Council Regulation (EC) No 1183/2005 of 18 July 2005 imposing certain specific restrictive measures directed against persons acting in violation of the arms embargo with regard to the Democratic Republic of the Congo
Date: 2005-07-18
Institutions: Council of the European Union
Subjects: Democratic Republic of the Congo, arms trade, economic sanctions, international sanctions

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I

(Acts whose publication is obligatory)

COUNCIL REGULATION (EC) No 1183/2005

of 18 July 2005

imposing certain specific restrictive measures directed against persons acting in violation of the
arms embargo with regard to the Democratic Republic of the Congo

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 2005/440/CFSP of 13 June
2005 concerning restrictive measures against the Democratic
Republic of the Congo (1),

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Parliament (2),

Whereas:

(1)

(2)

In view of the continuing illicit flow of weapons within
and into the Democratic Republic of the Congo, the UN
Security Council, acting under Chapter VII of the Charter
of the United Nations, adopted Resolution 1596 (2005)
of 18 April 2005 providing,
for financial
restrictive measures against persons designated by the
competent United Nations Sanctions Committee as
acting in violation of
the arms embargo imposed
against the Democratic Republic of the Congo by UN
Security Council Resolutions 1493 (2003) and 1596
(2005).

inter alia,

Common Position 2005/440/CFSP provides, inter alia, for
restrictive measures
the financial
implementation of
against persons designated by the competent United
Nations Sanctions Committee. Those measures
fall
within the scope of the Treaty. In order to avoid any
distortion of competition Community measures are
therefore necessary to implement
them as far as the
Community is concerned. For the purposes of this Regu-
lation, the territory of the Community should be deemed
to encompass the territories of the Member States to
which the Treaty is applicable, under the conditions
laid down in the Treaty.

(3)

(4)

(5)

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
this Regulation, targeted also at individual persons not
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,

HAS ADOPTED THIS REGULATION:

Article 1

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

1.

‘Sanctions Committee’ means the Committee of the Security
Council of
the United Nations which was established
pursuant to paragraph 8 of UN Security Council Resolution
1533 (2004);

2.

‘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) OJ L 152, 15.6.2005, p. 22.
(2) Opinion delivered on 23 June 2005 (not yet published in the

Official Journal).

(b) deposits with financial

institutions or other entities,

balances on accounts, debts and debt obligations;

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(c) publicly

and privately

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

instruments,
representing
debentures and derivatives contracts;

securities,

bonds,

notes,

(d)

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

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

other financial commitments;

(f)

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

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

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

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

fees and reimbursement of
with the provision of legal services;

(g) documents evidencing an interest in funds or financial

resources;

(c)

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

(h) any other instrument of export-financing;

3.

4.

5.

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 the natural or legal persons, entities or bodies listed
in Annex I shall be frozen.

provided that the Member State concerned has notified this
determination to the Sanctions Committee and the Sanctions
Committee has not objected within four working days of such
notification.

2.
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 making available of certain frozen funds or
economic resources, after having determined that the funds or
economic resources are necessary for extraordinary expenses,
provided that
this determination has been notified by the
Member State to the Sanctions Committee and that the deter-
mination has been approved by that Committee.

Article 4

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,
if the
following conditions are met:

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

(a)

the funds or economic resources are subject of a judicial,
administrative or arbitral lien established prior to 18 April
2005 or of a judicial, administrative or arbitral judgement
rendered prior to that date;

The

participation,

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

intentionally,

and

Article 3

(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 judgement, within the limits set by applicable laws
and regulations governing the rights of persons having such
claims;

1.
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

(c)

the lien or judgement is not for the benefit of a person,
entity or body listed in Annex I;

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(d) recognising the lien or judgement is not contrary to public

policy in the Member State concerned;

Any information provided or received in accordance with
3.
paragraphs 1 and 2 shall be used only for the purposes for
which it was provided or received.

(e)

the lien or judgement has been notified by the Member
State to the Sanctions Committee.

Article 7

Article 5

Article 2(2) shall not apply to the addition to frozen

1.
accounts of:

(a)

interest or other earnings on those accounts, or

(b) 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
are frozen in accordance with Article 2(1).

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

Article 6

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.

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, entity or body implementing
it, or its directors or employees, unless it is proved that the
result of
funds and economic resources were frozen as
negligence.

Article 8

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

Article 9

1.

