Council Regulation (EC) No 1763/2004 of 11 October 2004 imposing certain restrictive measures in support of effective implementation of the mandate of the International Criminal Tribunal for the former Yugoslavia (ICTY)
Date: 2004-10-11
Institutions: Council of the European Union
Subjects: International Criminal Tribunal, Yugoslavia, economic sanctions, fight against crime, international human rights law, peacekeeping

L 315/14

EN

Official Journal of the European Union

14.10.2004

COUNCIL REGULATION (EC) No 1763/2004

of 11 October 2004

imposing certain restrictive measures in support of effective implementation of the mandate of the
International Criminal Tribunal for the former Yugoslavia (ICTY)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty
establishing the European
Community, and in particular Articles 60, 301 and 308 thereof,

Having regard to Common Position 2004/694/CFSP on further
measures in support of effective implementation of the mandate
of the International Criminal Tribunal for the former Yugo-
slavia (1),

Having regard to the proposal from the Commission,

Having regard to the Opinion of the European Parliament,

Whereas:

(1)

(2)

(3)

The International Criminal Tribunal for the former Yugo-
slavia (ICTY) was established by means of UN Security
Council Resolutions 808 and 827 (1993), which are
based on Chapter VII of the UN Charter. The ICTY has
the power to prosecute persons responsible for serious
violations of international humanitarian law committed
in the territory of the former Yugoslavia since 1991. The
Security Council argued that the widespread and flagrant
violations of humanitarian law occurring within the
territory of the former Yugoslavia constituted a threat
to international peace and security and that the estab-
lishment, as an ad hoc measure, of an international
tribunal and the prosecution of persons responsible for
serious violations of
international humanitarian law
would contribute to the restoration and maintenance of
peace.

On 28 August 2003, UN Security Council Resolution
1503 (2003) called on the ICTY to complete all work
in 2010 and on all States to intensify cooperation with
and render all necessary assistance to the ICTY, parti-
cularly to bring all fugitive indictees to the ICTY.

Common Position 2004/694/CFSP stipulates that certain
should be frozen in
funds and economic resources
support of effective implementation of the mandate of
the ICTY. These additional restrictive measures should be
used so as to control all dealings with funds and

(4)

(5)

(6)

(7)

economic resources owned by persons indicted by the
ICTY who are still at large and to ban any support they
might receive from within the Community.

These measures fall within the scope of the Treaty and,
in order to avoid any distortion of compe-
therefore,
tition, Community legislation is necessary to implement
these measures as far as the Community is concerned.
For the purposes of this Regulation, the territory of the
Community should be deemed to encompass the terri-
the Member States to which the Treaty is
tories of
applicable, under the conditions laid down in that Treaty.

For reasons of expediency, the Commission should be
empowered to amend the Annexes to this Regulation.

In order to ensure that the measures provided for in this
Regulation are effective, this Regulation should enter into
force on the day of its publication,

in Articles 60 and 301, empowers the
The Treaty,
Council
to take, under certain conditions, measures
aimed at the interruption or reduction of payments or
movement of capital and of economic relations with
regard to third countries. The measures laid down in
individual persons not
this Regulation,
directly linked to the government of a third country,
are necessary to attain this objective of the Community
and Article 308 of the Treaty empowers the Council to
take such measures if no other specific powers are
provided for in the Treaty,

targeted at

HAS ADOPTED THIS REGULATION:

Article 1

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

1.

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

(a) cash, cheques, claims on money, drafts, money orders

and other payment instruments;

(1) See page 52 of this Official Journal.

(b) deposits with financial

institutions or other entities,

balances on accounts, debts and debt obligations;

14.10.2004

EN

Official Journal of the European Union

L 315/15

(c) publicly

and privately

and debt
traded securities
including stocks and shares, certificates
warrants,

instruments,
representing
debentures and derivatives contracts;

securities,

bonds,

notes,

making available of certain frozen funds or economic resources,
under such conditions as they deem appropriate, after having
determined that the funds or economic resources concerned are:

(d)

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

(a) necessary for basic expenses, including payments for food-
stuffs, rent or mortgage, medicines and medical treatment,
taxes, insurance premiums, and public utility charges;

(e) credit, right of set-off, guarantees, performance bonds or

other financial commitments;

(b) intended exclusively for payment of reasonable professional
incurred expenses associated

fees and reimbursement of
with the provision of legal services;

(f)

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

(g) documents evidencing an interest in funds or financial

resources;

(h) any other instrument of export financing;

2.

