Council Common Position 2003/468/CFSP of 23 June 2003 on the control of arms brokering
Date: 2003-06-23
Institutions: Council of the European Union
Subjects: broker, export, international sanctions, military equipment, registration of a company, third country, trade licence

25.6.2003

EN

Official Journal of the European Union

L 156/79

(Acts adopted pursuant to Title V of the Treaty on European Union)

COUNCIL COMMON POSITION 2003/468/CFSP

of 23 June 2003

on the control of arms brokering

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the European Union, and in
particular Article 15 thereof,

crime requires States Parties to establish a system for
regulating the
in
brokering,

those who engage

activities of

Whereas:

HAS ADOPTED THIS COMMON POSITION:

(1)

(2)

(3)

(4)

(5)

(6)

(7)

In implementing the European Union Code of Conduct
on Arms Exports Member States have agreed to address
the problem of control of arms brokering.

Article 1

Member States have continued and deepened their
discussions on arms trafficking and brokering activities
and have reached agreement on a set of provisions for
controlling these activities through national legislation,
as set out below.

Most Member States already have in place or are in the
process of adopting national legislation on the subject.

1.
The objective of this Common Position is to control arms
brokering in order to avoid circumvention of UN, EU or OSCE
embargoes on arms exports, as well as of the Criteria set out in
the European Union Code of Conduct on Arms Exports.

2.
In order to achieve this objective, Member States will
ensure that their existing or future national legislation on arms
brokering is in conformity with the provisions set out below.

Article 2

In the Fourth Annual Report according to Operative
Provision 8 of the European Union Code of Conduct on
Arms Exports Member States have agreed to continue
deliberations in the area of arms brokering on the basis
of
the guidelines already approved, with a view to
adopting a Common Position on the subject.

1. Member States will take all the necessary measures to
control brokering activities taking place within their territory.
Member States are also encouraged to consider controlling
brokering activities outside of their territory carried out by
brokers of their nationality resident or established in their terri-
tory.

In the Wassenaar Arrangement Participating States
agreed on a Statement of Understanding to consider the
adoption of national measures regulating arms brokering
activities.

The United Nations Programme of Action on Small
Arms and Light Weapons (SALW) commits States to
develop adequate national
legislation or administrative
procedures to regulate small arms and light weapons
brokering activities, and undertake further
to
steps
enhance
preventing,
combating and eradicating illicit brokering of small arms
and light weapons.

international

cooperation

in

2. Member States will also establish a clear legal framework
for lawful brokering activities.

For the purposes of paragraph 1, brokering activities are

3.
activities of persons and entities:

— negotiating or arranging transactions that may involve the
transfer of items on the EU Common List of military equip-
ment from a third country to any other third country;

or

— who buy, sell or arrange the transfer of such items that are
in their ownership from a third country to any other third
country.

The United Nations Protocol against the illicit manufac-
turing of and trafficking in firearms,
their parts and
components and ammunition, supplementing the United
transnational organised
Nations Convention against

This paragraph shall not preclude a Member State from
defining brokering activities in its national legislation to include
cases where such items are exported from its own territory or
from the territory of another Member State.

L 156/80

EN

Official Journal of the European Union

25.6.2003

Article 3

For brokering activities, a licence or written authorisation
1.
should be obtained from the competent authorities of
the
Member State where these activities take place, and, where
required by national legislation, where the broker is resident or
established. Member States will assess applications for a licence
or written authorisation for specific brokering transactions
against the provisions of the European Union Code of Conduct
on Arms Exports.

2. Member States should keep records for a minimum of 10
years of all persons and entities which have obtained a licence
under the terms of paragraph 1.

Article 4

1. Member States may also require brokers to obtain a
written authorisation to act as brokers, as well as establish a
register of arms brokers. Registration or authorisation to act as
a broker would in any case not replace the requirement to
obtain the necessary licence or written authorisation for each
transaction.

2. When assessing any applications for written authorisa-
tions to act as brokers, or for registration, Member States could
take account, inter alia, of any records of past involvement in
illicit activities by the applicant.

Article 5

1. Member States will establish a system for exchange of
information on brokering activities among themselves as well
as with third States, as appropriate. A specific arrangement for
such exchange of information will be established. This arrange-
ment will take particular account of the case where several
Member States are involved in the control of
the same
brokering transaction(s).

Information will be exchanged, inter alia, in the following

2.
areas:

— legislation,

— registered brokers (if applicable),

— records of brokers,

— denials of registering applications (if applicable) and licen-

sing applications.

Article 6

Each Member State will establish adequate sanctions, including
criminal sanctions, in order to ensure that controls on arms
brokering are effectively enforced.

Article 7

This Common Position shall take effect on the date of its adop-
tion.

Article 8

This Common Position shall be published in the Official Journal
of the European Union.

Done at Brussels, 23 June 2003.

For the Council

The President

G. PAPANDREOU