The Commission shall be empowered to:

(a) amend Annex I on the basis of determinations made by the

Sanctions Committee; and

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

Member States.

2. Without prejudice to the rights and obligations of the
Member States under the Charter of the United Nations, the
Commission shall maintain all necessary contacts with the
Sanctions Committee for the purpose of the effective implemen-
tation of this Regulation.

Article 10

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 imple-
mented. The penalties provided for must be effective, propor-
tionate and dissuasive.

Any additional

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

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.

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Article 11

This Regulation shall apply

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

constituted under the law of a Member State;

(a) within the territory of

the Community,

including its

airspace;

(e)

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

(b) on board any aircraft or any vessel under the jurisdiction of

a Member State;

Article 12

(c)

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

the

This Regulation shall enter into force on the day of its publi-
cation 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, 18 July 2005.

For the Council
The President

J. STRAW

ANNEX I

List of natural and legal persons, entities or bodies referred to in Article 2

(Annex to be completed subject to designation by the Committee of the Security Council established pursuant to
paragraph 8 of UN Security Council Resolution 1533 (2004))

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List of competent authorities referred to in Articles 3, 4, 5 and 6

ANNEX II

BELGIUM

Federale Overheidsdienst Financiën
Thesaurie
Kunstlaan 30
B-1040 Brussel
Fax: 00 32 2 233 74 65
E-mail: Quesfinvragen.tf@minfin.fed.be

Service Public Fédéral des Finances
Trésorerie
30 Avenue des Arts
B-1040 Bruxelles
Fax: 00 32 2 233 74 65
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 2 5704 4501
Fax: + 420 2 5704 4502

Ministerstvo zahraničních věcí
Odbor společné zahraniční a bezpečnostní politiky EU
Loretánské nám. 5
118 00 Praha 1
Tel.: + 420 2 2418 2987
Fax: + 420 2 2418 4080

DENMARK

Erhvervs- og Byggestyrelsen
Langelinie Allé 17
DK-2100 København K
Tlf. (45) 35 46 62 81
Fax (45) 35 46 62 03

Udenrigsministeriet
Asiatisk Plads 2
DK-1448 København K
Tlf. (45) 33 92 00 00
Fax (45) 32 54 05 33

Justitsministeriet
Slotholmsgade 10
DK-1216 København K
Tlf. (45) 33 92 33 40
Fax (45) 33 93 35 10

GERMANY

Concerning freezing of funds:
Deutsche Bundesbank
Servicezentrum Finanzsanktionen
Postfach
D-80281 München
Tel. (49) 89 28 89 38 00
Fax (49) 89 35 01 63 38 00

Concerning technical assistance:
Bundesamt für Wirtschaft und Ausfuhrkontrolle (BAFA)
Frankfurter Straße 29—35
D-65760 Eschborn
Tel. (49) 61 96 908-0
Fax (49) 61 96 908-800

ESTONIA

Eesti Välisministeerium
Islandi väljak 1
15049 Tallinn
Tel.: + 372 6317 100
Faks: + 372 6317 199

Finantsinspektsioon
Sakala 4
15030 Tallinn
Tel.: + 372 6680 500
Faks: + 372 6680 501

GREECE

A. Freezing of Assets

Ministry of Economy and Finance
General Directory of Economic Policy
Address: 5 Nikis Str.
10 563 Athens — Greece
Tel.: + 30 210 3332786
Fax: + 30 210 3332810

Α. Δέσμευση κεφαλαίων

Υπουργείο Οικονομίας και Οικονομικών
Γενική Δ/νση Οικονομικής Πολιτικής
Δ/νση: Νίκης 5
10 563 Αθήνα
Τηλ.: + 30 210 3332786
Φαξ: + 30 210 3332810

Β. Import-Export restrictions

Ministry of Economy and Finance
General Directorate for Policy Planning and Management
Address Kornaroy Str.
10 563 Athens
Tel.: + 30 210 3286401-3
Fax: + 30 210 3286404

Β. Περιορισμοί εισαγωγών — εξαγωγών

Υπουργείο Οικονομίας και Οικονομικών
Γενική Δ/νση Σχεδιασμού και Διαχείρισης Πολιτικής
Δ/νση: Κορνάρου 1
Τ.Κ. 10 563 Αθήνα — Ελλάς
Τηλ.: + 30 210 3286401-3
Φαξ: + 30 210 3286404

