On March 31, 2025, the U.S. Department of State, pursuant to Executive Order 13936, announced sanctions against six senior officials from Mainland China and the Hong Kong Special Administrative Region. In its statement, the Department asserted that “Beijing and Hong Kong officials have used Hong Kong national security laws extraterritorially to intimidate, silence, and harass 19 pro-democracy activists who were forced to flee overseas, including a U.S. citizen and four other U.S. residents.” According to the 2024 Hong Kong Policy Act Report released on March 29, the U.S. government officially concluded that Hong Kong “no longer warrants treatment under U.S. law in a manner different from mainland China,” thereby triggering the suspension of differential treatment under Executive Order 13936, Section 1 and Section 201(b) of the U.S.-Hong Kong Policy Act.
This article provides a systematic legal analysis of the sanctions action, focusing on the applicable legal basis, distinctions in individual classifications, filing the petition and delisting procedures, and the right to access information under the Freedom of Information Act (FOIA).
I. Legal Basis and Distinctions #
Executive Order 13936 #
Signed on July 14, 2020, and titled “The President’s Executive Order on Hong Kong Normalization”, Executive Order 13936 authorizes the President and U.S. executive agencies to impose asset freezes and sanctions on individuals determined to be involved in the erosion of Hong Kong’s autonomy.
Section 4(a)(i) #
“…foreign persons determined to be or have been involved, directly or indirectly, in the coercing, arresting, detaining, or imprisoning of individuals under the authority of, or to be or have been responsible for or involved in developing, adopting, or implementing, the Law of the People’s Republic of China on Safeguarding National Security in the Hong Kong Special Administrative Region.”
Section 4(a)(iii)(A) #
“…foreign persons determined to be or have been a leader or official of an entity, including any government entity, that has engaged in, or whose members are or have been involved, directly or indirectly, in any of the activities described in subsection (a)(i).”
Although all six individuals are now designated on the SDN List (Specially Designated Nationals and Blocked Persons List), the applicable legal grounds and procedural treatment might differ among them, affecting their potential delisting (removal) pathways.
Paul Ting Kwok Lam, Secretary for Justice of Hong Kong, was designated under Section 4(a)(i);
Dong Jingwei (Senior Civil Servant – Regional Government as the Director for the Office for Safeguarding National Security of the Central People’s Republic in Hong Kong SAR), Raymond Chak Yee Siu (Police Commissioner of Hong Kong Police Force), Sonny Chi Kwong Au (State Agency Official as the Secretary-General for the Committee for Safeguarding National Security in Hong Kong SAR), Dick Chung Chun Wong (Assistant Commissioner of the Police, National Security and previously held the position of Director of the HKPF College), and Margaret Wing Lan Chiu(promoted to the rank of Assistant Commissioner of the HKPF in 2021 and took over the position of Assistant Commissioner of Police, National Security. CHIU was previously the Chief Superintendent, were designated under Section 4(a)(iii)(A).
Mr. Lam was sanctioned as a direct policy enforcer and implementing authority, whereas the other five were sanctioned as officials or members of institutions engaged in the relevant conduct, constituting derivative liability. This categorization might have significant implications for delisting eligibility.
II. Consequences of the Sanctions #
Pursuant to E.O. 13936： #
“All property and interests in property that are in the United States, that hereafter come within the United States, or that are or hereafter come within the possession or control of any United States person…are blocked and may not be transferred, paid, exported, withdrawn, or otherwise dealt in.”
- Asset Freezing:
All property and property interests within U.S. jurisdiction or under the control of U.S. persons are immediately blocked. - Transaction Prohibition:
U.S. persons are prohibited from engaging, directly or indirectly, in any economic, service-based, or financial transactions with designated individuals. - 50 Percent Rule:
Any entity in which a designated individual directly or indirectly owns 50% or more is also considered blocked under OFAC rules.
III. Filing a Petition for Removal from the List #
Pursuant to 31 C.F.R. § 501.807, any person designated on the SDN List may file a Petition for Removal requesting OFAC to reconsider the listing decision. Each year, OFAC removes numerous individuals and entities from the SDN List based on a thorough review by OFAC.
1. Requirements: #
The submission should include: #
- Full name and contact details of the listed person;
- The date of the relevant OFAC listing action
- Valid identification documents;
- A request for the reconsideration of OFAC’s determination, including a detailed description of why the listed person should be removed
Grounds for removal may include: #
- Positive change in behavior;
- Mistaken identity;
- The basis for the designation no longer exists;
- Death of the person
2. Submission Method: #
Email: OFAC.Reconsideration@treasury.gov
Submissions via phone or verbal communication are not accepted.
3. Review Timeline: #
OFAC typically acknowledges receipt within 7 business days;
The first supplemental questionnaire is generally issued within 90 days;
Additional rounds of inquiry and document requests may follow;
The entire review process varies depending on the complexity of the case.
IV. Special Procedures for State Department-Led Sanctions #
If the designation is based on legal authority delegated to the U.S. Department of State (such as in the case of Paul Ting Kwok Lam), the initial petition must still be submitted to OFAC, but the Department of State serves as the adjudicating authority.
Key features of the process:
- Petitions must be submitted to OFAC, which will assign a case number and forward the file to the State Department;
- The State Department will send a formal acknowledgment to the petitioner and conduct an independent substantive review;
- The standards applied are consistent with Treasury’s policies, but may also involve heightened political and diplomatic considerations.
V. Accessing Sanctions Information under FOIA #
Under the Freedom of Information Act (FOIA), 5 U.S.C. § 552, petitioners may request non-classified records underlying their designation from the Department of the Treasury or the Department of State.
Key FOIA Provisions: #
- § 552(a)(3)(A) – Public right to access records:
- “…each agency…shall make the records promptly available to any person.”
- § 552(b) – Nine exemptions, including:
- (b)(1) – National security classified information
- (b)(4) – Trade secrets and commercial information
- (b)(7) – Law enforcement records
- § 552(a)(6)(A) – Response time：
- “…shall determine within 20 days…whether to comply with such request…”
If the listed person seeks specific documentation regarding the basis for their inclusion on the SDN List, they may submit a FOIA request or email OFAC.Reconsideration@treasury.gov. Non-public portions may be redacted or withheld in accordance with applicable exemptions.
This article is for informational purposes only and does not constitute legal advice. For case-specific consultation, please contact us. Read our full Legal Disclaimer, which also includes information on translation accuracy.
