# L_2017295EN.01002101.xml

| 14.11.2017 | EN | Official Journal of the European Union | L 295/21 |
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14.11.2017

EN

Official Journal of the European Union

L 295/21

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COUNCIL REGULATION (EU) 2017/2063

of 13 November 2017

concerning restrictive measures in view of the situation in Venezuela

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 215 thereof,

Having regard to Council Decision (CFSP) 2017/2074 of 13 November 2017 concerning restrictive measures in view of the situation in Venezuela (1),

Having regard to the joint proposal from the High Representative of the Union for Foreign Affairs and Security Policy and the Commission,

Whereas:

| (1) | In view of the continuing deterioration of democracy, the rule of law and human rights in Venezuela, the Union has repeatedly expressed concern and called on all Venezuelan political actors and institutions to work in a constructive manner towards a solution to the crisis in the country while fully respecting the rule of law and human rights, democratic institutions and the separation of powers. |
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(1)

In view of the continuing deterioration of democracy, the rule of law and human rights in Venezuela, the Union has repeatedly expressed concern and called on all Venezuelan political actors and institutions to work in a constructive manner towards a solution to the crisis in the country while fully respecting the rule of law and human rights, democratic institutions and the separation of powers.

| (2) | On 13 November 2017, the Council adopted Decision (CFSP) 2017/2074, providing for, inter alia, a ban on the export of arms and equipment which might be used for internal repression, a ban on the export of surveillance equipment and the freezing of funds and economic resources of certain persons, entities and bodies responsible for serious human rights violations or abuses or the repression of civil society and democratic opposition and persons, entities and bodies whose actions, policies or activities otherwise undermine democracy or the rule of law in Venezuela, as well as persons, entities and bodies associated with them. |
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(2)

On 13 November 2017, the Council adopted Decision (CFSP) 2017/2074, providing for, inter alia, a ban on the export of arms and equipment which might be used for internal repression, a ban on the export of surveillance equipment and the freezing of funds and economic resources of certain persons, entities and bodies responsible for serious human rights violations or abuses or the repression of civil society and democratic opposition and persons, entities and bodies whose actions, policies or activities otherwise undermine democracy or the rule of law in Venezuela, as well as persons, entities and bodies associated with them.

| (3) | Certain measures provided for in Decision (CFSP) 2017/2074 fall within the scope of the Treaty and therefore, with a view, in particular, to ensuring their uniform application by economic operators in all Member States, regulatory action at the level of the Union is necessary in order to implement them. |
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(3)

Certain measures provided for in Decision (CFSP) 2017/2074 fall within the scope of the Treaty and therefore, with a view, in particular, to ensuring their uniform application by economic operators in all Member States, regulatory action at the level of the Union is necessary in order to implement them.

| (4) | This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union, in particular the right to an effective remedy and a fair trial and the right to the protection of personal data. This Regulation should be applied in accordance with those rights. |
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(4)

This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union, in particular the right to an effective remedy and a fair trial and the right to the protection of personal data. This Regulation should be applied in accordance with those rights.

| (5) | The power to amend the lists in Annexes IV and V to this Regulation should be exercised by the Council in order to ensure consistency with the process for amending and reviewing Annexes I and II to Decision (CFSP) 2017/2074. |
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(5)

The power to amend the lists in Annexes IV and V to this Regulation should be exercised by the Council in order to ensure consistency with the process for amending and reviewing Annexes I and II to Decision (CFSP) 2017/2074.

| (6) | For the implementation of this Regulation, and in order to create maximum legal certainty within the Union, the names and other relevant data concerning natural and legal persons, entities and bodies whose funds and economic resources are to be frozen in accordance with this Regulation should be made public. Any processing of personal data should comply with Regulation (EC) No 45/2001 of the European Parliament and of the Council (2) and Directive 95/46/EC of the European Parliament and of the Council (3). |
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(6)

For the implementation of this Regulation, and in order to create maximum legal certainty within the Union, the names and other relevant data concerning natural and legal persons, entities and bodies whose funds and economic resources are to be frozen in accordance with this Regulation should be made public. Any processing of personal data should comply with Regulation (EC) No 45/2001 of the European Parliament and of the Council (2) and Directive 95/46/EC of the European Parliament and of the Council (3).

| (7) | Member States and the Commission should inform each other of the measures taken under this Regulation and of other relevant information at their disposal in connection with this Regulation. |
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(7)

Member States and the Commission should inform each other of the measures taken under this Regulation and of other relevant information at their disposal in connection with this Regulation.

| (8) | Member States should determine the penalties applicable to infringements of this Regulation. The penalties should be effective, proportionate and dissuasive. |
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(8)

Member States should determine the penalties applicable to infringements of this Regulation. The penalties should be effective, proportionate and dissuasive.

| (9) | In order to ensure that the measures provided for in this Regulation are effective, it should enter into force immediately, |
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(9)

In order to ensure that the measures provided for in this Regulation are effective, it should enter into force immediately,

HAS ADOPTED THIS REGULATION:

Article 1

For the purposes of this Regulation, the following definitions apply:

| (a) | ‘claim’ means any claim, whether asserted by legal proceedings or not, made before, on or after the date of entry into force of this Regulation, under or in connection with a contract or transaction, and includes in particular:






  (i) | a claim for performance of any obligation arising under or in connection with a contract or transaction; |
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(a)

‘claim’ means any claim, whether asserted by legal proceedings or not, made before, on or after the date of entry into force of this Regulation, under or in connection with a contract or transaction, and includes in particular:

