OFAC Compliance in a Securities Offering Checklist

The U.S. Treasury’s Office of Foreign Assets Control (OFAC) maintains sanctions programs against listed entities or entities that have engaged in sanctioned activities. These programs prohibit U.S. offerings or offerings involving U.S. persons from engaging in transactions with entities subject to sanctions. Use this checklist to help determine whether a given securities offering would be affected by OFAC sanctions.

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Related Content

• OFAC Due Diligence in Securities Offerings
  Understand the regulations, who is subject to OFAC’s jurisdiction, prohibited transactions, and more.

• OFAC Due Diligence Questions
  Use this template to collect necessary information in advance of an offering.

• OFAC Compliance Representation and Warranty
  Help an issuer represent that it is not subject to OFAC sanctions.

• OFAC Annual Blocked Property Report Checklist
  Report property subject to blocking sanctions, first after it becomes subject to sanctions, then on an annual basis

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