайлович FURSENKO, Andrey Aleksandrovich ФУРСЕНКО, Андрей Александрович GLAZYEV, Sergei Yuryevich ГЛАЗЬЕВ, Сергей Юрьевич GROMOV, Alexei Alekseevich ГРОМОВ, Алексей Алексеевич GRYZLOV, Boris Vyacheslavovich ГРЫЗЛОВ, Борис Вячеславович GUBAREV, Pavel ГУБАРЕВ, Павел Юрьевич GUBAREVA, Ekaterina ГУБАРЕВА, Екатерина Юрьевна IGNATENKO, Vitalii Nikitich ИГНАТЕНКО, Виталий Никитич IVAKIN, Yurij ИВАНКИН, Юрий IVANOV, Sergey Borisovich ИВАНОВ, Сергей Борисович IVANOV, Viktor Petrovich ИВАНОВ, Виктор Петрович

Position/function Politicians/bureaucrats Minister of Internal Affairs of “Republic of Crimea”

Special Presidential Representative to Russians So called ‘Prime Minister of the Council of Ministers of the People' s Republic of Luhansk’ Russian Presidential Envoy to the Crimean District ‘Internal affairs minister’ of the so-called ‘Donetsk People's Republic’ So called „Deputy defense minister“ of the so called “People’s Republic of Donetsk” Commander of the Fifth Service of FSB, Russian secret service So called ‘Prime Minister of People's Republic of Donetsk’ Deputy Chairman of the Russian Federation Council De-facto Mayor of Sevastopol (23.02.-14.04.2014) Member of the State Duma (Russian Parliament) Deputy Chairman of a Committee of the Russian Federation Council

First Deputy Head of the Russian Presidential Administration Permanent Member of the Security Council of the Russian Federation One of the self-described leaders of the so-called „people‘ Republic of Donetsk“ So called „Minister of Foreign Affairs“ of the „People’s Republic of Donetsk“ First Deputy Chairman of the Federation Council Committee for Foreign Affairs So called ‘Minister of Internal Affairs of the “People' s Republic of Luhansk” Head of the Russian Presidential Administration Director of the Russian Federal Drugs Control Service

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Page 3 of 11

№ 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39

40

41 42 43 44 45 46 47 48 49 50 51 52 53 54

US sanctions

EU sanctions

Canadian Sanctions

Acting Head of the Federal Migration Service for Crimea

No

Yes

No

President of the Republic of Chechnya

No

Yes

Yes

No

Yes

No

No

Yes

No

No

Yes

No

No

Yes

No

Yes

Yes

No

No

Yes

No

Yes

Yes

Yes

Yes

Yes

No

No

Yes

No

Yes

Yes

Yes

Yes

No

Yes

No

Yes

No

No

Yes

No

No

Yes

No

No

Yes

No

No

Yes

No

No

Yes

No

Yes

Yes

No

No

No

Yes

Yes

Yes

Yes

Yes

No

No

Yes

Yes

No

Name and Russian spelling JAROSH, Petr Grigorievich ЯРОШ, Петр Григорьевич KADYROV, Ramzan Akhmadovich КАДЫРОВ, Рамзан Ахматович KALASHNIKOV, Leonid Ivanovich КАЛАШНИКОВ, Леонид Иванович KALYUSSKY, Alexandr Aleksandrovich КАЛЮССКИЙ, Александр Александрович KARAMAN, Aleksandr КАРАМАН, Александр KARYAKIN, Aleksey КАРЯКИН, Алексей KAUROV, Valery Vladimorovich КАУРОВ, Валерий Владимирович KHRYAKOV, Alexander ХРЯКОВ, Александр KLISHAS, Andrey Aleksandrovich КЛИШАС, Андрей Александрович KONSTANTINOV, Vladimir Andreevich КОНСТАНТИНОВ, Владимир Андреевич KOVATIDI, Olga Fedorovna КОВАТИДИ, Ольга Федоровна KOZAK, Dmitry Nikolaevich КОЗАК, Дмитрий Николаевич KOZHIN, Vladimir Igorevich КОЖИН, Владимир Игоревич KOZYURA, Oleg Grigorievich КОЗЮРА, Олег Григорьевич LEBEDEV, Igor Vladimirovich ЛЕБЕДЕВ, Игорь Владимирович LEBEDEV, Oleg Vladimirovich ЛЕБЕДЕВ, Олег Владимирович LEVICHEV, Nikolai Vladimirovich ЛЕВИЧЕВ, Николай Владимирович LITVINOV, Boris ЛИТВИНОВ, Борис LYAGIN, Roman ЛЯГИН, Роман MALYSHEV, Mikhail Grigoryevich МАЛЫШЕВ, Михаил Григорьевич MARGELOV, Mikhail Vitalevich МАРГЕЛОВ, Михаил Витальевич MATVIENKO, Valentina Ivanovna МАТВИЕНКО, Валентина Ивановна MEDVEDCHUK, Viktor Vladimirovich МЕДВЕДЧУК, Виктор Владимирович MEDVEDEV, Valery Kirillovich МЕДВЕДЕВ, Валерий Кириллович MELNIKOV, Ivan Ivanovich МЕЛЬНИКОВ, Иван Иванович MALYKHIN, Aleksandr МАЛЫХИН, Александр MENYAILO, Sergei Ivanovich МЕНЯЙЛО, Сергей Иванович MIRONOV, Sergei Mikhailovich МИРОНОВ, Сергей Михайлович MIZULINA, Elena Borisovna МИЗУЛИНА, Елена Борисовна MURADOV, Georgiy L'vovich МУРАДОВ, Георгий Львович