(i)

a claim for performance of any obligation arising under or in connection with a contract or transaction;

| (ii) | a claim for extension or payment of a bond, financial guarantee or indemnity of whatever form; |
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(ii)

a claim for extension or payment of a bond, financial guarantee or indemnity of whatever form;

| (iii) | a claim for compensation in respect of a contract or transaction; |
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(iii)

a claim for compensation in respect of a contract or transaction;

| (iv) | a counterclaim; |
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(iv)

a counterclaim;

| (v) | a claim for the recognition or enforcement, including by the procedure of exequatur, of a judgment, an arbitration award or an equivalent decision, wherever made or given; |
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(v)

a claim for the recognition or enforcement, including by the procedure of exequatur, of a judgment, an arbitration award or an equivalent decision, wherever made or given;

| (b) | ‘contract or transaction’ means any transaction of whatever form and whatever the applicable law, whether comprising one or more contracts or similar obligations made between the same or different parties; for this purpose, ‘contract’ includes a bond, guarantee or indemnity, in particular a financial guarantee or financial indemnity, and credit, whether legally independent or not, as well as any related provision arising under, or in connection with, the transaction; |
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(b)

‘contract or transaction’ means any transaction of whatever form and whatever the applicable law, whether comprising one or more contracts or similar obligations made between the same or different parties; for this purpose, ‘contract’ includes a bond, guarantee or indemnity, in particular a financial guarantee or financial indemnity, and credit, whether legally independent or not, as well as any related provision arising under, or in connection with, the transaction;

| (c) | ‘competent authorities’ refers to the competent authorities of the Member States as identified on the websites listed in Annex III; |
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(c)

‘competent authorities’ refers to the competent authorities of the Member States as identified on the websites listed in Annex III;

| (d) | ‘economic resources’ means assets of every kind, whether tangible or intangible, movable or immovable, which are not funds, but may be used to obtain funds, goods or services; |
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(d)

‘economic resources’ means assets of every kind, whether tangible or intangible, movable or immovable, which are not funds, but may be used to obtain funds, goods or services;

| (e) | ‘freezing of economic resources’ means preventing the use of economic resources to obtain funds, goods or services in any way, including, but not limited to, by selling, hiring or mortgaging them; |
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(e)

‘freezing of economic resources’ means preventing the use of economic resources to obtain funds, goods or services in any way, including, but not limited to, by selling, hiring or mortgaging them;

| (f) | ‘freezing of funds’ means preventing any move, transfer, alteration or use of, access to, or dealing with funds in any way that would result in any change in their volume, amount, location, ownership, possession, character or destination or other change that would enable the funds to be used, including portfolio management; |
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(f)

‘freezing of funds’ means preventing any move, transfer, alteration or use of, access to, or dealing with funds in any way that would result in any change in their volume, amount, location, ownership, possession, character or destination or other change that would enable the funds to be used, including portfolio management;

| (g) | ‘funds’ means financial assets and benefits of every kind, including, but not limited to:






  (i) | cash, cheques, claims on money, drafts, money orders and other payment instruments; |
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(g)

‘funds’ means financial assets and benefits of every kind, including, but not limited to:

(i)

cash, cheques, claims on money, drafts, money orders and other payment instruments;

| (ii) | deposits with financial institutions or other entities, balances on accounts, debts and debt obligations; |
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(ii)

deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;

| (iii) | publicly and privately traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts; |
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(iii)

publicly and privately traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts;

| (iv) | interest, dividends or other income on or value accruing from or generated by assets; |
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(iv)

interest, dividends or other income on or value accruing from or generated by assets;

| (v) | credit, right of set-off, guarantees, performance bonds or other financial commitments; |
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(v)

credit, right of set-off, guarantees, performance bonds or other financial commitments;

| (vi) | letters of credit, bills of lading, bills of sale; and |
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(vi)

letters of credit, bills of lading, bills of sale; and

| (vii) | documents showing evidence of an interest in funds or financial resources; |
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(vii)

documents showing evidence of an interest in funds or financial resources;

| (h) | ‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills, or consulting services, including verbal forms of assistance; |
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(h)

‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills, or consulting services, including verbal forms of assistance;

| (i) | ‘brokering services’ means:






  (i) | the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology or financial and technical services from a third country to any other third country, or |
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(i)

‘brokering services’ means:

(i)

the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology or financial and technical services from a third country to any other third country, or

| (ii) | the selling or buying of goods and technology or financial and technical services that are located in a third country for their transfer to another third country; |
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(ii)

the selling or buying of goods and technology or financial and technical services that are located in a third country for their transfer to another third country;

| (j) | ‘territory of the Union’ means the territories of the Member States to which the Treaty is applicable, under the conditions laid down in the Treaty, including their airspace. |
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(j)

‘territory of the Union’ means the territories of the Member States to which the Treaty is applicable, under the conditions laid down in the Treaty, including their airspace.

Article 2

1.   It shall be prohibited:

| (a) | to provide, directly or indirectly, technical assistance, brokering services and other services related to the goods and technology listed in the EU Common List of Military Equipment (‘the Common Military List’) and to the provision, manufacture, maintenance and use of goods and technology listed in the Common Military List to any natural or legal person, entity or body in, or for use in, Venezuela; |
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(a)

to provide, directly or indirectly, technical assistance, brokering services and other services related to the goods and technology listed in the EU Common List of Military Equipment (‘the Common Military List’) and to the provision, manufacture, maintenance and use of goods and technology listed in the Common Military List to any natural or legal person, entity or body in, or for use in, Venezuela;

| (b) | to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in the Common Military List, including in particular grants, loans and export credit insurance, as well as insurance and reinsurance, for any sale, supply, transfer or export of such items, or for the provision of related technical assistance, brokering services and other services, directly or indirectly to any person, entity or body in, or for use in, Venezuela. |
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(b)

to provide, directly or indirectly, financing or financial assistance related to the goods and technology listed in the Common Military List, including in particular grants, loans and export credit insurance, as well as insurance and reinsurance, for any sale, supply, transfer or export of such items, or for the provision of related technical assistance, brokering services and other services, directly or indirectly to any person, entity or body in, or for use in, Venezuela.