3.

4.

funds’ means preventing any move,

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

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

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

Article 2

1.
All funds and economic resources belonging to, or owned
or held by, natural persons indicted by the ICTY, and listed in
Annex I, shall be frozen.

2.
No funds or economic resources shall be made available,
directly or indirectly, to or for the benefit of the natural persons
listed in Annex I.

The

participation,

in
knowingly
3.
activities the object or effect of which is, directly or indirectly,
to circumvent the measures referred to at paragraphs 1 and 2
shall be prohibited.

intentionally,

and

(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 all other
and the
competent
Commission at least two weeks prior to the authorisation.

authorities

inform the competent
The relevant competent authority shall
authorities of the other Member States and the Commission of
any authorisation granted under this Article.

Article 4

By way of derogation from Article 2, the competent authorities
of the Member States as listed in Annex II may authorise the
if the
release of certain frozen funds or economic resources,
following conditions are met:

(a)

the funds or economic resources are subject of a judicial,
administrative or arbitral
to 14
October 2004 or of a judicial, administrative or arbitral
judgment rendered prior to that date;

lien established prior

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

(c) The lien or judgment is not for the benefit of a person,

entity or body listed in Annex I;

(d) Recognising the lien or judgment is not contrary to public

policy in the Member State concerned.

Article 3

By way of derogation from Article 2, the competent authorities
of the Member States as listed in Annex II may authorise the
release of certain frozen funds or economic resources or the

The relevant competent authority shall
inform the competent
authorities of the other Member States and the Commission of
any authorisation granted under this Article.

L 315/16

EN

Official Journal of the European Union

14.10.2004

Article 5

Article 9

Article 2(2) shall not apply to the addition to frozen accounts
of:

(i)

interest or other earnings on those accounts; or

(ii) payments due under contracts, agreements or obligations
that were concluded or arose prior to the date on which
those accounts became subject to this Regulation,

provided that any such interest, other earnings and payments
continue to be subject to Article 2(1).

Article 6

the crediting of

Article 2(2) shall not prevent
the frozen
accounts by financial institutions that receive funds transferred
by third parties to the account of the listed person or entity,
provided that any such additions to such accounts will also be
inform the competent
institution shall
frozen. The financial
authorities about such transactions without delay.

Article 7

1. Without prejudice to the applicable rules concerning
reporting, confidentiality and professional secrecy and to the
provisions of Article 284 of
the Treaty, natural and legal
persons, entities and bodies shall:

(a) supply immediately any information which would facilitate
compliance with this Regulation, such as accounts and
to the
frozen in accordance with Article 2,
amounts
competent authorities of
listed in
Annex II where they are resident or located, and shall
transmit
through these
such information, directly or
competent authorities, to the Commission;

the Member States

(b) cooperate with the competent authorities listed in Annex II

in any verification of this information.

Any additional

2.
information directly received by the
Commission shall be made available to the competent autho-
rities of the Member State concerned.

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 8

The freezing of funds and economic resources or the refusal to
in
make funds or economic resources available, carried out
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 implementing it, or
its directors or employees, unless it is proved that the funds and
economic resources were frozen as a result of negligence.

The Commission and the Member States shall
immediately
inform each other of the measures taken under this Regulation
and shall supply each other with any other relevant information
in
at
particular information in respect of violation and enforcement
problems and judgments handed down by national courts.

in connection with this Regulation,

their disposal

Article 10

The Commission shall be empowered to:

(a) amend Annex I, taking into account the Council Decisions
implementing Common Position 2004/694/CFSP, and

(b) amend Annex II on the basis of information supplied by

Member States.

Article 11

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

The Member States shall notify those rules to the Commission
without delay after the entry into force of this Regulation and
shall notify it of any subsequent amendment.

Article 12

This Regulation shall apply:

(a) within the territory of

the Community,

including its

airspace;

(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
Community who is a national of a Member State;

the

(d) to any legal person, group or entity which is incorporated

or constituted under the law of a Member State;

(e)

to any legal person, group or entity doing business within
the Community.