Position/function

First deputy Chairman of the Committee on Foreign Affairs of the State Duma So called ‘Deputy Prime Minister for Social Affairs of DPR‘ ‘Deputy Prime Minister for Social Issues’ of the so called ‘Donetsk People's Republic’. So called ‘Supreme Council Chair of the People' s Republic of Luhansk’. Chairman of the „Union of Orthodox Ukrainian citizens“ So called ‘Information and Mass Communications Minister of DPR’ Chairman of a Committee of the Russian Federation Council Chairman of the Crimean parliament Member of Russian Federal Assembly for the Crimea Region Deputy Prime Minister of the Russian Federation Head of the Russian Presidential Property Management Department Acting Head of the Federal Migration Service office for Sevastopol Deputy Speaker, State Duma First Deputy Chairman of the Committee on Relations with CIS Countries, Eurasian Integration and Links with Compatriots of the State Duma Deputy Speaker, State Duma Head of the „Supreme Council“ of „People’s Republic of Donetsk” Head of the ‘Donetsk People’s Republic’ Central Electoral Commission Head of the Crimean electoral commission Chairman of the Federation Council Committee for Foreign Affairs Chairwoman of the Russian Federation Council Leader of the pro-Russian/anti-EU Ukrainian Party “Ukrainian Choice” Head of the Sevastopol electoral commission First Deputy Speaker, State Duma

No

Yes

No

Head of the ‘Lugansk People's Republic' Central Electoral Commission

No

Yes

No

Governor of the City of Sevastopol

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

No

Yes

No

Member of the Executive Council of the Russian State Duma Chairwoman of a Committee of the Russian State Duma So called ‘Deputy Prime Minister’ of Crimea and Plenipotentiary Representative of Crimea to President Putin

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Page 4 of 11

№ 55 56

NARYSHKIN, Sergei Evgenyevich НАРЫШКИН, Сергей Евгеньевич NEVEROV, Sergei Ivanovich НЕВЕРОВ, Сергей Иванович