2.   The prohibition in paragraph 1 shall not apply to the execution of contracts concluded before 13 November 2017 or to ancillary contracts necessary for the execution of such contracts, provided that they comply with Council Common Position 2008/944/CFSP (4), in particular with the criteria set out in Article 2 thereof and that the natural or legal persons, entities or bodies seeking to perform the contract have notified the contract to the competent authority of the Member State in which they are established within 5 working days of the entry into force of this Regulation.

Article 3

It shall be prohibited:

| (a) | to sell, supply, transfer or export, directly or indirectly, equipment which might be used for internal repression as listed in Annex I, whether or not originating in the Union, to any natural or legal person, entity or body in, or for use in, Venezuela; |
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(a)

to sell, supply, transfer or export, directly or indirectly, equipment which might be used for internal repression as listed in Annex I, whether or not originating in the Union, to any natural or legal person, entity or body in, or for use in, Venezuela;

| (b) | to provide technical assistance and brokering and other services related to the equipment referred to in point (a), directly or indirectly to any natural or legal person, entity or body in, or for use in, Venezuela; |
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(b)

to provide technical assistance and brokering and other services related to the equipment referred to in point (a), directly or indirectly to any natural or legal person, entity or body in, or for use in, Venezuela;

| (c) | to provide financing or financial assistance, including in particular grants, loans and export credit insurance, as well as insurance and reinsurance, related to the equipment referred to in point (a), directly or indirectly to any natural or legal person, entity or body in, or for use in, Venezuela. |
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(c)

to provide financing or financial assistance, including in particular grants, loans and export credit insurance, as well as insurance and reinsurance, related to the equipment referred to in point (a), directly or indirectly to any natural or legal person, entity or body in, or for use in, Venezuela.

Article 4

1.   By way of derogation from Articles 2 and 3, the competent authorities of Member States as listed in Annex III may authorise, under such conditions as they deem appropriate:

| (a) | the provision of financing and financial assistance and technical assistance related to:






  (i) | non-lethal military equipment intended solely for humanitarian or protective use, or for institution-building programmes of the United Nations (UN) and the Union or its Member States or of regional and sub-regional organisations; |
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(a)

the provision of financing and financial assistance and technical assistance related to:

(i)

non-lethal military equipment intended solely for humanitarian or protective use, or for institution-building programmes of the United Nations (UN) and the Union or its Member States or of regional and sub-regional organisations;

| (ii) | material intended for crisis-management operations of the UN and the Union or of regional and sub-regional organisations; |
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(ii)

material intended for crisis-management operations of the UN and the Union or of regional and sub-regional organisations;

| (b) | the sale, supply, transfer or export of equipment which might be used for internal repression and associated financing and financial and technical assistance, intended solely for humanitarian or protective use or for institution-building programmes of the UN or the Union, or for crisis-management operations of the UN and the Union or of regional and subregional organisations; |
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(b)

the sale, supply, transfer or export of equipment which might be used for internal repression and associated financing and financial and technical assistance, intended solely for humanitarian or protective use or for institution-building programmes of the UN or the Union, or for crisis-management operations of the UN and the Union or of regional and subregional organisations;

| (c) | the sale, supply, transfer or export of demining equipment and materiel for use in demining operations and associated financing and financial and technical assistance. |
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(c)

the sale, supply, transfer or export of demining equipment and materiel for use in demining operations and associated financing and financial and technical assistance.

2.   Authorisations referred to in paragraph 1 may be granted only prior to the activity for which they are requested.

Article 5

Articles 2 and 3 shall not apply to protective clothing, including flak jackets and military helmets, temporarily exported to Venezuela by UN personnel, personnel of the Union or its Member States, representatives of the media, and humanitarian and development workers and associated personnel for their personal use only.

Article 6

1.   It shall be prohibited to sell, supply, transfer or export, directly or indirectly, equipment, technology or software identified in Annex II, whether or not originating in the Union, to any person, entity or body in Venezuela or for use in Venezuela, unless the competent authority of the relevant Member State, as identified on the websites listed in Annex III, has given prior authorisation.

2.   The competent authorities of the Member States, as identified on the websites listed in Annex III, shall not grant any authorisation under paragraph 1 if they have reasonable grounds to determine that the equipment, technology or software in question would be used for internal repression by Venezuela's government, public bodies, corporations or agencies, or any person or entity acting on their behalf or at their direction.

3.   Annex II shall include equipment, technology or software intended primarily for use in the monitoring or interception of internet or telephone communications.

4.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under this Article, within four weeks of the authorisation.

Article 7

1.   Unless the competent authority of the relevant Member State, as identified on the websites listed in Annex III, has given prior authorisation in accordance with Article 6(2), it shall be prohibited:

| (a) | to provide, directly or indirectly, technical assistance or brokering services related to the equipment, technology and software identified in Annex II, or related to the installation, provision, manufacture, maintenance and use of the equipment and technology identified in Annex II or to the provision, installation, operation or updating of any software identified in Annex II, to any person, entity or body in Venezuela or for use in Venezuela; |
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(a)

to provide, directly or indirectly, technical assistance or brokering services related to the equipment, technology and software identified in Annex II, or related to the installation, provision, manufacture, maintenance and use of the equipment and technology identified in Annex II or to the provision, installation, operation or updating of any software identified in Annex II, to any person, entity or body in Venezuela or for use in Venezuela;

| (b) | to provide, directly or indirectly, financing or financial assistance related to the equipment, technology and software identified in Annex II to any person, entity or body in Venezuela or for use in Venezuela; |
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(b)

to provide, directly or indirectly, financing or financial assistance related to the equipment, technology and software identified in Annex II to any person, entity or body in Venezuela or for use in Venezuela;

| (c) | to provide any telecommunication or internet monitoring or interception services of any kind to, or for the direct or indirect benefit of, Venezuela's government, public bodies, corporations and agencies or any person or entity acting on their behalf or at their direction. |
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(c)

to provide any telecommunication or internet monitoring or interception services of any kind to, or for the direct or indirect benefit of, Venezuela's government, public bodies, corporations and agencies or any person or entity acting on their behalf or at their direction.