Article 13

This Regulation shall enter into force on the day of its publi-
cation in the Official Journal of the European Union.

14.10.2004

EN

Official Journal of the European Union

L 315/17

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

Done at Brussels, 11 October 2004.

For the Council
The President

B. R. BOT

ANNEX I

List of persons referred to in Article 2

1. Ante GOTOVINA. Date of birth: 12 October 1955. Place of birth: island of Pasman, Zadar, Republic of Croatia.

2. Radovan KARADŽIĆ. Date of birth: 19 June 1945. Place of birth: Savnik, Serbia and Montenegro.

3. Ratko MLADIĆ. Date of birth: 12 March 1942. Place of birth: Kalinovik, Bosnia and Herzegovina.

L 315/18

EN

Official Journal of the European Union

14.10.2004

ANNEX II

List of competent authorities referred to in Articles 3 and 4

BELGIUM

Service public fédéral des affaires étrangères, commerce extérieur et coopération au développement/Federale
Overheidsdienst Buitenlandse Zaken, Buitenlandse Handel en Ontwikkelingssamenwerking
Egmont 1
Rue des Petits Carmes/Karmelietenstraat 19
B-1000 Bruxelles/Brussel

Service public fédéral des finances/Federale Overheidsdienst Financiën
Administration de la trésorerie/Administratie van de Thesaurie
Avenue des Arts/Kunstlaan 30
B-1040 Bruxelles/Brussel
Télécopieur/fax (32-2) 233 74 65
Courriel/e-mail: Quesfinvragen.tf@minfin.fed.be

CZECH REPUBLIC

Ministerstvo financí
Finanční analytický útvar
P.O. Box 675
Jindřišská 14
111 21 Praha 1
Tel: +420 25704 4501
Fax: +420 25704 4502

DENMARK

National Agency for Enterprise and Construction/Erhvervs- og Byggestyrelsen
Dahlerups Pakhus
Langelinie Allé 17
DK-2100 København Ø
Tlf. (45) 35 46 60 00
Fax (45) 35 46 60 01
E-mail: ebst@ebst.dk

GERMANY

Concerning freezing of funds / Einfrieren von Guthaben:

Deutsche Bundesbank
Servicezentrum Finanzsanktionen
Postfach
D-80281 München
Tel. (49-89) 2889 3800
Fax: (49-89) 350163 3800

Concerning goods / Waren:

Bundesamt für Wirtschaft und Ausfuhrkontrolle (BAFA)
Frankfurter Straße 29—35
D-65760 Eschborn
Tel. (49-6196) 9 08-0
Fax: (49-6196) 9 08-800

ESTONIA

Finantsinspektsioon
Sakala 4
15030 Tallinn
Tel: (372-6) 680 500
Faks: (372-6) 680 501

14.10.2004

EN

Official Journal of the European Union

L 315/19

GREECE

A. Freezing of Assets

Ministry of Economy and Finance
General Directory of Economic Policy
Address: 5 Nikis Str.
GR-101 80 Athens
Tel. (30-210) 33 32 786
Fax (30-210) 33 32 810

A. Δέσμευση κεφαλαίων

Υπουργείο Οικονομίας και Οικονομικών
Γενική Διεύθυνση Οικονομικής Πολιτικής
Διεύθυνση: Νίκης 5
GR-101 80 Αθήνα
Τηλ. (30-210) 33 32 786
Φαξ (30-210) 33 32 810

B.

Import- Export restrictions

Ministry of Economy and Finance
General Directorate for Policy Planning and Management
Address: 1 Kornaroy Str.
GR-105 63 Athens
Tel. (30-210) 32 86 401-3
Fax (30-210) 32 86 404

B. Περιορισμοί εισαγωγών-εξαγωγών

Υπουργείο Οικονομίας και Οικονομικών
Γενική Διεύθυνση Σχεδιασμού και Διαχείρισης Πολιτικής
Διεύθυνση: Κορνάρου 1
GR-105 63 Αθήνα
Τηλ. (30-210) 32 86 401-3
Φαξ (30-210) 32 86 404

SPAIN

Dirección General del Tesoro y Política Financiera
Subdirección General de Inspección y Control de Movimientos y Capitales
Ministerio de Economía
Paseo del Prado, 6
E-28014 Madrid
Tel. (34) 912 09 95 11

