为何将投资公司列入最新一轮美BIS实体清单？

第744.11条：适用于违反美国国家安全或外交政策利益的实体的许可要求。

实体清单修订的标准。根据具体和明确的事实，有合理理由相信在具有高度转移风险的地址运营的交易实体或一方已经参与、正在参与或构成违反美国国家安全或外交政策利益的活动，或构成正在或将要参与违反美国国家安全或外交政策利益的活动以及代表此类实体行事的人的实体或在具有较高转移风险的地址开展业务，可能会根据本节添加到实体清单中。存在高转移风险的实体或地址可能会因某些可能超出其自身控制范围的情况而构成重大风险，或者在具有高度转移风险的地址的情况下，超出在存在高转移风险的地址运营的交易的某些方的控制范围。此类情况可能会使实体或地址具有较高的转移风险，包括涉及东道国政府机构持续缺乏合作的情况，例如，阻止进行最终用途检查，这实际上会阻止 BIS 确定是否符合EAR。本节不适用于将任何根据《出口管制条例》第772.1条定义的美国公民列入实体清单。本节第(b)(1)至(5)段提供了一系列可能构成或代表对美国国家安全或外交政策利益（包括保护全世界人权的外交政策利益）构成重大风险的活动示例。

(1) 支持从事恐怖活动的人员。

(2) 任何旨在增强已被国务卿认定为多次为国际恐怖主义行为提供支持的政府的军事能力或支持恐怖主义能力的行为。

(3) 以违反美国国家安全或外交政策利益的方式转让、开发、维护、修理或生产常规武器，或通过向此类活动提供部件、组件、技术或资金来促进此类转让、维护、修理、开发或生产。

§ 744.11 License requirements that apply to entities acting or at significant risk of acting contrary to the national security or foreign policy interests of the United States.

(b) Criteria for revising the Entity List. Entities for which there is reasonable cause to believe, based on specific and articulable facts, that the entity or party to the transaction that is operating at an address that presents a high diversion risk has been involved, is involved, or poses a significant risk of being or becoming involved in activities that are contrary to the national security or foreign policy interests of the United States and those acting on behalf of such entities or conducting operations at an address that presents a high diversion risk may be added to the Entity List pursuant to this section. An entity or address that presents a high diversion risk may pose a significant risk through certain circumstances that may be outside of its own control or in the case of addresses with high diversion risk, outside the control of certain parties to the transaction operating at such address that presents a high diversion risk. Such circumstances that may place an entity or address that presents a high diversion risk include situations involving a sustained lack of cooperation by a host government authority, for example, by preventing an end-use check from being conducted, that effectively prevents BIS from determining compliance with the EAR . This section may not be used to place any U.S. person, as defined in § 772.1 of the EAR , on the Entity List. Paragraphs (b)(1) through (5) of this section provide an illustrative list of activities that could be or represent a significant risk of being contrary to the national security or foreign policy interests of the United States, including the foreign policy interest of the protection of human rights throughout the world.

(1) Supporting persons engaged in acts of terror.

(2) Actions that could enhance the military capability of, or the ability to support terrorism of governments that have been designated by the Secretary of State as having repeatedly provided support for acts of international terrorism.

(3) Transferring, developing, servicing, repairing or producing conventional weapons in a manner that is contrary to United States national security or foreign policy interests or enabling such transfer, service, repair, development, or production by supplying parts, components, technology, or financing for such activity.