2.   For the purposes of point (c) of paragraph 1, ‘telecommunication or internet monitoring or interception services’ means those services that provide, in particular using equipment, technology or software as identified in Annex II, access to and delivery of a subject's incoming and outgoing telecommunications and call- associated data for the purpose of its extraction, decoding, recording, processing, analysis or storing, or any other related activity.

Article 8

1.   All funds and economic resources belonging to or owned, held or controlled by any natural or legal person, entity or body listed in Annexes IV and V shall be frozen.

2.   No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of natural or legal persons, entities or bodies listed in Annexes IV and V.

3.   Annex IV shall include:

| (a) | natural or legal persons, entities and bodies responsible for serious human rights violations or abuses or the repression of civil society and democratic opposition in Venezuela; |
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(a)

natural or legal persons, entities and bodies responsible for serious human rights violations or abuses or the repression of civil society and democratic opposition in Venezuela;

| (b) | natural or legal persons, entities and bodies whose actions, policies or activities otherwise undermine democracy or the rule of law in Venezuela. |
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(b)

natural or legal persons, entities and bodies whose actions, policies or activities otherwise undermine democracy or the rule of law in Venezuela.

4.   Annex V shall include natural or legal persons, entities and bodies associated with the persons and entities referred to in paragraph 3.

5.   Annexes IV and V shall include the grounds for the listing of the persons, entities and bodies concerned.

6.   Annexes IV and V shall also include, where available, information necessary to identify the natural or legal persons, entities and bodies concerned. With regard to natural persons, such information may include names including aliases, date and place of birth, nationality, passport and ID card numbers, gender, address, if known, and function or profession. With regard to legal persons, entities and bodies, such information may include names, place and date of registration, registration number and place of business.

Article 9

1.   By way of derogation from Article 8, the competent authorities of the Member States as identified on the websites listed in Annex III, may authorise the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, under such conditions as they deem appropriate, after having determined that the funds or economic resources are:

| (a) | necessary to satisfy the basic needs of natural and legal persons listed in Annex IV or V, and dependent family members of such natural persons, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums and public utility charges; |
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(a)

necessary to satisfy the basic needs of natural and legal persons listed in Annex IV or V, and dependent family members of such natural persons, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums and public utility charges;

| (b) | intended exclusively for payment of reasonable professional fees or reimbursement of incurred expenses associated with the provision of legal services; |
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(b)

intended exclusively for payment of reasonable professional fees or reimbursement of incurred expenses associated with the provision of legal services;

| (c) | intended exclusively for payment of fees or service charges for routine holding or maintenance of frozen funds or economic resources; |
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(c)

intended exclusively for payment of fees or service charges for routine holding or maintenance of frozen funds or economic resources;

| (d) | necessary for extraordinary expenses, provided that the relevant competent authority has notified the grounds on which it considers that a specific authorisation should be granted to the competent authorities of the other Member States and to the Commission at least two weeks prior to authorisation; or |
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(d)

necessary for extraordinary expenses, provided that the relevant competent authority has notified the grounds on which it considers that a specific authorisation should be granted to the competent authorities of the other Member States and to the Commission at least two weeks prior to authorisation; or

| (e) | to be paid into or from an account of a diplomatic or consular mission or an international organisation enjoying immunities in accordance with international law, insofar as such payments are intended to be used for official purposes of the diplomatic or consular mission or international organisation. |
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(e)

to be paid into or from an account of a diplomatic or consular mission or an international organisation enjoying immunities in accordance with international law, insofar as such payments are intended to be used for official purposes of the diplomatic or consular mission or international organisation.

2.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1.

Article 10

1.   By way of derogation from Article 8, the competent authorities in the Member States as identified on the websites listed in Annex III, may authorise the release of certain frozen funds or economic resources if the following conditions are met:

| (a) | the funds or economic resources are subject to an arbitral decision rendered prior to the date on which the natural or legal person, entity or body referred to in Article 8 was included in Annex IV or V, or of a judicial or administrative decision rendered in the Union, or a judicial decision enforceable in the Member State concerned, prior to, on or after that date; |
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(a)

the funds or economic resources are subject to an arbitral decision rendered prior to the date on which the natural or legal person, entity or body referred to in Article 8 was included in Annex IV or V, or of a judicial or administrative decision rendered in the Union, or a judicial decision enforceable in the Member State concerned, prior to, on or after that date;

| (b) | the funds or economic resources will be used exclusively to satisfy claims secured by such a decision or recognised as valid in such a decision, within the limits set by applicable laws and regulations governing the rights of persons having such claims; |
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(b)

the funds or economic resources will be used exclusively to satisfy claims secured by such a decision or recognised as valid in such a decision, within the limits set by applicable laws and regulations governing the rights of persons having such claims;

| (c) | the decision is not for the benefit of a natural or legal person, entity or body listed in Annex IV or V; and |
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(c)

the decision is not for the benefit of a natural or legal person, entity or body listed in Annex IV or V; and

| (d) | recognising the decision is not contrary to public policy in the Member State concerned. |
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(d)

recognising the decision is not contrary to public policy in the Member State concerned.

2.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1.