Subdirección General de Inversiones Exteriores
Ministerio de Economía
Paseo de la Castellana, 162
E-28046 Madrid
Tel. (34) 913 49 39 83

FRANCE

Ministère de l'économie, des finances et de l'industrie
Direction générale des douanes et des droits indirects
Cellule embargo — Bureau E2
Téléphone (33-1) 44 74 48 93
Télécopieur (33-1) 44 74 48 97

Ministère de l'économie, des finances et de l'industrie
Direction du Trésor
Service des affaires européennes et internationales
Sous-direction E
139, rue de Bercy
F-75572 Paris Cedex 12
Téléphone (33-1) 44 87 72 85
Télécopieur (33-1) 53 18 96 37

L 315/20

EN

Official Journal of the European Union

14.10.2004

Ministère des affaires étrangères

— Direction de la coopération européenne

Sous-direction des relations extérieures de la Communauté
Téléphone (33-1) 43 17 44 52
Télécopieur (33-1) 43 17 56 95

— Direction générale des affaires politiques et de sécurité

Service de la politique étrangère et de sécurité commune
Téléphone (33-1) 43 17 45 16
Télécopieur (33-1) 43 17 45 84

IRELAND

Central Bank and Financial Services Authority of Ireland
Financial Markets Department
Dame Street
Dublin 2
Ireland
Tel.: 00353 1 6716666
Fax: 00353 1 6798882

Department of Foreign Affairs
United Nations Section
79-80 St Stephens Green
Dublin 2
Ireland
Tel.: 00353 1 4780822
Fax: 00353 1 4082165

ITALY

Ministero degli Affari esteri
Direzione generale per i paesi dell'Europa
Ufficio III
Piazzale della Farnesina, 1
I-00194 Roma
Tel. (39) 06 36 91 22 78
Fax (39) 06 323 58 33

Ministero dell'Economia e delle finanze
Dipartimento del Tesoro
Comitato di Sicurezza finanziaria
Via XX Settembre, 97
I-00187 Roma
Tel. (39) 06 47 61 39 42
Fax (39) 06 47 61 30 32

CYPRUS

OFFICE OF THE ATTORNEY GENERAL
OF THE REPUBLIC OF CYPRUS
Tel. 357 22 889 115
Fax 357 22 667498
Address: Apelli Street 1
1403 Nicosia, Cyprus

LATVIA
Latvijas Republikas Ārlietu ministrija
Brīvības iela 36
Rīga LV-1395
Tel. (371) 7016 201
Fakss (371) 7828 121

14.10.2004

EN

Official Journal of the European Union

L 315/21

LITHUANIA
Lietuvos Respublikos užsienio reikalų ministerija
J. Tumo-Vaižganto 2
LT-01511 Vilnius, Lietuva
Tel. (+370) 5 2362444; 2362516; 2362593
Faks. (+370) 5 2313090
El. paštas: urm@urm.lt

Finansinių nusikaltimų tyrimo tarnyba prie Lietuvos Respublikos vidaus reikalų ministerijos
Šermukšnių st. 3
LT-01106 Vilnius, Lietuva
Tel. (+370) 5 271 74 47
Pasitikėjimo tel. (+370) 5 261 62 05
Faks. (+370) 5 262 18 26
El. paštas: info@fntt.lt

LUXEMBOURG

Ministère des affaires étrangères
Direction des relations internationales
6, rue de la Congrégation
L-1352 Luxembourg
Téléphone (352) 478 23 46
Télécopieur (352) 22 20 48

Ministère des finances
3, rue de la Congrégation
L-1352 Luxembourg
Téléphone (352) 478 27 12
Télécopieur (352) 47 52 41

HUNGARY

Ministry of Interior
József Attila utca 2/4.
H-1051 Budapest
Hungary
Tel. +36 (1) 441-1000
Fax +36 (1) 441-1437

Belügyminisztérium
József Attila utca 2/4.
H-1051 Budapest
Magyarország
Tel. +36 (1) 441-1000
Fax +36 (1) 441-1437

MALTA

Bord ta' Sorveljanza dwar is-Sanzjonijiet
Direttorat ta' l-Affarijiet Multilaterali
Ministeru ta' l-Affarijiet Barranin
Palazzo Parisio
Triq il-Merkanti
Valletta CMR 02
Tel: +356 21 245705
Fax: +356 21 25 15 20

