# Council Regulation (EU) No 833/2014Show full title

Council Regulation (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia's actions destabilising            the situation in Ukraine         

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U.K.

# Council Regulation (EU) No 833/2014                     

# of 31 July 2014

# concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine

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 2014/512/CFSP concerning restrictive measures in view of Russia's actions destabilising                           the situation in Ukraine(1),                        

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

Whereas:

(1)Council Regulation (EU) No 269/2014(2) gives effect to certain measures provided for in Decision 2014/145/CFSP(3). Those measures comprise the freezing of funds and economic resources of certain natural and legal persons, entities and                              bodies and restrictions on certain investments, as a response to the illegal annexation of Crimea and Sevastopol.

(2)On 22 July 2014, the Council concluded that should Russia fail to respond to the demands formulated in the European Council                              conclusions of 27 June 2014 and in its own conclusions of 22 July, it would be ready to introduce without delay a package                              of further significant restrictive measures. It is therefore considered appropriate to apply additional restrictive measures                              with a view to increasing the costs of Russia's actions to undermine Ukraine's territorial integrity, sovereignty and independence                              and to promoting a peaceful settlement of the crisis. These measures will be kept under review and may be suspended or withdrawn,                              or be supplemented by other restrictive measures, in light of developments on the ground.

(3)It is appropriate to apply restrictions on exports of certain dual-use goods and technology, as laid down in Council Regulation                              (EC) No 428/2009(4), and on the provision of related services and to apply restrictions on certain services related to the supply of arms and                              military equipment, if an embargo on such goods is applied by the Member States. This prohibition should not affect the exports                              of dual-use goods and technology, including for aeronautics and for the space industry, for non-military use or for a non-military                              end-user.

(4)It is also appropriate to apply restrictions on the sale, supply, transfer or export, directly or indirectly, of certain technologies                              for the oil industry in Russia in the form of a prior authorisation requirement.

[X1(5)It is also appropriate to apply restrictions on access to the capital market for certain financial institutions, excluding                                 Russia-based institutions with international status established by intergovernmental agreements with Russia as one of the                                 shareholders. Other financial services such as deposit business, payment services and loans to or from the institutions covered                                 by this Regulation, other than those referred to in Article 5, are not covered by these restrictions.]

(6)These measures fall within the scope of the Treaty and, therefore, in particular with a view to ensuring their uniform application                              in all Member States, regulatory action at the level of the Union is necessary.

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

HAS ADOPTED THIS REGULATION:

Editorial Information

X1Substituted by Corrigendum to Council Regulation (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia's actions                                 destabilising the situation in Ukraine (Official Journal of the European Union L 229 of 31 July 2014).

# Article 1U.K.

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

‘dual-use goods and technology’ means the items listed in Annex I to Regulation (EC) No 428/2009;

‘competent authorities’ means the competent authorities of the Member States as identified on the websites listed in Annex                              I;                           

‘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;                           

‘brokering services’ means:

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

the selling or buying of goods and technology or of financial and technical services, including where they are located in                                       third countries for their transfer to another third country;                                    

[F1‘investment services’ means the following services and activities:                            

reception and transmission of orders in relation to one or more financial instruments,                                     

execution of orders on behalf of clients,                                     

dealing on own account,                                     

portfolio management,                                     

investment advice,                                     

underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis,                                     

placing of financial instruments without a firm commitment basis,                                     

any service in relation to the admission to trading on a regulated market or trading on a multilateral trading facility;                                     

‘transferable securities’ means the following classes of securities which are negotiable on the capital market, with the exception of instruments of                                 payment:                            

shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary                                          receipts in respect of shares,                                     

bonds or other forms of securitised debt, including depositary receipts in respect of such securities,                                     

any other securities giving the right to acquire or sell any such transferable securities;]                                     

‘money-market instruments’ means those classes of instruments which are normally dealt in on the money market, such as treasury                              bills, certificates of deposit and commercial papers and excluding instruments of payment;                           

‘credit institution’ means an undertaking the business of which is to take deposits or other repayable funds from the public                              and to grant credit for its own account;                           

‘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.                           