57

NIKITIN, Vasyl НИКИТИН, Василий

58

NIKITIN, Vladimir Stepanovich НИКИТИН, Владимир Степанович

59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82

83

US sanctions

EU sanctions

Canadian Sanctions

Yes

Yes

Yes

Yes

Yes

Yes

No

Yes

No

No

Yes

No

No

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

No

Yes

No

No

Yes

Yes

Self-declared mayor of Slaviansk

Yes

Yes

No

Prosecutor of Crimea

No

Yes

No

Chief of „Donetsk Republic“

Yes

Yes

No

One of leaders of „Donetsk Republic“

Yes

Yes

No

Yes

No

Yes

No

Yes

No

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

No

Yes

No

Yes

No

No

Yes

No

No

Yes

Yes

Yes

Yes

Yes

Aide to the Russian President

Yes

Yes

Yes

Speaker oft he „Gouvernment“ of „People’s Republik of Luhansk“

No

Yes

No

Governor of the Krasnodar Krai

No

Yes

Yes

Member of the Ukrainian Rada

No

Yes

No

No

Yes

No

No

Yes

No

Name and Russian spelling

NURGALIEV, Rashid Gumarovich НУРГАЛИЕВ, Рашид Гумарович OZEROV, Viktor Alekseevich ОЗЕРОВ, Виктор Алексеевич PANTELEEV, Oleg Evgenyevich ПАНТЕЛЕЕВ, Олег Евгеньевич PINCHUK, Andrey Yurevich ПИНЧУК, Андрей Юрьевич PLIGIN, Vladimir Nikolaevich ПЛИГИН, Владимир Николаевич PONOMARIOV, Viacheslav Vladimirovich ПОНОМАРЕВ, Вячеслав Владимирович POKLONSKAYA, Natalia Vladimirovna ПОКЛОНСКАЯ, Наталья Владимировна PURGIN, Andriy Evgenievich ПУРГИН, Андрей Евгеньевич PUSHILIN, Denis Vladimirovich ПУШИЛИН, Денис Владимирович PUSHKOV, Aleksei Konstantinovich ПУШКОВ, Алексей Константинович RODKIN Andrei Nikolaevich РОДКИН Андрей Николаевич ROGOZIN, Dmitry Olegovich РОГОЗИН, Дмитрий Олегович RYZHKOV, Nikolai Ivanovich РЫЖКОВ, Николай Иванович SAVELYEV, Oleg Genrikhovich САВЕЛЬЕВ, Олег Генрихович SHCHEGOLEV, Igor Olegovich ЩЕГОЛЕВ, Игорь Олегович SHEREMET Mikhail Sergeyevich ШЕРЕМЕТ Михаил Сергеевич SHEVCHENKO, Igor Sergeievich ШЕВЧЕНКО, Игорь Сергеевич SHVETSOVA, Ludmila Ivanovna ШВЕЦОВА, Людмила Ивановна SLUTSKY, Leonid Eduardovich СЛУЦКИЙ, Леонид Эдуардович SURKOV, Vladislav Yuryevich СУРКОВ, Владислав Юрьевич TCHIGIRINA, Oksana ЧИГИРИНА, Оксана TKACHYOV, Alexander Nikolayevich ТКАЧЕВ, Александр Николаевич TSARIOV, Oleg Anatolievich ЦАРЕВ, Олег Анатольевич VASILYEV Vladimir Abdualiyevich ВАСИЛЬЕВ Владимир Абдуалиевич VODOLATSKY Viktor Petrovich ВОДОЛАЦКИЙ Виктор Петрович

Position/function Chairman of the Russian State Duma Deputy Chairman of „United Russia“ ruling party So called ‘Vice Prime Minister of the Council of Ministers of the People' s Republic of Luhansk’ First Deputy Chairman of the Committee on Relations with CIS Countries, Eurasian Integration and Links with Compatriots of the State Duma Deputy Secretary of the Security Council of the Russian Federation Chairman of a Committee of the Russian Federation Council Deputy Chairman of a Committee of the Russian Federation Council ‘State security minister’ of the so-called ‘Donetsk People's Republic’. Chair of the Duma Constitutional Law Committee

Chairman of State Duma Committee on International Affairs Moscow Representative of the so called ‘Donetsk People's Republic’ Deputy Prime Minister of the Russian Federation Member of a Committee of the Russian Federation Council Minister for the Crimea Affairs Aide to the President of the Russian Federation So called ‘First Deputy Prime Minister’ of Crimea Acting Prosecutor of Sevastopol Deputy Chairwoman of „United Russia“ ruling party Chairman of a Committee of the Russian State Duma

Deputy Speaker of the State Duma Chairman (‘ataman’) of the Union of the Russian and Foreign Cossack Forces, and deputy of the State Duma

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Page 5 of 11

№ 84 85 86 87 88 89 90 91 92 93 94 95 96

US sanctions

EU sanctions

Canadian Sanctions

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

No

Yes

Yes

No

No

Yes

No

No

No

Yes

No

Yes

No

Yes

No

No

No

Yes

No

Yes

Yes

Yes

Yes

Yes

No

No

Yes

Yes

No

Yes

No

First Deputy of the Minister of Defense

No

No

Militia warlord in Horlivka

No

Yes

No

No

Yes

No

No

No

Yes

Militia warlord in Lugansk

Yes

Yes

No

Director of the Federal Security Service (FSB)

No

Yes

Yes

General of the Russian Armed Forces

No

No

Yes

No

Yes

Yes

No

Yes

Yes

No

Yes

Yes

No

Yes

No

No

Yes

No

No

Yes

No

Commander of Cossack forces

No

Yes

No

Deputy Commander of the Russian Black Sea Fleet

No

Yes

No

Name and Russian spelling VOLODIN, Vyacheslav Viktorovich ВОЛОДИН, Вячеслав Викторович TOTOONOV, Aleksandr Borisovich ТОТООНОВ, Александр Борисович TEMIRGALIEV, Rustam Ilmirovich ТЕМИРГАЛИЕВ, Рустам Ильмирович TSEKOV, Sergey Pavlovich ЦЕКОВ, Сергей Павлович TSYPKALOV Gennadiy Nikolaiovych ЦЫПЛАКОВ Геннадий Николаевич USHAKOV, Yury Viktorovich УШАКОВ, Юрий Викторович VOROBIOV Yuri Leonidovich ВОРОБЬЕВ Юрий Леонидович YANUKOVICH, Viktor Fedorovich ЯНУКОВИЧ, Виктор Фёдорович ZAKHARCHENKO Alexander ЗАХАРЧЕНКО Александр Владимирович ZHELEZNYAK, Sergei Vladimirovich ЖЕЛЕЗНЯК, Сергей Владимирович ZHEREBTSOV, Yury Gennadyevich ЖЕРЕБЦОВ, Юрий Геннадьевич ZHIRINOVSKY, Vladimir Volfovich ЖИРИНОВСКИЙ, Владимир Вольфович ZHUROVA Svetlana Sergeevna ЖУРОВА Светлана Сергеевна