NETHERLANDS

Ministerie van Financiën
Directie Financiële Markten, afdeling Integriteit
Postbus 20201
2500 EE Den Haag
Tel. 0031 703428997
Fax 0031 703427984

L 315/22

EN

Official Journal of the European Union

14.10.2004

AUSTRIA

Oesterreichische Nationalbank
Otto-Wagner-Platz 3
A-1090 Wien
Tel. (+43-1) 404 20-00
Fax (+43-1) 40420-73 99

POLAND
Organ koordynujący:

Ministerstwo Spraw Zagranicznych
Departament Prawno-Traktatowy
Al. J. Ch. Szucha 23
00-580 Warszawa
Polska
Tel. (+48 22) 523 9427 lub 9348
Fax (+48 22) 523 8329

Zamrażanie aktywów:

Ministerstwo Finansów
Generalny Inspektor Informacji Finansowej
ul. Świętokrzyska 12
00-916 Warszawa
Polska
Tel. (+48 22) 694 59 70 lub 694 34 12 lub 826 01 87
Fax (+48 22) 694 54 50

Pomoc prawna:

Ministerstwo Sprawiedliwości
Biuro Postępowania Przygotowawczego – Wydział Obrotu Prawnego z Zagranicą
Al. Ujazdowskie 11
00-950 Warszawa
Polska
Tel. (+48 22) 521 24 61 lub 521 24 661
Fax (+48 22) 621 70 06

Przepływ osób:

Ministerstwo Spraw Wewnętrznych
Straż Graniczna
02-514 Warszawa
Tel. (+48 22) 845 40 71
Fax (+48 22) 844 62 87

PORTUGAL

Ministério dos Negócios Estrangeiros
Direcção-Geral dos Assuntos Multilaterais
Largo do Rilvas
P-1350-179 Lisboa
Tel.: (351) 21 394 60 72
Fax: (351) 21 394 60 73

Ministério das Finanças
Direcção-Geral dos Assuntos Europeus e Relações Internacionais
Avenida Infante D. Henrique, n.o 1, C 2.o
P-1100 Lisboa
Tel.: (351) 21 882 32 40/47
Fax: (351) 21 882 32 49

14.10.2004

EN

Official Journal of the European Union

L 315/23

SLOVENIA

Ministrstvo za pravosodje (Ministry of justice)
Župančičeva 3
1000 Ljubljana
Slovenia
Tel. + 386 1 369 52 00
Telefaks + 386 1 369 57 83
E-pošta: gp.mp@gov.si

Ministrstvo za zunanje zadeve (Ministry of Foreign Affairs)
Prešernova 25
1000 Ljubljana
Slovenia
Tel. + 386 1 478 20 00
Telefaks + 386 1 478 23 40 in 478 23 41
E-pošta: info.mzz@gov.si

SLOVAKIA

Ministerstvo financií Slovenskej Republiky
Štefanovičova 5
P. O. Box 82
817 02 Bratislava
Slovenská republika
Tel: (421-2) 59 58 1111
Fax: (421-2) 52 49 80 42

FINLAND

Ulkoasiainministeriö/Utrikesministeriet
PL/PB 176
FI-00161 Helsinki/Helsingfors
P. (358-9) 16 00 5
F. (358-9) 16 05 57 07

SWEDEN

Riksförsäkringsverket (RFV)
S-103 51 Stockholm
Tfn (46-8) 786 90 00
Fax (46-8) 411 27 89

UNITED KINGDOM

HM Treasury
Financial Systems and International Standards
1, Horse Guards Road
London
SW1A 2HQ
United Kingdom
Tel.: (44 20) 7270 5977/5323
Fax: (44 20) 7270 5430
E-Mail: financialsanctions@hm-treasury.gov.uk

EUROPEAN COMMUNITY

Commission of the European Communities
Directorate-General for External Relations
Directorate CFSP
Unit A.2: Legal and institutional matters for external relations — Sanctions
CHAR 12/163
B-1049 Bruxelles/Brussel
tel. (32-2) 296 25 56
fax (32-2) 296 75 63
E-Mail: relex-sanctions@cec.eu.int