Textual Amendments

F1Substituted by Council Regulation (EU) No 960/2014 of 8 September 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine.

# Article 2U.K.

1.It shall be prohibited to sell, supply, transfer or export, directly or indirectly, dual-use goods and technology, whether                        or not originating in the Union, to any natural or legal person, entity or body in Russia or for use in Russia, if those items                        are or may be intended, in their entirety or in part, for military use or for a military end-user.                  

Where the end-user is the Russian military, any dual-use goods and technology procured by it shall be deemed to be for military                     use.                  

2.When deciding on requests for authorisations in accordance with Council Regulation (EC) No 428/2009, the competent authorities                        shall not grant an authorisation for exports to any natural or legal person, entity or body in Russia or for use in Russia,                        if they have reasonable grounds to believe that the end-user might be a military end-user or that the goods might have a military                        end-use.                  

[F2The competent authorities may, however, grant an authorisation where the export concerns the execution of an obligation arising                        from a contract concluded before 1 August 2014, or ancillary contracts necessary for the execution of such a contract.]                   

Exporters shall supply the competent authorities with all relevant information required for their application for an export                     authorisation.                  

Textual Amendments

F2Substituted by Council Regulation (EU) No 1290/2014 of 4 December 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine, and amending Regulation (EU) No 960/2014 amending Regulation                                 (EU) No 833/2014.

# [F3Article 2aU.K.

1.It shall be prohibited to sell, supply, transfer or export, directly or indirectly, dual-use goods and technology as included                           in Annex I to Regulation (EC) No 428/2009, whether or not originating in the Union, to natural or legal persons, entities                           or bodies in Russia as listed in Annex IV to this Regulation.                  

2.It shall be prohibited:                  

(a)to provide technical assistance, brokering services or other services related to goods and technology set out in paragraph                           1 and to the provision, manufacture, maintenance and use of these goods and technology, directly or indirectly to any person,                           entity or body in Russia, as listed in Annex IV;                  

(b)to provide financing or financial assistance related to goods and technology referred to in paragraph 1, including in particular                           grants, loans and export credit insurance, for any sale, supply, transfer or export of these goods and technology, or for                           the provision of related technical assistance, brokering services or other services, directly or indirectly to any person,                           entity or body in in Russia, as listed in Annex IV.                  

[F23.The prohibitions in paragraphs 1 and 2 shall be without prejudice to the execution of contracts concluded before 12 September 2014, or ancillary contracts necessary for the execution of such contracts, and to the provision of assistance necessary for the                              maintenance and safety of existing capabilities within the EU.]                  

4.The prohibitions in paragraphs 1 and 2 shall not apply to the sale, supply, transfer or export of dual use goods and technology                           intended for the aeronautics and space industry, or the related provision of technical and financial assistance, for non military                           use and for a non military end user, as well as for maintenance and safety of existing civil nuclear capabilities within the                           EU, for non military use and for a non military end user.]                  

Textual Amendments

F2Substituted by Council Regulation (EU) No 1290/2014 of 4 December 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine, and amending Regulation (EU) No 960/2014 amending Regulation                                 (EU) No 833/2014.

F3Inserted by Council Regulation (EU) No 960/2014 of 8 September 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine.

# Article 3U.K.

[F21.A prior authorisation shall be required for the sale, supply, transfer or export, directly or indirectly, of items as listed                           in Annex II, whether or not originating in the Union, to any natural or legal person, entity or body in Russia, including                           its Exclusive Economic Zone and Continental Shelf or in any other State, if such items are for use in Russia, including its                           Exclusive Economic Zone and Continental Shelf.                  

2.For all sales, supplies, transfers or exports for which an authorisation is required under this Article, such authorisation                           shall be granted by the competent authorities of the Member State where the exporter is established and shall be in accordance                           with the detailed rules laid down in Article 11 of Regulation (EC) No 428/2009. The authorisation shall be valid throughout                           the Union.                  