SPAIN

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

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Dirección General de Comercio e Inversiones
Subdirección General de Inversiones Exteriores
Ministerio de Industria, Comercio y Turismo
Paseo de la Castellana, 162
E-28046 Madrid
Tel. (34) 913 49 39 83

CYPRUS

Ministry of Commerce, Industry and Tourism
6 Andrea Araouzou
1421 Nicosia
Tel: + 357 22 86 71 00
Fax: + 357 22 31 60 71

FRANCE

et de

la politique

Ministère de l'économie, des finances et de l'industrie
Direction générale du Trésor
économique
Service des affaires multilatérales et du développement
Sous-direction Politique commerciale et investissements
Investissements et Propriété intellec-
Service Services,
tuelle
139, rue du Bercy
75572 Paris Cedex 12
Tél.: (33) 1 44 87 72 85
Télécopieur: (33) 1 53 18 96 55

Ministère des affaires étrangères
Direction générale des affaires politiques et de sécurité
Direction des Nations unies et des organisations interna-
tionales
Sous-direction des affaires politiques
Tél.: (33) 1 43 17 59 68
Télécopieur (33) 1 43 17 46 91
Service de la politique étrangère et de sécurité commune
Tél.: (33) 1 43 17 45 16
Télécopieur: (33) 1 43 17 45 84

IRELAND

United Nations Section
Department of Foreign Affairs
Iveagh House
79-80 Saint Stephen's Green
Dublin 2
Tel.: + 353 1 478 0822
Fax: + 353 1 408 2165

Central Bank and Financial Services Authority of Ireland
Financial Markets Department
Dame Street
Dublin 2
Tel.: + 353 1 671 6666
Fax: + 353 1 679 8882

ITALY

Ministero degli Affari Esteri
Piazzale della Farnesina, 1
I-00194 Roma
D.G.A.S. — Ufficio III
Tel. (39) 06 3691 8221
Fax. (39) 06 3691 5296

Ministero dell'Economia e delle Finanze
Dipartimento del Tesoro
Comitato di Sicurezza Finanziaria
Via XX Settembre, 97
I-00187 Roma
Tel. (39) 06 4761 3942
Fax. (39) 06 4761 3032

Central Bank of Cyprus
80 Kennedy Avenue
1076 Nicosia
Tel: + 357 22 71 41 00
Fax: + 357 22 37 81 53

Ministry of Finance (Department of Customs)
M. Karaoli
1096 Nicosia
Tel: + 357 22 60 11 06
Fax: + 357 22 60 27 41/47

līdzekļu

LATVIA
Latvijas Republikas Prokuratūra
Noziedzīgi
iegūtu
dienests
Kalpaka bulvāris 6
Rīga, LV 1801
Tālr. Nr. (371) 70144431
Fakss: (371) 7044804
E-pasts: gen@lrp.gov.lv

legalizācijas novēršanas

Latvijas Republikas Ārlietu ministrija
Brīvības iela 36
Rīga, LV 1395
Tālr. Nr. (371) 7016201
Fakss: (371) 7828121
E-pasts: mfa.cha@mfa.gov.lv

LITHUANIA

Security Policy Department
Ministry of Foreign Affairs of the Republic of Lithuania
J. Tumo-Vaižganto 2
LT-01511 Vilnius
Lithuania
Tel. (370-5) 236 25 16
Faks. (370-5) 236 30 90

LUXEMBOURG
Ministère des Affaires étrangères et de l’Immigration
Direction des Relations économiques internationales
5, rue Notre-Dame
L-2240 Luxembourg
Tél.: (352) 478 2346
Fax: (352) 22 20 48

Ministère des Finances
3, rue de la Congrégation
L-1352 Luxembourg
Tél.: (352) 478 2712
Fax: (352) 47 52 41

HUNGARY

Hungarian National Police Headquarters
Teve u. 4–6.
H-1139 Budapest
Hungary
Tel./fax: + 36-1-443-5554

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Országos Rendőrfőkapitányság
1139 Budapest, Teve u. 4–6.
Magyarország
Tel./fax: + 36-1-443-5554

Ministry of Finance
József nádor tér. 2–4.
H-1051 Budapest
Hungary
Postbox: 1369 Pf.: 481
Tel.: + 36-1-318-2066, + 36-1-327-2100
Fax: + 36-1-318-2570, + 36-1-327-2749

Pénzügyminisztérium
1051 Budapest, József nádor tér. 2–4.
Magyarország
Postafiók: 1369 Pf.: 481
Tel.: + 36-1-318-2066, + 36-1-327-2100
Fax: + 36-1-318-2570, + 36-1-327-2749