Position/function First Deputy Chief of Staff of the Presidential Executive Office Member of a Committee of the Russian Federation Council Deputy Prime Minister of Crimea First delegate from the Crimea to the Russian Federation Council Replaced Marat Bashirov as so-called ‘Prime Minister’ of the so-called ‘Lugansk People's Republic’ Key Foreign Policy Advisor to the President Deputy Speaker of the Federation Council of the Russian Federation Ousted de-jure President of Ukraine Replaced Alexander Borodai as the so called „Prime Minister“ of the so-called „Donetsk People’s Republic“ Deputy Chairman of the Russian State Duma Counsellor to the Chairman of the Crimean Parliament Leader of the Liberal Democratic Party of Russia First Deputy Chairman of the Committee on Foreign Affairs, State Duma Military/security staff

97 98 99 100 101 102 103 104 105 106 107 108 109 110 111

BAHKIN, Arkadii Viktorovich БАХИН, Аркадий Викторович BEZLER, Igor Mykolaiovich БЕЗЛЕР, Игорь Николаевич BEREZOVSKY, Denis Valentinovich БЕРЕЗОВСКИЙ, Денис Валентинович BOGDANOVSKIY, Nikolay БОГДАНОВСКИЙ, Николай BOLOTOV, Valery БОЛОТОВ, Валерий BORTNIKOV, Aleksandr Vasilievich БОРТНИКОВ, Александр Васильевич BULGAKOV, Dmitry Vitalievich БУЛГАКОВ, Дмитрий Витальевич FRADKOV, Mikhail Efimovich ФРАДКОВ, Михаил Ефимович GALKIN, Aleksandr Viktorovich ГАЛКИН, Александр Викторович GERASIMOV, Valery Vasilevich ГЕРАСИМОВ, Валерий Васильевич KAKIDZYANOV, Igor КАКИДЗЯНОВ, Игорь KHODAKOVSKY, Alexander ХОДАКОВСКИЙ, Александр KONONOV Vladimir/aka ‘Tsar’ КОНОНОВ Владимир «Царь» KOZITSYN, Nikolay КОЗИЦЫН, Николай KULIKOV, Valery Vladimirovich КУЛИКОВ, Валерий Владимирович

Chief of the Ukrainian Navy, swore his oath to the Crimean government Colonel-General of the Russian Armed Forces

Director of the Foreign Intelligence Service of the Russia Federation Commander of Russia’s Southern Military District Chief of the General Staff of Russian Federation Militia warlord in Donetsk So called ‘Minister of Security of People's Republic of Donetsk’ Replaced Igor Strelkov/Girkin, as the socalled ‘Defense minister’ of the so-called ‘Donetsk People's Republic’.

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Yes

Page 6 of 11

№ 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132

US sanctions

EU sanctions

Canadian Sanctions

No

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

No

Yes

No

No

Yes

Yes

No

Yes

No

No

Yes

No

No

Yes

No

No

No

Yes

No

No

Yes

Yes

Yes

Yes

No

Yes

Yes

No

Yes

Yes

Yes

Yes

Yes

No

Yes

No

No

No

Yes

No

Yes

No

No

Yes

Yes

Senior aid to Igor Strelkov/Girkin

No

Yes

No

Head of the Crimean SBU branch (Security Service of Ukraine)

Yes

Yes

No

No

Yes

No

Yes

Yes

No

Yes

Yes

Yes

No

Yes

Yes

Yes

Yes

Yes

Yes

No

Yes

President of „Rosneft“ oil company

Yes

No

No

Co-owner of the Bank „Rossiya“

No

Yes

Yes

Owner of the private investment group “Volga Group”