Article 11

1.   By way of derogation from Article 8 and provided that a payment by a natural or legal person, entity or body listed in Annex IV or V is due under a contract or agreement that was concluded by, or an obligation that arose for, the natural or legal person, entity or body concerned before the date on which that natural or legal person, entity or body was included in Annex IV or V, the competent authorities of the Member States may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, provided that the competent authority concerned has determined that:

| (a) | the funds or economic resources are to be used for a payment by a natural or legal person, entity or body listed in Annex IV or V; |
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(a)

the funds or economic resources are to be used for a payment by a natural or legal person, entity or body listed in Annex IV or V;

| (b) | the payment is not in breach of Article 8(2) |
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(b)

the payment is not in breach of Article 8(2)

2.   The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under paragraph 1 within four weeks of the authorisation.

3.   Article 8(2) shall not prevent the crediting of the frozen accounts by financial or credit institutions that receive funds transferred by third parties to the account of a listed natural or legal person, entity or body, provided that any additions to such accounts will also be frozen. The financial or credit institution shall inform the relevant competent authority about any such transaction without delay.

4.   Provided that any such interest, other earnings and payments are frozen in accordance with Article 8, Article 8(2) shall not apply to the addition to frozen accounts of:

| (a) | interest or other earnings on those accounts; |
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(a)

interest or other earnings on those accounts;

| (b) | payments due under contracts, agreements or obligations that were concluded or arose before the date on which the natural or legal person, entity or body referred to in Article 8 was included in Annex IV or V; or |
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(b)

payments due under contracts, agreements or obligations that were concluded or arose before the date on which the natural or legal person, entity or body referred to in Article 8 was included in Annex IV or V; or

| (c) | payments due under judicial, administrative or arbitral decisions rendered in a Member State or enforceable in the Member State concerned. |
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(c)

payments due under judicial, administrative or arbitral decisions rendered in a Member State or enforceable in the Member State concerned.

Article 12

1.   Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, natural and legal persons, entities and bodies shall:

| (a) | supply immediately any information which would facilitate compliance with this Regulation, such as information on accounts and amounts frozen in accordance with Article 8, to the competent authority of the Member State where they are resident or located, and shall transmit such information, directly or through the Member State, to the Commission; and |
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(a)

supply immediately any information which would facilitate compliance with this Regulation, such as information on accounts and amounts frozen in accordance with Article 8, to the competent authority of the Member State where they are resident or located, and shall transmit such information, directly or through the Member State, to the Commission; and

| (b) | cooperate with the competent authority in any verification of the information referred to in point (a). |
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(b)

cooperate with the competent authority in any verification of the information referred to in point (a).

2.   Any additional information received directly by the Commission shall be made available to the Member States.

3.   Any information provided or received in accordance with this Article shall be used only for the purposes for which it was provided or received.

Article 13

1.   The freezing of funds and economic resources or the refusal to make funds or economic resources available, carried out in good faith on the basis that such action is in accordance with this Regulation, shall not give rise to liability of any kind on the part of the natural or legal person or entity or body implementing it, or its directors or employees, unless it is proved that the funds and economic resources were frozen or withheld as a result of negligence.

2.   Actions by natural or legal persons, entities or bodies shall not give rise to any liability of any kind on their part if they did not know, and had no reasonable cause to suspect, that their actions would infringe the measures set out in this Regulation.

Article 14

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the measures laid down in this Regulation.

Article 15

1.   No claims in connection with any contract or transaction the performance of which has been affected, directly or indirectly, in whole or in part, by the measures imposed under this Regulation, including claims for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, in particular a claim for extension or payment of a bond, guarantee or indemnity, in particular a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by:

| (a) | designated natural or legal persons, entities or bodies listed in Annexes IV and V; |
| --- | --- |

(a)

designated natural or legal persons, entities or bodies listed in Annexes IV and V;

| (b) | any natural or legal person, entity or body acting through or on behalf of one of the persons, entities or bodies referred to in point (a). |
| --- | --- |

(b)

any natural or legal person, entity or body acting through or on behalf of one of the persons, entities or bodies referred to in point (a).

2.   In any proceedings for the enforcement of a claim, the onus of proving that satisfying the claim is not prohibited by paragraph 1 shall be on the natural or legal person, entity or body seeking the enforcement of that claim.

3.   This Article is without prejudice to the right of the natural or legal persons, entities and bodies referred to in paragraph 1 to judicial review of the legality of the non-performance of contractual obligations in accordance with this Regulation.

Article 16

1.   The Commission and Member States shall inform each other of the measures taken under this Regulation and share any other relevant information at their disposal in connection with this Regulation, in particular information concerning:

| (a) | funds frozen under Article 8 and authorisations granted under Articles 9 to 11; |
| --- | --- |

(a)

funds frozen under Article 8 and authorisations granted under Articles 9 to 11;

| (b) | violation and enforcement problems and judgments handed down by national courts. |
| --- | --- |

(b)

violation and enforcement problems and judgments handed down by national courts.

2.   The Member States shall immediately inform each other and the Commission of any other relevant information at their disposal which might affect the effective implementation of this Regulation.

Article 17

1.   Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 8, it shall amend Annex IV or V accordingly.

2.   The Council shall communicate its decision, including the grounds for listing, to the natural or legal person, entity or body referred to in paragraph 1, either directly, if the address is known, or through the publication of a notice, providing such natural or legal person, entity or body with an opportunity to present observations.

3.   Where observations are submitted, or where substantial new evidence is presented, the Council shall review its decision and inform the natural or legal person, entity or body accordingly.

4.   The list set out in Annexes IV and V shall be reviewed at regular intervals and at least every 12 months.

5.   The Commission shall be empowered to amend Annex III on the basis of information supplied by Member States.

Article 18

1.   Member States shall lay down the rules on penalties applicable to infringements of the provisions of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for must be effective, proportionate and dissuasive.

2.   Member States shall notify the Commission of the rules referred to in paragraph 1 without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.

Article 19

1.   Member States shall designate the competent authorities referred to in this Regulation and identify them on the websites listed in Annex III. Member States shall notify the Commission of any changes in the addresses of their websites listed in Annex III.

2.   Member States shall notify the Commission of their competent authorities, including the contact details of those competent authorities, without delay after the entry into force of this Regulation, and shall notify it of any subsequent amendment.