Ministry of Economic Affairs and Transport (in view of
Article 4)
Hungarian Trade Licencing Office
Margit krt.85.
H-1024 Budapest Hungary
Postbox: 1537 Pf.: 345
Tel.: + 36-1-336-7327
Gazdasági és Közlekedési Minisztérium – Kereskedelmi
Engedélyezési Hivatal
Margit krt.85.
H-1024 Budapest Magyarország
Postafiók: 1537 Pf.: 345
Tel.: + 36-1-336-7327

MALTA

Bord ta' Sorveljanza dwar is-Sanzjonijiet
Ministeru ta' l-Affarijiet Barranin
Palazzo Parisio
Triq il-Merkanti
Valletta CMR 02
Tel.: + 356 21 24 28 53
Fax: + 356 21 25 15 20

NETHERLANDS

De minister van Financiën
De Directie Financiële Markten/Afdeling Integriteit
Postbus 20201
NL-2500 EE Den Haag
Tel.: 070-342 8997
Fax: 070-342 7984

AUSTRIA

Oesterreichische Nationalbank
Otto Wagner Platz 3
A-1090 Wien
Tel. (+ 43-1) 404 20-0
Fax (+ 43-1) 404 20-7399

POLAND

Main authority:

Coordinating authority:

Ministry of Foreign Affairs
Department of Law and Treaties
Al. J. Ch. Szucha 23
00-580 Warsaw
Poland
Tel. (+ 48 22) 523 94 27 or 93 48
Fax. (+ 48 22) 523 83 29

PORTUGAL

Ministério dos Negócios Estrangeiros
Direcção-Geral dos Assuntos Multilaterais
Largo do Rilvas
P-1350-179 Lisboa
Tel. (351) 21 394 67 02
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 3390/8
Fax (351) 21 882 3399

SLOVENIA

Ministry of Foreign Affairs
Prešernova 25
SI-1000 Ljubljana
Tel.: 00386 1 4782000
Faks: 00386 1 4782341

Ministry of the Economy
Kotnikova 5
SI-1000 Ljubljana
Tel.: 00386 1 4783311
Faks: 00386 1 4331031

Ministry of Defence
Kardeljeva pl. 25
SI-1000 Ljubljana
Tel.: 00386 1 4712211
Faks: 00386 1 4318164

SLOVAKIA

Ministerstvo financií Slovenskej republiky
Štefanovičova 5
P.O. BOX 82
817 82 Bratislava
Tel.: 00421/2/5958 1111
Fax: 00421/2/5249 8042

Ministerstvo zahraničných vecí Slovenskej republiky
Hlboká cesta 2
83336 Bratislava
Tel: 00421/2/5978 1111
Fax: 00421/2/5978 3649

Ministry of Finance
General Inspector of Financial Information (GIFF)
ul. Świętokrzyska 12
00-916 Warsaw
Poland
Tel. (+ 48 22) 694 59 70
Fax. (+ 48 22) 694 54 50

FINLAND

Ulkoasiainministeriö/Utrikesministeriet
PL/PB 176
FIN-00161 Helsinki/Helsingfors
P./Tfn (358-9) 16 00 5
Faksi/Fax (358-9) 16 05 57 07

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SWEDEN

Articles 3 and 4:

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

Articles 5 and 6:

Finansinspektionen
Box 6750
113 85 Stockholm
Tfn (46-8) 787 80 00
Fax (46-8) 24 13 35

UNITED KINGDOM

HM Treasury
Financial Systems and International Standards
1, Horse Guards Road
London SW1A 2HQ
United Kingdom

Tel. + 44 (0) 20 7270 5977
Fax. + 44 (0) 20 7270 5430

Bank of England
Financial Sanctions Unit
Threadneedle Street
London EC2R 8AH
United Kingdom
Tel. + 44 (0) 20 7601 4768
Fax. + 44 (0) 20 7601 4309

EUROPEAN COMMUNITY

European Commission
DG External Relations
Directorate A: Common Foreign and Security Policy
(CFSP)
and European Security and Defence Policy
(ESDP): Commission Coordination and contribution
Unit A 2: Legal and institutional matters, CFSP Joint
Actions, Sanctions, Kimberley Process
Tel. (32-2) 295 55 85
Fax (32-2) 296 75 63