Yes

No

Yes

Name and Russian spelling

Position/function

KULISHOV, Vladimir Georgyevich КУЛИШОВ, Владимир Георгиевич MOZGOVY, Oleksiy МОЗГОВОЙ, Алексей MUROV, Evgeniy Alekseyevich МУРОВ, Евгений Алексеевич NAUMETS Aleksey Vasilevich HАУМЕЦ Алексей Васильевич NOSATOV, Aleksandr Mikhailovich НОСАТОВ, Александр Михайлович PATRUSHEV, Nikolai Platonovich ПАТРУШЕВ, Николай Платонович PROKOPIV, German ПРОКОПЬЕВ, Герман PLOTNITSKY, Igor ПЛОТНИЦКИЙ, Игорь RUDENKO Miroslav Vladimirovich РУДЕНКО Мирослав Владимирович SADOVENKO, Yuriy Eduardovich САДОВЕНКО, Юрий Эдуардович SALYUKOV, Oleg Leonidovich САЛЮКОВ, Олег Леонидович SERGUN, Igor Dmitrievich СЕРГУН, Игорь Дмитриевич SHAMANOV, Vladimir Anatolievich ШАМАНОВ, Владимир Анатольевич SIDOROV, Anatoly Alekseevich СИДОРОВ, Анатолий Алексеевич STRELKOV, Igor (a.k.a. GIRKIN, Igor) СТРЕЛКОВ, Игорь (он же ГИРКИН, Игорь) TSYPLAKOV, Sergey Gennadevich ЦЫПЛАКОВ, Сергей Геннадиевич TRAVKIN, Valerii Yuriovich ТРАВКИН, Валерий Юрьевич TURCHENYUK, Igor Nikolaevich ТУРЧЕНЮК, Игорь Николаевич VITKO, Aleksandr Viktorovich ВИТКО, Александр Викторович ZDRILIUK, Serhii Anatoliyovich ЗДРЫЛЮК, Сергей Анатольевич ZIMA, Petr Anatolyevich ЗИМА, Пётр Анатольевич

First Deputy Chief of Russian Security Service FSB One of the leaders of armed groups in Eastern Ukraine Director of the Russian Secret Service (FSO) Major-general of the Russian Army

KISELEV, Dmitry Konstantinovich КИСЕЛЁВ, Дмитрий Константинович

Head of the Russian Federal State News Agency “Rossiya Segodnya”

CHEMEZOV, Sergei Viktorovich ЧЕМЕЗОВ, Сергей Викторович KOVALCHUK, Yury Valentinovich КОВАЛЬЧУК, Юрий Валентинович MALOFEEV, Konstantin Valerevich МАЛОФЕЕВ, Константин Валерьевич ROTENBERG, Arkady Romanovich РОТЕНБЕРГ, Аркадий Романович ROTENBERG, Boris Romanovich РОТЕНБЕРГ, Борис Романович SECHIN, Igor Ivanovich СЕЧИН, Игорь Иванович SHAMALOV, Nikolay Terentievich ШАМАЛОВ, Николай Терентьевич TIMCHENKO, Gennady Nikolaevich ТИМЧЕНКО, Геннадий Николаевич

General Director of the Rostekh Corporation Chairman of the board of directors and coowner of the Bank “Rossiya”

Deputy Commander of the Russian Black Sea Fleet Permanent member and Secretary of the Security Council of the Russian Federation Militia warlord in Lugansk So called ‘Defense Minister of the People’s Republic of Luhansk’ Commander of the Donbass People's Militia Lieutenant-General of the Russian Armed Forces Colonel-General of the Russian Armed Forces Lieutenant General, Chief of the GRU of the Russian General Staff Commander of the Russian Airborne Troops, Colonel-General Commander of Russia's Western Military District Officer of Russian special forces GRU, security advisor of Crimea’s Prime Minister Militia warlord in Donetsk A high-ranked officer of Russian special forces GRU Commander of the Russian troops deployed on the ground in Crimea Commander of the Russian Black Sea Fleet

Journalists 133

Businessmen 134 135 136 137 138 139 140 141

Russian investor Co-owner and member of the board of directors of the “SMP Bank” Co-owner and member of the board of directors of the “SMP Bank”

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Page 7 of 11

№ 142

US sanctions

EU sanctions

Canadian Sanctions

Yes

No

No

Russian private bank, chaired by Yury Kovalchuk

Yes

No

Yes

Armed separatist group

No

Yes

No

Navy weapons research institute

No

No

Yes

Russian air-defense and missile-defense weapons producer

Yes

Yes

Yes

Mineral water producer

Yes

No

Yes

Yes

No

Yes

Yes

No

Yes

No

Yes

No

Russian bank

Yes

No

Yes

Crimean state oil and gas company

Yes

Yes

No

Leasing company

Yes

No

Yes

Airline

No

Yes

Yes

Russian weapons producer

Yes

No

Yes

Armed separatist group

No

Yes

No

Self-proclaimed state

Yes

Yes

No

Weapons development and production company

Yes

No

Yes

Russian bank

No

No

Yes

A company confiscated by Crimean 'authorities'

Yes

Yes

No

Russian bank

Yes

Yes

Yes

Russian gas company

Yes

No

No

Russian Oil company

Yes

Yes

No

A union of Cossack organizations

No

Yes

No

Russian private bank

Yes

No

Yes

Russian weapons producer

Yes

No

Yes

Name and Russian spelling YAKUNIN, Vladimir Ivanovich ЯКУНИН, Владимир Иванович

Position/function President of the Russian State Railways company “RZhD” Legal Entities

