美国对俄罗斯金融制裁的法律机制与法律挑战  

Legal Mechanisms and Legal Challenges in U.S.Financial Sanctions against Russia

作　　者：李姝娟 韩爽 Li Shujuan;Han Shuang

机构地区：[1]辽宁大学法学院金融安全与法治研究中心 [2]北京联合大学商务学院

出　　处：《俄罗斯东欧中亚研究》2024年第1期41-67,163,164,共29页Russian，East European & Central Asian Studies

基　　金：教育部项目“俄罗斯产业结构演进与经济增长研究”(13JJD810005)的阶段性研究成果。

摘　　要：2022年俄乌冲突爆发后,美国联合西方国家对俄罗斯实施了史无前例的大规模、多层次的金融制裁,金融制裁正在成为大国博弈的重要战略武器,被美国用于遏制目标对手发展和维护自身霸权地位,使美国从其宣称的金融秩序维护者变为金融危机制造者。此次对俄金融制裁全面升级表现出了金融制裁发展的新趋向,即在综合使用多种制裁手段的同时强化排斥性制裁手段,通过定向扩大制裁范围实现精准打击,重点使用多主体协同制裁来提升制裁效果。美国对俄罗斯金融制裁的演变进程,反映了美国金融制裁法律的有效实施机制,即以“长臂管辖”原则为基础制定一系列具有域外效力的金融制裁法律,构建层次化法律法规体系,同时建立多维度金融制裁执法路径,从多国联合执法、国内法域外适用和迫使第三方主动遵守三个层面全面保障金融制裁法律的有效执行。然而美国对俄罗斯的金融制裁本身就具有国际法合法性争议,具体制裁措施中更是存在明显违背国际法基本原则、过度域外执法引发管辖权冲突等法律问题,这种金融制裁的滥用给现行国际法带来了诸多挑战。After the outbreak of the Russia-Ukraine conflict in 2022,the U.S.and western countries have imposed unprecedented large-scale and multi-level financial sanctions against Russia.Financial sanctions are becoming an important strategic weapon in the game of great powers.The comprehensive upgrade of financial sanctions against Russia demonstrates a new trend in the development of financial sanctions,which involves the comprehensive use of multiple sanctions while strengthening exclusionary sanctions,achieving precise strikes through targeted expansion of the scope of sanctions,and focusing on the use of multi-party collaboration to enhance the effectiveness of sanctions.The evolution of American financial sanctions against Russia reflects the legal mechanism for the effective implementation of American financial sanctions laws,that is,to formulate a series of financial sanctions laws with extraterritorial effect based on the principle of"long-arm jurisdiction",build a hierarchical system of laws and regulations,and establish a multi-dimensional law enforcement path for financial sanctions,so as to fully guarantee the effective implementation of financial sanctions laws from three aspects:joint enforcement by manyycountries,extraterritorial application of domestic laws and forcing third parties to take the initiative to abide by them.The financial sanctions imposed by the U.S.on Russia itself are controversial in the legality of international law,and there are even more legal problems in the specific sanctions,such as obvious violation of the basic principles of international law and excessive extraterritorial law enforcement leading to jurisdictional conflicts.The abuse of financial sanctions has brought many challenges to the current international law.

关 键 词：美国 俄罗斯 金融制裁 制裁法律机制 “长臂管辖权” 

分 类 号：D871.2[政治法律—政治学] D851.2[政治法律—外交学] D996.2