3.   Where this Regulation sets out a requirement to notify, inform or otherwise communicate with the Commission, the address and other contact details to be used for such communication shall be those indicated in Annex III.

Article 20

This Regulation shall apply:

| (a) | within the territory of the Union, including its airspace; |
| --- | --- |

(a)

within the territory of the Union, including its airspace;

| (b) | on board any aircraft or any vessel under the jurisdiction of a Member State; |
| --- | --- |

(b)

on board any aircraft or any vessel under the jurisdiction of a Member State;

| (c) | to any person inside or outside the territory of the Union who is a national of a Member State; |
| --- | --- |

(c)

to any person inside or outside the territory of the Union who is a national of a Member State;

| (d) | to any legal person, entity or body, inside or outside the territory of the Union, which is incorporated or constituted under the law of a Member State; |
| --- | --- |

(d)

to any legal person, entity or body, inside or outside the territory of the Union, which is incorporated or constituted under the law of a Member State;

| (e) | to any legal person, entity or body in respect of any business done in whole or in part within the Union. |
| --- | --- |

(e)

to any legal person, entity or body in respect of any business done in whole or in part within the Union.

Article 21

This Regulation shall enter into force on the date of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 13 November 2017

For the Council

The President

F. MOGHERINI

---

(1)  See page 60 of this Official Journal.

1

(2)  Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1).

2

(3)  Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (OJ L 281, 23.11.1995, p. 31).

3

(4)  Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment (OJ L 335, 13.12.2008, p. 99).

4

---

ANNEX I

List of equipment which might be used for internal repression as referred to in Article 3

| 1. | Firearms, ammunition and related accessories therefor, as follows:






  1.1. | Firearms not controlled by ML 1 and ML 2 of the Common Military List; |
| --- | --- | --- |

1.

Firearms, ammunition and related accessories therefor, as follows:

1.1.

Firearms not controlled by ML 1 and ML 2 of the Common Military List;

| 1.2. | Ammunition specially designed for the firearms listed in item 1.1 and specially designed components therefor; |
| --- | --- |

1.2.

Ammunition specially designed for the firearms listed in item 1.1 and specially designed components therefor;

| 1.3. | Weapon-sights not controlled by the Common Military List. |
| --- | --- |

1.3.

Weapon-sights not controlled by the Common Military List.

| 2. | Bombs and grenades not controlled by the Common Military List. |
| --- | --- |

2.

Bombs and grenades not controlled by the Common Military List.

| 3. | Vehicles as follows:






  3.1. | Vehicles equipped with a water cannon, specially designed or modified for the purpose of riot control; |
| --- | --- | --- |

3.

Vehicles as follows:

3.1.

Vehicles equipped with a water cannon, specially designed or modified for the purpose of riot control;

| 3.2. | Vehicles specially designed or modified to be electrified to repel borders; |
| --- | --- |

3.2.

Vehicles specially designed or modified to be electrified to repel borders;

| 3.3. | Vehicles specially designed or modified to remove barricades, including construction equipment with ballistic protection; |
| --- | --- |

3.3.

Vehicles specially designed or modified to remove barricades, including construction equipment with ballistic protection;

| 3.4. | Vehicles specially designed for the transport or transfer of prisoners and/or detainees; |
| --- | --- |

3.4.

Vehicles specially designed for the transport or transfer of prisoners and/or detainees;

| 3.5. | Vehicles specially designed to deploy mobile barriers; |
| --- | --- |

3.5.

Vehicles specially designed to deploy mobile barriers;

| 3.6. | Components for the vehicles specified in items 3.1 to 3.5 specially designed for the purposes of riot control. |
| --- | --- |

3.6.

Components for the vehicles specified in items 3.1 to 3.5 specially designed for the purposes of riot control.

| Note 1 | This item does not control vehicles specially designed for the purposes of firefighting. |
| --- | --- |

Note 1

| Note 2 | For the purposes of item 3.5, the term ‘vehicles’ includes trailers. |
| --- | --- |

Note 2

| 4. | Explosive substances and related equipment as follows:






  4.1. | Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including firing sets, detonators, igniters, boosters and detonating cord, and specially designed components therefor; except those specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other equipment or devices the function of which is not the creation of explosions (e.g. car air-bag inflaters, electric-surge arresters of fire sprinkler actuators); |
| --- | --- | --- |

4.

Explosive substances and related equipment as follows:

4.1.

Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including firing sets, detonators, igniters, boosters and detonating cord, and specially designed components therefor; except those specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other equipment or devices the function of which is not the creation of explosions (e.g. car air-bag inflaters, electric-surge arresters of fire sprinkler actuators);

| 4.2. | Linear cutting explosive charges not controlled by the Common Military List; |
| --- | --- |

4.2.

Linear cutting explosive charges not controlled by the Common Military List;

| 4.3. | Other explosives not controlled by the Common Military List and related substances as follows:






  (a) | amatol; |
| --- | --- | --- |

4.3.

Other explosives not controlled by the Common Military List and related substances as follows:

(a)

amatol;

| (b) | nitrocellulose (containing more than 12,5 % nitrogen); |
| --- | --- |

(b)

nitrocellulose (containing more than 12,5 % nitrogen);

| (c) | nitroglycol; |
| --- | --- |

(c)

nitroglycol;

| (d) | pentaerythritol tetranitrate (PETN); |
| --- | --- |

(d)

pentaerythritol tetranitrate (PETN);

| (e) | picryl chloride; |
| --- | --- |

(e)

picryl chloride;

| (f) | 2,4,6-trinitrotoluene (TNT). |
| --- | --- |

(f)

2,4,6-trinitrotoluene (TNT).

| 5. | Protective equipment not controlled by ML 13 of the Common Military List as follows:






  5.1. | Body armour providing ballistic and/or stabbing protection; |
| --- | --- | --- |

5.

Protective equipment not controlled by ML 13 of the Common Military List as follows:

5.1.