143 144

145

146

147

148 149 150 151 152 153 154

155

156 157

158

159 160 161 162

163

164 165 166

AKTSIONERNY BANK ROSSIYA OAO АКЦИОНЕРНЫЙ БАНК РОССИЯ ОАО ARMY OF THE SOUTHEAST АРМИИ ЮГО-ВОСТОКА MARINE SCIENTIFIC RESEARCH INSTITUTE OF RADIOELECTRONICS “ALTAIR“ МОРСКОЙ НАУЧНО-ИССЛЕДОВАТЕЛЬСКИЙ ИНСТИТУТ РАДИОЭЛЕКТРОНИКИ «АЛЬТАИР» JSC ALMAZ-ANTEI ОАО КОНЦЕРН АЛМАЗ-АНТЕЙ AQUANIKA LLC aka RUSSKOYE VREMYA LLC АКВАНИКА ООО, или РУССКОЕ ВРЕМЯ ООО AVIA GROUP LLC АВИА ГРУП ООО AVIA GROUP NORD LLC АВИА ГРУП НОРД ООО AZOV DISTELLERY PLANT АЗОВСКИЙ ЛИКЕРОВОДОЧНЫЙ ЗАВОД BANK OF MOSCOW БАНК МОСКВЫ CHERNOMORNEFTEGAZ GAO ЧЕРНОМОРНЕФТЕГАЗ ГАО CJSC ZEST, aka ZEST LEASING ГК «ЗЕСТ» DOBROLET ДОБРОЛЕТ DOLGOPRUDNENSKOYE NPP OAO aka OJSC DOLGOPRUDNY RESEARCH PRODUCTION ENTERPRISE (DNPP) OAO ДОЛГОПРУДНЕНСКОЕ НАУЧНОПРОИЗВОДСТВЕННОЕ ПРЕДПРИЯТИЕ DONBASS PEOPLE’S MILITIA НАРОДНОЕ ОПОЛЧЕНИЕ ДОНБАССА DONETSK PEOPLE’S REPUBLIC ДОНЕЦКАЯ НАРОДНАЯ РЕСПУБЛИКА FEDERAL STATE UNITARY ENTERPRISE STATE RESEARCH AND PRODUCTION ENTERPRISE BAZALT ОАО НПО БАЗАЛЬТ EXPOBANK LLC ЭКСПОБАНК ООО FEODOSIA ФЕОДОСИЯ JSC GAZPROMBANK ОАО ГАЗПРОМБАНК OAO GAZPROM ОАО ГАЗПРОМ GAZPROM NEFT (aka SIBIRSKAYA NEFTYANAYA KOMPANIYA) ОАО ГАЗПРОМНЕФТЬ (также СИБИРСКАЯ НЕФТЯНАЯ КОМПАНИЯ) GREAT DON ARMY ВСЕВЕЛИКОЕ ВОЙСКО ДОНСКОЕ INVESTCAPITALBANK ИНВЕСТКАПИТАЛБАНК, ОАО KALASHNIKOV CONCERN КОНЦЕРН КАЛАШНИКОВ

Service company at the Sheremetyevo Airport Moscow Service company at the Pulkovo Airport Petersburg The ownership of the entity was transferred contrary to the Ukrainian law

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Page 8 of 11

№

167

168 169 170

171

172

173 174

175

176

177

178

179 180 181

182

183

184 185 186 187

US sanctions

EU sanctions

Canadian Sanctions

Yes

No

Yes

No

Yes

No

No

Yes

No

Russian oil company

Yes

No

No

Russian weapons producer

Yes

No

No

Russian weapons producer

Yes

No

Yes

Militia in Luhansk

No

Yes

No

Self-proclaimed state

Yes

Yes

No

The ownership of the entity was transferred contrary to the Ukrainian law

No

Yes

No

Producer of weapons, agricultural vehicles, solar panels

Yes

No

Yes

Russian weapons producer

Yes

No

Yes

Russian weapons producer

Yes

No

Yes

Self-proclaimed so called state

No

Yes

No

Russian investment company

Yes

No

Yes

Russian defense sector corporation

No

Yes

No

Weapons development and production company

Yes

No

Yes

Russian ship-building company (mostly naval vessels)