3.Annex II shall include certain items suited to the following categories of exploration and production projects in Russia,                           including its Exclusive Economic Zone and Continental Shelf:                  

(a)oil exploration and production in waters deeper than 150 metres;                  

(b)oil exploration and production in the offshore area north of the Arctic Circle; or                  

(c)projects that have the potential to produce oil from resources located in shale formations by way of hydraulic fracturing;                           it does not apply to exploration and production through shale formations to locate or extract oil from non-shale reservoirs.                  

4.Exporters shall supply the competent authorities with all relevant information required for their application for an export                           authorisation.                  

5.The competent authorities shall not grant any authorisation for any sale, supply, transfer or export of the items included                           in Annex II, if they have reasonable grounds to determine that the sale, supply, transfer or export of the items are destined                           for any of the categories of exploration and production projects referred to in paragraph 3.                  

The competent authorities may, however, grant an authorisation where the sale, supply, transfer or export concerns the execution                        of an obligation arising from a contract concluded before 1 August 2014, or ancillary contracts necessary for the execution of such a contract.                   

The competent authorities may also grant an authorisation where the sale, supply, transfer or export of the items is necessary                        for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety                        or the environment. In duly justified cases of emergency, the sale, supply, transfer or export may proceed without prior authorisation,                        provided that the exporter notifies the competent authority within five working days after the sale, supply, transfer or export                        has taken place, providing detail about the relevant justification for the sale, supply, transfer or export without prior                        authorisation.]                   

6.Under the conditions set out in paragraph 5, the competent authorities may annul, suspend, modify or revoke an export authorisation                        which they have granted.                  

7.Where a competent authority refuses to grant an authorisation, or annuls, suspends, substantially limits or revokes an authorisation                        in accordance with paragraphs 5 or 6, the Member State concerned shall notify the other Member States and the Commission thereof                        and share the relevant information with them, while complying with the provisions concerning the confidentiality of such information                        in Council Regulation (EC) No 515/97(5).                  

8.Before a Member State grants an authorisation in accordance with paragraph 5 for a transaction which is essentially identical                        to a transaction which is the subject of a still valid denial issued by another Member State or by other Member States under                        paragraphs 6 and 7, it shall first consult the Member State or States which issued the denial. If, following such consultations,                        the Member State concerned decides to grant an authorisation, it shall inform the other Member States and the Commission thereof,                        providing all relevant information to explain the decision.                  

Textual Amendments

F2Substituted by Council Regulation (EU) No 1290/2014 of 4 December 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine, and amending Regulation (EU) No 960/2014 amending Regulation                                 (EU) No 833/2014.

# [F3Article 3aU.K.

[F21.It shall be prohibited to provide, directly or indirectly, associated services necessary for the following categories of exploration                              and production projects in Russia, including its Exclusive Economic Zone and Continental Shelf:                  

(a)oil exploration and production in waters deeper than 150 metres;                  

(b)oil exploration and production in the offshore area north of the Arctic Circle; or                  

(c)projects that have the potential to produce oil from resources located in shale formations by way of hydraulic fracturing;                              it does not apply to exploration and production through shale formations to locate or extract oil from non-shale reservoirs.                  

For the purpose of this paragraph, associated services shall mean:                   

drilling;                            

well testing;                            

logging and completion services;                            

supply of specialised floating vessels.                            

2.The prohibitions in paragraph 1 shall be without prejudice to the execution of an obligation arising from a contract or a                              framework agreement concluded before 12 September 2014 or ancillary contracts necessary for the execution of such a contract.                  

3.The prohibitions in paragraph 1 shall not apply where the services in question are necessary for the urgent prevention or                              mitigation of an event likely to have a serious and significant impact on human health and safety or the environment.                  

The service provider shall notify the competent authority within five working days of any activity undertaken pursuant to                           this paragraph, providing detail about the relevant justification for the sale, supply, transfer or export.]]                   

