Compliance and International Sanction Regimes

Arbitration

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Dispute resolution proceedings may be subject to sanction regulations. The DIS has established a Compliance system for arbitration proceedings, which addresses adherence to sanction regimes.

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:

Measures / Consequences

In order to comply with international sanctions, the DIS conducts investigations in accordance with internal Compliance Guidelines. This may result in additional administrative measures, which may cause delay.

In the context of dispute resolution proceedings, this applies in particular, if:

  • sanctions have been imposed on a party; or
  • sanctions have been imposed on related entities and individuals; or
  • the subject matter of the dispute falls within the scope of a sanctions regime; or
  • parties or related entities and individuals are citizens or residents of a country subject to a sanctions regime; or
  • an arbitrator, mediator, expert or other neutral is a citizen of a country subject to a sanctions regime.

Please also note that commercial banks may refuse to make and/or receive payments.

Furthermore, we refer to Articles 44.2 and 45.2 of the 2018 DIS Arbitration Rules.

Contact person

If you have any questions on the subject of Compliance, you are invited to contact Mr Andreas Laupp, Senior Counsel. He can be reached by telephone (direct line +49 228 39 18 15 455) or by e‑mail at compliance(at)no_spamdisarb.org.

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