Yes

No

Yes

Russia’s biggest oil company

Yes

Yes

No

Russian hightech company

Yes

No

No

Russian bank

Yes

Yes

Yes

Russian bank

No

Yes

Yes

Name and Russian spelling JSC KALININ MACHINE PLANT aka MASHINOSTROITELNYI ZAVOD IM. KALININA ОАО МАШИНОСТРОИТЕЛЬНЫЙ ЗАВОД ИМ. М.И. КАЛИНИНА KERCH COMMERCIAL SEAPORT КЕРЧЕНСКИЙ МОРСКОЙ ТОРГОВЫЙ ПОРТ KERCH FERRY КЕРЧЕНСКАЯ ПАРОМНАЯ ПЕРЕПРАВА OAO LUKOIL ОАО ЛУКОЙЛ KONSTRUKTORSKOE BURO MASCHINOSTROENIA КОНСТРУКТОРСКОЕ БЮРО МАШИНОСТРОЕНИЯ KONSTRUKTORSKOE BURO PRIBOROSTROENIYA (KBP) aka INSTRUMENT DESIGN BUREAU КОНСТРУКТОРСКОЕ БЮРО ПРИБОРОСТРОЕНИЯ (КБП) LUHANSK GUARD ЛУГАНСКАЯ ГВАРДИЯ LUHANSK PEOPLE’S REPUBLIC ЛУГАНСКАЯ НАРОДНАЯ РЕСПУБЛИКА NATIONAL ASSOCIATION OF PRODUCERS MASSANDRA НАЦИОНАЛЬНОЕ ПРОИЗВОДСТВЕННОАГРАРНОЕ ОБЪЕДИНЕНИЕ МАССАНДРА JSC NPO MASHINOSTROYENIA ОАО НПО МАШИНОСТРОЕНИЯ JSC MYTISHCHINSKI MACHINEBUILDINGPLANT aka MITISCHINSKII MACHINEBUILDING PLANT OAO (MMZ) ОАО МЫТИЩИНСКИЙ МАШИНОСТРОИТЕЛЬНЫЙ ЗАВОД JSC TIKHOMIROV SCIENTIFIC RESEARCH INSTITUTE OF INSTRUMENT DESIGN aka JSC NIIP ОАО НАУЧНО-ИССЛЕДОВАТЕЛЬСКИЙ ИНСТИТУТ ПРИБОРОСТРОЕНИЯ ИМЕНИ В.В. ТИХОМИРОВА NOVOROSSIYA FEDERAL STATE ФЕДЕРАТИВНОЕ ГОСУДАРСТВО НОВОРОССИЯ JSC NOVATEK ОАО НОВАТЕК OPK OBORONPROM ОПК ОБОРОНПРОМ JSC CONCERN RADIO-ELECTRONIC TECHNOLOGIES (KRET) ОАО КОНЦЕРН РАДИОЭЛЕКТРОННЫЕ ТЕХНОЛОГИИ КРЭТ OBEDINENNAYA SUDOSTROITELNAYA KORPORATIA ОБЪЕДИНЕННАЯ СУДОСТРОИТЕЛЬНАЯ КОРПОРАЦИЯ JSC ROSNEFT ОАО РОСНЕФТЬ ROSTEC STATE CORPORATION РОСТЕХНОЛОГИИ RUSSIAN AGRICULTURAL BANK РОССЕЛЬХОЗБАНК RUSSIAN NATIONAL COMMERCIAL BANK РОССИЙСКИЙ НАЦИОНАЛЬНЫЙ КОММЕРЧЕСКИЙ БАНК

Position/function

Russian weapons producer The ownership of the entity was transferred contrary to the Ukrainian law The ownership of the entity was transferred contrary to the Ukrainian law

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Page 9 of 11

№ 188 189 190 191 192

193

194

195 196 197 198 199 200 201 202 203 204 205 206 207 208 209 210 211 212 213 214 215