Textual Amendments

F2Substituted by Council Regulation (EU) No 1290/2014 of 4 December 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine, and amending Regulation (EU) No 960/2014 amending Regulation                                 (EU) No 833/2014.

F3Inserted by Council Regulation (EU) No 960/2014 of 8 September 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine.

# Article 4U.K.

1.It shall be prohibited:                  

(a)to provide, directly or indirectly, technical assistance related to the goods and technology listed in the Common Military                        List(6), or related to the provision, manufacture, maintenance and use of goods included in that list, to any natural or legal person,                        entity or body in Russia or for use in Russia;                  

[F1(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 or guarantee, as well as insurance and reinsurance                           for any sale, supply, transfer or export of such items, or for any provision of related technical assistance, to any natural                           or legal person, entity or body in Russia or for use in Russia;]                  

(c)to provide, directly or indirectly, technical assistance or brokering services related to dual-use goods and technology, or                        related to the provision, manufacture, maintenance and use of such goods or technology, to any natural or legal person, entity                        or body in Russia or for use in Russia, if the items are or may be intended, in their entirety or in part, for military use                        or for a military end-user;                  

(d)to provide, directly or indirectly, financing or financial assistance related to the dual-use goods and technology, including                        in particular grants, loans and export credit insurance, for any sale, supply, transfer or export of such items, or for any                        provision of related technical assistance to any natural or legal person, entity or body in Russia or for use in Russia, if                        the items are or may be intended, in their entirety or in part, for military use or for a military end-user.                  

[F22.The prohibitions in paragraph 1 shall be without prejudice to the execution of contracts concluded before 1 August 2014, or ancillary contracts necessary for the execution of such contracts, and to the provision of assistance necessary for the                           maintenance and safety of existing capabilities within the EU.                  

[F42a.The prohibitions in points (a) and (b) of paragraph 1 shall not apply to the provision, directly or indirectly, of technical                              assistance, financing or financial assistance, related to the following operations:                  

(a)the sale, supply, transfer or export and to the import, purchase or transport of Hydrazine (CAS 302-01-2) in concentrations                              of 70 per cent or more, provided that that technical assistance, financing or financial assistance refers to an amount of                              Hydrazine calculated in accordance with the launch or launches or the satellites for which it is made, and which does not                              exceed a total quantity of 800 kg for each individual launch or satellite;                  

(b)the import, purchase or transport of Unsymmetrical dimethyl hydrazine (CAS 57-14-7);                  

(c)the sale, supply, transfer or export and to the import, purchase or transport of monomethyl hydrazine (CAS60-34-4), provided                              that that technical assistance, financing or financial assistance refers to an amount of Monomethyl Hydrazine calculated in                              accordance with the launch or launches or the satellites for which it is made,                  

insofar as the substances mentioned in points (a), (b) and (c) of this paragraph are destined for the use of launchers operated                           by European launch service providers, for the use of launches of European space programmes, or for the fuelling of satellites                           by European satellites manufacturers.                   

[F52aa.The prohibitions in points (a) and (b) of paragraph 1 shall not apply to the provision, directly or indirectly, of technical                                 assistance, financing or financial assistance related to the sale, supply, transfer or export and the import, purchase or                                 transport of hydrazine (CAS 302-01-2) in concentrations of 70 % or more, provided that that technical assistance, financing                                 or financial assistance refers to hydrazine destined for:                  

(a)the tests and flight of the ExoMars descent module in the framework of the ExoMars 2020 mission, in an amount calculated in                                 accordance with the needs of each phase of that mission, which does not exceed a total of 5 000 kg for the entire duration of the mission; or                  

(b)the flight of the ExoMars carrier module in the framework of the ExoMars 2020 mission, in an amount calculated in accordance                                 with the needs of the flight, which does not exceed a total of 300 kg.]                  