Body armour providing ballistic and/or stabbing protection;

| 5.2. | Helmets providing ballistic and/or fragmentation protection, anti-riot helmets, antiriot shields and ballistic shields. |
| --- | --- |

5.2.

Helmets providing ballistic and/or fragmentation protection, anti-riot helmets, antiriot shields and ballistic shields.

| Note: | This item does not control:






  — | equipment specially designed for sports activities; |
| --- | --- | --- |

Note:

—

equipment specially designed for sports activities;

| — | equipment specially designed for safety of work requirements. |
| --- | --- |

—

equipment specially designed for safety of work requirements.

| 6. | Simulators, other than those controlled by ML 14 of the Common Military List, for training in the use of firearms, and specially designed software therefor. |
| --- | --- |

6.

Simulators, other than those controlled by ML 14 of the Common Military List, for training in the use of firearms, and specially designed software therefor.

| 7. | Night vision, thermal imaging equipment and image intensifier tubes, other than those controlled by the Common Military List. |
| --- | --- |

7.

Night vision, thermal imaging equipment and image intensifier tubes, other than those controlled by the Common Military List.

| 8. | Razor barbed wire. |
| --- | --- |

8.

Razor barbed wire.

| 9. | Military knives, combat knives and bayonets with blade lengths in excess of 10 cm. |
| --- | --- |

9.

Military knives, combat knives and bayonets with blade lengths in excess of 10 cm.

| 10. | Production equipment specially designed for the items specified in this list. |
| --- | --- |

10.

Production equipment specially designed for the items specified in this list.

| 11. | Specific technology for the development, production or use of the items specified in this list. |
| --- | --- |

11.

Specific technology for the development, production or use of the items specified in this list.

---

ANNEX II

Equipment, technology and software referred to in Articles 6 and 7

General note

Notwithstanding the contents of this Annex, it shall not apply to:

| (a) | equipment, technology or software which are specified in Annex I to Council Regulation (EC) 428/2009 (1) or the Common Military List; or |
| --- | --- |

(a)

equipment, technology or software which are specified in Annex I to Council Regulation (EC) 428/2009 (1) or the Common Military List; or

| (b) | software which is designed for installation by the user without further substantial support by the supplier and which is generally available to the public by being sold from stock at retail selling points, without restriction, by means of:






  (i) | over the counter transactions; |
| --- | --- | --- |

(b)

software which is designed for installation by the user without further substantial support by the supplier and which is generally available to the public by being sold from stock at retail selling points, without restriction, by means of:

(i)

over the counter transactions;

| (ii) | mail order transactions; |
| --- | --- |

(ii)

mail order transactions;

| (iii) | electronic transactions; or |
| --- | --- |

(iii)

electronic transactions; or

| (iv) | telephone order transactions; or |
| --- | --- |

(iv)

telephone order transactions; or

| (c) | software which is in the public domain. |
| --- | --- |

(c)

software which is in the public domain.

The categories A, B, C, D and E refer to the categories referred to in Regulation (EC) No 428/2009.

The equipment, technology and software referred to in Articles 6 and 7 is:

| A. | List of equipment






  — | Deep Packet Inspection equipment |
| --- | --- | --- |

A.

List of equipment

—

Deep Packet Inspection equipment

| — | Network Interception equipment including Interception Management Equipment (IMS) and Data Retention Link Intelligence equipment |
| --- | --- |

—

Network Interception equipment including Interception Management Equipment (IMS) and Data Retention Link Intelligence equipment

| — | Radio Frequency monitoring equipment |
| --- | --- |

—

Radio Frequency monitoring equipment

| — | Network and Satellite jamming equipment |
| --- | --- |

—

Network and Satellite jamming equipment

| — | Remote Infection equipment |
| --- | --- |

—

Remote Infection equipment

| — | Speaker recognition/processing equipment |
| --- | --- |

—

Speaker recognition/processing equipment

| — | IMSI (2), MSISDN (3), IMEI (4), TMSI (5) interception and monitoring equipment |
| --- | --- |

—

IMSI (2), MSISDN (3), IMEI (4), TMSI (5) interception and monitoring equipment

| — | Tactical SMS (6) /GSM (7) /GPS (8) /GPRS (9) /UMTS (10) /CDMA (11) /PSTN (12) interception and monitoring equipment |
| --- | --- |

—

Tactical SMS (6) /GSM (7) /GPS (8) /GPRS (9) /UMTS (10) /CDMA (11) /PSTN (12) interception and monitoring equipment

| — | DHCP (13) /SMTP (14), GTP (15) information interception and monitoring equipment |
| --- | --- |

—

DHCP (13) /SMTP (14), GTP (15) information interception and monitoring equipment

| — | Pattern Recognition and Pattern Profiling equipment |
| --- | --- |

—

Pattern Recognition and Pattern Profiling equipment

| — | Remote Forensics equipment |
| --- | --- |

—

Remote Forensics equipment

| — | Semantic Processing Engine equipment |
| --- | --- |

—

Semantic Processing Engine equipment

| — | WEP and WPA code breaking equipment |
| --- | --- |

—

WEP and WPA code breaking equipment

| — | Interception equipment for VoIP proprietary and standard protocol |
| --- | --- |

—

Interception equipment for VoIP proprietary and standard protocol

| B. | Not used |
| --- | --- |

B.

Not used

| C. | Not used |
| --- | --- |

C.

Not used

| D. | ‘Software’ for the ‘development’, ‘production’ or ‘use’ of the equipment specified in A above. |
| --- | --- |

D.

‘Software’ for the ‘development’, ‘production’ or ‘use’ of the equipment specified in A above.

| E. | ‘Technology’ for the ‘development’, ‘production’ or ‘use’ of the equipment specified in A above. |
| --- | --- |

E.

‘Technology’ for the ‘development’, ‘production’ or ‘use’ of the equipment specified in A above.