US sanctions

EU sanctions

Canadian Sanctions

Russian bank

Yes

Yes

Yes

The ownership of the entity was transferred contrary to the Ukrainian law

No

Yes

No

Russian private bank

Yes

No

Yes

Paramilitary organization

No

Yes

No

Russian oil and gas company

Yes

No

No

The ownership of the entity was transferred contrary to the Ukrainian law

No

Yes

No

The ownership of the entity was transferred contrary to the Ukrainian law

No

Yes

No

Russian private bank

No

No

Yes

Pipeline company

Yes

No

Yes

Russian private bank

Yes

No

Yes

Weapons and communication systems development and production company

Yes

No

Yes

Pipeline construction company

Yes

No

Yes

Pipeline construction company

Yes

No

Yes

Pipeline construction company

Yes

No

Yes

Pipeline construction company

Yes

No

Yes

Pipeline construction company

Yes

No

Yes

Pipeline construction company

Yes

No

Yes

Investment company

Yes

No

Yes

The ownership of the entity was transferred contrary to the Ukrainian law

No

Yes

No

Pipeline company

Yes

Yes

No

Pipeline company

Yes

No

No

The ownership of the entity was transferred contrary to the Ukrainian law

No

Yes

No

Russian plane manufacture ring holding

No

Yes

No

Weapons and vehicles producer

Yes

Yes

No

Russian bank

Yes

Yes

Yes

Russian bank

Yes

Yes

Yes

Armed separatist group

No

Yes

No

Investment company, registered in Luxembourg

Yes

No

Yes

Name and Russian spelling SBERBANK СБЕРБАНК SEVASTOPOL COMMERCIAL SEAPORT СЕВАСТОПОЛЬСКИЙ МОРСКОЙ ТОРГОВЫЙ ПОРТ JSB SOBINBANK СОБИБАНК ОАО SOBOL СОБОЛЬ OAO SURGUTNEFTEGAZ ОАО СУРГУТНЕФТЕГАЗ STATE ENTERPRISE FACTORY OF SPARKLING WINE NOVY SVET ГОСУДАРСТВЕННОЕ ПРЕДПРИЯТИЕ ЗАВОД ШАМПАНСКИХ ВИН НОВЫЙ СВЕТ STATE ENTERPRISE MAGARACH OF THE NATIONAL INSTITUTE OF WINE ГОСУДАРСТВЕННОЕ ПРЕДПРИЯТИЕ АГРОФИРМА МАГАРАЧ НАЦИОНАЛЬНОГО ИНСТИТУТА ВИНОГРАДА И ВИНА ROSENERGOBANK CLOSED JSC РОСЭКОНОМБАНК (ЗАО) SAKHATRANS LLC САХАТРАНС ООО SMP BANK СМП БАНК, ОАО JSC CONCERN SOZVEZDIE ОАО КОНЦЕРН СОЗВЕЗДИЕ STROYGAZMONTAZH СТРОЙГАЗМОНТАЖ ООО STROYTRANSGAZ GROUP ГРУППА СТРОЙТРАНСГАЗ STROYTRANSGAZ HOLDING ХОЛДИНГ СТРОЙТРАНСГАЗ STROYTRANSGAZ LLC СТРОЙСТРАНСГАЗ ООО STROYTRANSGAZ OJSC СТРОЙТРАНСГАЗ ОАО STROYTRANSGAZ-M LLC СТРОЙТРАНСГАЗ-М ООО THE LIMITED LLC IC ABROS ООО ИК АБРОС NIZHNYAYA OREADNA RESORT САНАТОРИЙ НИЖНЯЯ ОРЕАДНА TRANSNEFT ОАО АК ТРАНСНЕФТЬ TRANSOIL LLC ТРАНСОЙЛ ООО UNIVERSAL-AVIA УНИВЕРСАЛ-АВИА UNITED AIRCRAFT CORPORATION ОАО ОБЪЕДИНЕННАЯ АВИАСТРОИТЕЛЬНАЯ КОРПОРАЦИЯ URALVAGONZAVOD УРАЛВАГОНЗАВОД VNESHEKONOMBANK ВНЕШЭКОНОМБАНК VTB (VNESHTORGBANK) ВНЕШТОРГБАНК (ВТБ) VOSTOK BATTALION БАТАЛЬОН ВОСТОК VOLGA GROUP ВОЛГА ГРУП

Position/function

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Page 10 of 11

Legal Entities banned from dual use goods/technologies purchasing from the European Union 1 2 3 4 5 6 7 8 9

JSC Sirius ОАО СИРИУС OJSC Stankoinstrument ОАО СТАНКОИНСТРУМЕНТ OAO JSC Chemcomposite ОАО ХИМКОМПОЗИТ JSC Kalashnikov ОАО КАЛАШНИКОВ JSC Tula Arms Plant ОАО ТУЛЬСКИЙ ОРУЖЕЙНЫЙ ЗАВОД NPK Technologii Maschinostrojenija НПК ТЕХНОЛОГИИ МАШИНОСТРОЕНИЯ OAO Wysokototschnye Kompleksi ОАО ВЫСОКОТЕХНОЛОГИЧНЫЕ КОМПЛЕКСЫ OAO Almaz Antey ОАО АЛМАЗ АНТЕЙ OAO NPO Bazalt ОАО НПО БАЗАЛЬТ

RUSSIA CONSULTING ul. Bakhrushina 32/1, 115054 Moscow, Russia Phone: +7 / 495 / 956 55 57; +49 / (0)40 / 226 33 760 [email protected] www.russia-consulting.eu

Optoelectronics for civil and military purposes Mechanical engineering for civil and military purposes Materials for civil and military purposes Small arms producer Weapons systems Ammunition Anti-aircraft and anti-tank systems State-owned enterprise; arms, ammunition, research State-owned enterprise, production of machinery for the production of arms and ammunition

Page 11 of 11