[F62b.The provision, directly or indirectly, of technical assistance, financing or financial assistance, related to the operations                                 referred to in paragraphs 2a and 2aa shall be subject to prior authorisation by the competent authorities.                  

Applicants for authorisation shall supply the competent authorities with all relevant information required.                   

The competent authorities shall inform the Commission of all the authorisations granted.]]                   

3.The provision of the following shall be subject to an authorisation from the competent authority concerned:                  

(a)technical assistance or brokering services related to items listed in Annex II and to the provision, manufacture, maintenance                           and use of those items, directly or indirectly, to any natural or legal person, entity or body in Russia, including its Exclusive                           Economic Zone and Continental Shelf or, if such assistance concerns items for use in Russia, including its Exclusive Economic                           Zone and Continental Shelf, to any person, entity or body in any other State;                  

(b)financing or financial assistance related to items referred to in Annex II, including in particular grants, loans and export                           credit insurance, for any sale, supply, transfer or export of those items, or for any provision of related technical assistance,                           directly or indirectly, to any natural or legal person, entity or body in Russia, including its Exclusive Economic Zone and                           Continental Shelf or, if such assistance concerns items for use in Russia, including its Exclusive Economic Zone and Continental                           Shelf, to any person, entity or body in any other State.                  

In duly justified cases of emergency referred to in Article 3(5), the provision of services referred to in this paragraph                        may proceed without prior authorisation, on condition that the provider notifies the competent authority within five working                        days after the provision of services.]                   

[X14.Where authorisations are requested pursuant to paragraph 3 of this Article, Article 3, and in particular paragraphs 2 and                           5 thereof, shall apply *mutatis mutandis*.]                  

Editorial Information

X1Substituted by Corrigendum to Council Regulation (EU) No 833/2014 of 31 July 2014 concerning restrictive measures in view of Russia's actions                                 destabilising the situation in Ukraine (Official Journal of the European Union L 229 of 31 July 2014).

Textual Amendments

F1Substituted by Council Regulation (EU) No 960/2014 of 8 September 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine.

F2Substituted by Council Regulation (EU) No 1290/2014 of 4 December 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine, and amending Regulation (EU) No 960/2014 amending Regulation                                 (EU) No 833/2014.

F4Inserted by Council Regulation (EU) 2015/1797 of 7 October 2015 amending Regulation (EU) No 833/2014 concerning restrictive measures in                                 view of Russia's actions destabilising the situation in Ukraine.

F5Inserted by Council Regulation (EU) 2017/2212 of 30 November 2017 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine.

F6Substituted by Council Regulation (EU) 2017/2212 of 30 November 2017 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine.

# [F1Article 5U.K.

1.It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance                           of, or otherwise deal with transferable securities and money-market instruments with a maturity exceeding 90 days, issued                           after 1 August 2014 to 12 September 2014, or with a maturity exceeding 30 days, issued after 12 September 2014 by:                  

(a)a major credit institution, or other major institution having an explicit mandate to promote competitiveness of the Russian                           economy, its diversification and encouragement of investment, established in Russia with over 50 % public ownership or control                           as of 1 August 2014, as listed in Annex III; or                  

(b)a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for                           more than 50 % by an entity listed in Annex III; or                  

(c)a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (b) of this paragraph                           or listed in Annex III.                  

2.It shall be prohibited to directly or indirectly purchase, sell, provide investment services for or assistance in the issuance                           of, or otherwise deal with transferable securities and money-market instruments with a maturity exceeding 30 days, issued                           after 12 September 2014 by:                  

(a)a legal person, entity or body established in Russia predominantly engaged and with major activities in the conception, production,                           sales or export of military equipment or services, as listed in Annex V, except legal persons, entities or bodies active in                           the space or the nuclear energy sectors;                  

(b)a legal person, entity or body established in Russia, which are publicly controlled or with over 50 % public ownership and                           having estimated total assets of over 1 trillion Russian Roubles and whose estimated revenues originate for at least 50 %                           from the sale or transportation of crude oil or petroleum products, as listed in Annex VI;                  

(c)a legal person, entity or body established outside the Union whose proprietary rights are directly or indirectly owned for                           more than 50 % by an entity listed in point (a) or (b) of this paragraph; or                  

(d)a legal person, entity or body acting on behalf or at the direction of an entity referred to in point (a), (b) or (c) of this                           paragraph.                  