Equipment, technology and software falling within these categories is within the scope of this Annex only to the extent that it falls within the general description ‘internet, telephone and satellite communications interception and monitoring systems’.

For the purpose of this Annex, ‘monitoring’ means acquisition, extraction, decoding, recording, processing, analysis and archiving call content or network data.

---

(1)  Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (OJ L 134, 29.5.2009, p. 1).

(2)  
  ‘IMSI’ stands for International Mobile Subscriber Identity. It is a unique identification code for each mobile telephony device, integrated in the SIM card, which allows for identification of such SIM via GSM and UMTS networks.

(3)  
  ‘MSISDN’ stands for Mobile Subscriber Integrated Services Digital Network Number. It is a number uniquely identifying a subscription in a GSM or a UMTS mobile network. Simply put, it is the telephone number to the SIM card in a mobile phone and therefore it identifies a mobile subscriber as well as IMSI, but to route calls through him.

(4)  
  ‘IMEI’ stands for International Mobile Equipment Identity. It is a number, usually unique to identify GSM, WCDMA and IDEN mobile phones as well as some satellite phones. It is usually found printed inside the battery compartment of the phone. interception (wiretapping) can be specified by its IMEI number as well as IMSI and MSISDN.

(5)  
  ‘TMSI’ stands for Temporary Mobile Subscriber Identity. It is the identity that is most commonly sent between the mobile and the network.

(6)  
  ‘SMS’ stands for Short Message System.

(7)  
  ‘GSM’ stands for Global System for Mobile Communications.

(8)  
  ‘GPS’ stands for Global Positioning System.

(9)  
  ‘GPRS’ stands for General Package Radio Service.

(10)  
  ‘UMTS’ stands for Universal Mobile Telecommunication System.

(11)  
  ‘CDMA’ stands for Code Division Multiple Access.

(12)  
  ‘PSTN’ stands for Public Switch Telephone Networks.

(13)  
  ‘DHCP’ stands for Dynamic Host Configuration Protocol.

(14)  
  ‘SMTP’ stands for Simple Mail Transfer Protocol.

(15)  
  ‘GTP’ stands for GPRS Tunnelling Protocol.

---

ANNEX III

Websites for information on the competent authorities and address for notifications to the Commission

BELGIUM

https://diplomatie.belgium.be/nl/Beleid/beleidsthemas/vrede_en_veiligheid/sancties

https://diplomatie.belgium.be/fr/politique/themes_politiques/paix_et_securite/sanctions

https://diplomatie.belgium.be/en/policy/policy_areas/peace_and_security/sanctions

BULGARIA

http://www.mfa.bg/en/pages/135/index.html

CZECH REPUBLIC

www.financnianalytickyurad.cz/mezinarodni-sankce.html

DENMARK

http://um.dk/da/Udenrigspolitik/folkeretten/sanktioner/

GERMANY

http://www.bmwi.de/DE/Themen/Aussenwirtschaft/aussenwirtschaftsrecht,did=404888.html

ESTONIA

http://www.vm.ee/est/kat_622/

IRELAND

http://www.dfa.ie/home/index.aspx?id=28519

GREECE

http://www.mfa.gr/en/foreign-policy/global-issues/international-sanctions.html

SPAIN

http://www.exteriores.gob.es/Portal/en/PoliticaExteriorCooperacion/GlobalizacionOportunidadesRiesgos/Paginas/SancionesInternacionales.aspx

FRANCE

http://www.diplomatie.gouv.fr/fr/autorites-sanctions/

CROATIA

http://www.mvep.hr/sankcije

ITALY

http://www.esteri.it/MAE/IT/Politica_Europea/Deroghe.htm

CYPRUS

http://www.mfa.gov.cy/sanctions

LATVIA

http://www.mfa.gov.lv/en/security/4539

LITHUANIA

http://www.urm.lt/sanctions

LUXEMBOURG

http://www.mae.lu/sanctions

HUNGARY

http://www.kormany.hu/download/9/2a/f0000/EU%20szankci%C3%B3s%20t%C3%A1j%C3%A9koztat%C3%B3_20170214_final.pdf

MALTA

https://www.gov.mt/en/Government/Government%20of%20Malta/Ministries%20and%20Entities/Officially%20Appointed%20Bodies/Pages/Boards/Sanctions-Monitoring-Board-.aspx

NETHERLANDS

https://www.rijksoverheid.nl/onderwerpen/internationale-sancties

AUSTRIA

http://www.bmeia.gv.at/view.php3?f_id=12750&LNG=en&version=

POLAND

http://www.msz.gov.pl

PORTUGAL

http://www.portugal.gov.pt/pt/ministerios/mne/quero-saber-mais/sobre-o-ministerio/medidas-restritivas/medidas-restritivas.aspx

ROMANIA

http://www.mae.ro/node/1548

SLOVENIA

http://www.mzz.gov.si/si/omejevalni_ukrepi

SLOVAKIA

https://www.mzv.sk/europske_zalezitosti/europske_politiky-sankcie_eu

FINLAND

http://formin.finland.fi/kvyhteistyo/pakotteet

SWEDEN

http://www.ud.se/sanktioner

UNITED KINGDOM

https://www.gov.uk/sanctions-embargoes-and-restrictions

Address for notifications to the European Commission:

| European Commission |
| --- |
| Service for Foreign Policy Instruments (FPI) |
| EEAS 07/99 |
| B-1049 Brussels, Belgium |
| Email: relex-sanctions@ec.europa.eu |

European Commission

Service for Foreign Policy Instruments (FPI)

EEAS 07/99

B-1049 Brussels, Belgium

Email: relex-sanctions@ec.europa.eu

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ANNEX IV

List of natural and legal persons, entities and bodies referred to in Article 8(3)

---

ANNEX V

List of natural and legal persons, entities and bodies referred to in Article 8(4)

---