[F23.It shall be prohibited to directly or indirectly make or be part of any arrangement to make new loans or credit with a maturity                              exceeding 30 days to any legal person, entity or body referred to in paragraph 1 or 2, after 12 September 2014.                  

The prohibition shall not apply to:                   

(a)loans or credit that have a specific and documented objective to provide financing for non-prohibited imports or exports of                              goods and non-financial services between the Union and any third State, including the expenditure for goods and services from                              another third State that is necessary for executing the export or import contracts; or                  

(b)loans that have a specific and documented objective to provide emergency funding to meet solvency and liquidity criteria for                              legal persons established in the Union, whose proprietary rights are owned for more than 50 % by any entity referred to in                              Annex III.]                  

[F74.The prohibition in paragraph 3 shall not apply to drawdown or disbursements made under a contract concluded before 12 September 2014 provided that the following conditions are met:                  

(a)all the terms and conditions of such drawdown or disbursements:                  

were agreed before 12 September 2014; and                            

have not been modified on or after that date; and                            

(b)before 12 September 2014 a contractual maturity date has been fixed for the repayment in full of all funds made available and for the cancellation                              of all the commitments, rights and obligations under the contract.                  

The terms and conditions of drawdowns and disbursements referred to in point (a) include provisions concerning the length                           of the repayment period for each drawdown or disbursement, the interest rate applied or the interest rate calculation method,                           and the maximum amount.]]                   

Textual Amendments

F1Substituted by Council Regulation (EU) No 960/2014 of 8 September 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine.

F2Substituted by Council Regulation (EU) No 1290/2014 of 4 December 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine, and amending Regulation (EU) No 960/2014 amending Regulation                                 (EU) No 833/2014.

F7Inserted by Council Regulation (EU) No 1290/2014 of 4 December 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine, and amending Regulation (EU) No 960/2014 amending Regulation                                 (EU) No 833/2014.

# Article 6U.K.

1.The Member States and the Commission 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:                  

(a)in respect of authorisations granted under Article 3;                  

(b)in respect of 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 7U.K.

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

# Article 8U.K.

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

# Article 9U.K.

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

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 I.                  

# Article 10U.K.

Actions by natural or legal persons, entities or bodies shall not give rise to 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 11U.K.

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, notably a claim for extension or payment of a bond, guarantee                        or indemnity, particularly a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are                        made by:                  

[F1(a)entities referred to in points (b) and (c) of Article 5(1) and points (c) and (d) of Article 5(2), or listed in Annexes III,                           IV, V and VI;]                  

(b)any other Russian person, entity or body;                  

(c)any person, entity or body acting through or on behalf of one of the persons, entities or bodies referred to in points (a)                        or (b) of this paragraph.                  

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 person seeking the enforcement of that claim.                  

3.This Article is without prejudice to the right of the 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.                  

Textual Amendments

F1Substituted by Council Regulation (EU) No 960/2014 of 8 September 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine.

# [F1Article 12U.K.

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent                        the prohibitions referred to in Articles 2, 2a, 3a, 4 or 5, including by acting as a substitute for the entities referred                        to in Article 5, or by using the exceptions in Article 5(3) to fund entities referred to in Article 5.]                   

Textual Amendments

F1Substituted by Council Regulation (EU) No 960/2014 of 8 September 2014 amending Regulation (EU) No 833/2014 concerning restrictive measures                                 in view of Russia's actions destabilising the situation in Ukraine.

# Article 13U.K.

This Regulation shall apply:

within the territory of the Union;

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

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

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;                           

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

# Article 14U.K.

This Regulation shall enter into force on the day following that 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.

## ANNEX IU.K.Websites for information on the competent authorities and address for notification to the European Commission

### [F8BELGIUMU.K.

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                   

Textual Amendments

F8Substituted by Commission Implementing Regulation (EU) 2019/1163 of 5 July 2019 amending and setting out a single list for the Annexes containing                                 contact details of Member States competent authorities and address for notifications to the European Commission to certain                                 Regulations concerning restrictive measures.

### BULGARIAU.K.

https://www.mfa.bg/en/101                   

### CZECH REPUBLICU.K.

www.financnianalytickyurad.cz/mezinarodni-sankce.html                   

### DENMARKU.K.

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

### GERMANYU.K.

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

### ESTONIAU.K.

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

### IRELANDU.K.

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

### GREECEU.K.

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

### SPAINU.K.

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

### FRANCEU.K.

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

### CROATIAU.K.

http://www.mvep.hr/sankcije                   

### ITALYU.K.

https://www.esteri.it/mae/it/politica_estera/politica_europea/misure_deroghe                   

### CYPRUSU.K.

http://www.mfa.gov.cy/mfa/mfa2016.nsf/mfa35_en/mfa35_en?OpenDocument                   

### LATVIAU.K.

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

### LITHUANIAU.K.

http://www.urm.lt/sanctions                   

### LUXEMBOURGU.K.

https://maee.gouvernement.lu/fr/directions-du-ministere/affaires-europeennes/mesures-restrictives.html                   

### HUNGARYU.K.

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

### MALTAU.K.

https://foreignaffairs.gov.mt/en/Government/SMB/Pages/Sanctions-Monitoring-Board.aspx                   

### NETHERLANDSU.K.

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

### AUSTRIAU.K.

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

### POLANDU.K.

https://www.gov.pl/web/dyplomacja                   

### PORTUGALU.K.

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

### ROMANIAU.K.

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

### SLOVENIAU.K.

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

### SLOVAKIAU.K.

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

### FINLANDU.K.

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

### SWEDENU.K.

http://www.ud.se/sanktioner                   

### UNITED KINGDOMU.K.

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                      

E-mail: relex-sanctions@ec.europa.eu]                      

## ANNEX IIU.K.[F2List of items referred to in Article 3]

## ANNEX IIIU.K.List of institutions referred to in Article 5(a)

SBERBANK

VTB BANK

GAZPROMBANK

VNESHECONOMBANK (VEB)

ROSSELKHOZBANK

## [F2ANNEX IVU.K.List of natural or legal persons, entities or bodies, referred to in Article 2a

          -  JSC Sirius                          
          -  OJSC Stankoinstrument                          
          -  OAO JSC Chemcomposite                          
          -  JSC Kalashnikov                          
          -  JSC Tula Arms Plant                          
          -  NPK Technologii Maschinostrojenija                          
          -  OAO Wysokototschnye Kompleksi                          
          -  OAO Almaz Antey                          
          -  OAO NPO Bazalt]                          

## [F3ANNEX VU.K.List of persons, entities and bodies referred to in Article 5(2)(a)

          -  OPK OBORONPROM                          
          -  UNITED AIRCRAFT CORPORATION                          
          -  URALVAGONZAVOD]                          

## [F3ANNEX VIU.K.List of persons, entities and bodies referred to in Article 5(2)(b)

          -  ROSNEFT                          
          -  TRANSNEFT                          
          -  GAZPROM NEFT]                          

1

See page 13 of this Official Journal.

2

OJ L 78, 17.3.2014, p. 6.                           

3

Council Decision 2014/145/CFSP of 17 March 2014 concerning restrictive measures in respect of actions undermining or threatening                              the territorial integrity, sovereignty and independence of Ukraine (OJ L 78, 17.3.2014, p. 16).                           

4

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).                           

5

Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member                              States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural                              matters (OJ L 82, 22.3.1997, p. 1).                           

6

Latest version published in OJ C 107, 9.4.2014, p. 1.