Proposal for a Council Regulation imposing certain specific restrictive measures directed against certain natural and legal persons, entities and bodies in view of the situation in Somalia
Date: 2009-07-29
Institutions: European Commission
Subjects: Somalia, economic sanctions, foreign capital, international sanctions, natural person

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 29.7.2009 
COM(2009) 393 final 

2009/0114 (CNS) 

Proposal for a 

COUNCIL REGULATION 

imposing certain specific restrictive measures directed against certain natural and legal 
persons, entities and bodies in view of the situation in Somalia 

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(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

EXPLANATORY MEMORANDUM 

On  20  November  2008,  the  UN  Security  Council,  acting  under  Chapter  VII  of  the 
Charter of the United Nations, adopted Resolution 1844(2008) confirming the general 
and  complete  arms  embargo  against  Somalia  imposed  by  UN  Security  Council 
Resolution  733(1992)  and  introducing  further  restrictive  measures  against  those  who 
1) engage in or provide support for acts that threaten the peace, security or stability of 
Somalia, including acts that threaten the Djibouti Agreement of 18 August 2008 or the 
political process, or threaten the Transitional Federal Institutions (TFIs) or the African 
Union Mission in Somalia (AMISOM) by force, 2) have acted in violation of the arms 
embargo and related measures, or 3) obstruct the delivery of humanitarian assistance 
to Somalia, or access to, or distribution of, humanitarian assistance in Somalia. 

The  additional  restrictive  measures  concern  restrictions  on  admission  and  financial 
restrictive  measures  against  individuals  and  entities  designated  by  the  competent 
United  Nations  Sanctions  Committee.  In  addition  to  the  general  arms  embargo  in 
force, the Resolution introduces a specific ban on the direct or indirect supply, sale or 
transfer  of  weapons  and  military  equipment  and  a  specific  ban  on  the  provision  of 
related assistance and services, to individuals and entities listed by the Committee. 

Common  Position  2009/138/CFSP  of  16  February  20091  confirmed  the  restrictive 
measures  which  had  been  applied  since  20022  and  made  provision  for  additional 
measures  against  individuals  and  entities  identified  by  the  United  Nations  Sanctions 
Committee.  

Some of the measures provided for by Common Position 2009/138/CFSP, namely the 
prohibition to provide technical and financial assistance and other services related to 
military  activities  to  the  individuals  and  entities  listed  by  the  UN  Sanctions 
Committee, and the freezing of funds and economic resources of the said individuals 
and entities, fall within the scope of the Treaty establishing the European Community.  

Council  Regulation  (EC)  No  147/20033  imposed  a  general  ban  on  provision  of 
technical  advice,  assistance,  training,  financing  or  financial  assistance  related  to 
military activities, to any person, entity or body in Somalia. The Commission proposes 
to  implement  the  measures  concerning  individuals  and  entities  listed  by  the  UN 
Sanctions Committee, in the Community by means of a separate Council Regulation. 

In order to cover all persons and entities listed by the Committee, the legal basis of the 
proposed Regulation must include Articles 60, 301 and 308 of the EC Treaty. Indeed, 
the  European  Court  of  Justice  held,  in  its  Judgment  of  3  September  2008  in  joined 
cased  C-402/05  P  and  C-415/05  P,  Yassin  Abdullah  Kadi  and  Al  Barakaat 
International  Foundation  v.  Council,  that  measures  vis-à-vis  “third  countries”  in  the 
sense  of  Articles  60  and  301  of  the  EC  Treaty  include  the  freezing  of  funds  and 
economic  resources  of  the  rulers  of  a  third  country  and  of  individuals  and  entities 
associated with them or controlled, directly or indirectly, by them. These Articles did 
not provide a suitable legal base for the freezing of funds and economic resources of 

1 
2 
3 

OJ L 46, 17.2.2009, p. 73. 
OJ L 334, 11.12.2002, p. 1. 
OJ L 24, 29.1.2003, p. 2. 

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(7) 

(8) 

individuals  and  entities  not  having  such  a  link  to  the  governing  regime  of  a  third 
country. The Court of Justice accepted, however, that Articles 60, 301 and 308 of the 
EC  Treaty  constitute  a  sufficient  legal  base  for  the  freezing  of  funds  and  economic 
resources of such individuals and entities. 

On 3 September 2008 the Court of Justice annulled Regulation (EC) No 881/2002, in 
so  far  as  it  concerned  Mr  Yassin  Abdullah  Kadi  and  Al  Barakaat  International 
Foundation. The Court of Justice held that the Community authority deciding to freeze 
the  funds  and  economic  resources  of  an  individual  or  entity  in  accordance  with 
Regulation (EC) No 881/2002 must communicate the grounds on which that decision 
is based to the individual or entity concerned, in order to observe the rights of defence, 
in particular the right to be heard, and the right to judicial review. 

The  procedure  proposed  for  amending  Annex  I  to  the  Regulation  includes  the 
publication  of  a  notice  including  advice  on  how  to  submit  information  in  order  to 
enable the individuals and entities listed to exercise their right to be heard. The notice 
will be published after the Commission decision listing a person or entity for the first 
time.  Following  the  examination  of  any  information  submitted  by  a  listed  person  or 
entity, the Commission should take a final decision in accordance with the Regulation.  

(9) 

Given the subject-matter the United Nations or a third State may deem it necessary to 
provide  classified  information  to  the  Commission  in  support  of  a  decision  made.  A 
provision is also proposed to provide clarity on the handling of such information. 

(10)  Regulation  (EC)  No  45/2001  of  the  European  Parliament  and  of  the  Council  on  the 
protection  of  individuals  with  regard  to  the  processing  of  personal  data  by  the 
Community  institutions  and  bodies  and  on  the  free  movement  of  such  data,  protects 
the  right  to  privacy  with  respect  to  the  processing  of  personal  data.  A  provision  is 
proposed to provide clarity on the applicable rules for processing of personal data of 
listed individuals, and in particular for processing of data relating to offences, criminal 
convictions or security measures under the Regulation. 

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2009/0114 (CNS) 

Proposal for a 

COUNCIL REGULATION 

imposing certain specific restrictive measures directed against certain natural and legal 
persons, entities and bodies in view of the situation in Somalia 

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  2009/138/CFSP  of  16  February  2009  concerning 
restrictive measures against Somalia and repealing Common Position 2002/960/CFSP4, 

Having regard to the proposal from the Commission, 

Having regard to the opinion of the European Parliament5,  

After consulting the European Data Protection Supervisor 

Whereas: 

(1) 

(2) 

(3) 

On 20 November 2008, the United Nations Security Council, acting under Chapter VII 
of the Charter of  the  United  Nations,  adopted Resolution  1844(2008) confirming the 
general  and  complete  arms  embargo  against  Somalia  imposed  by  the  UN  Security 
Council Resolution 733(1992) and introducing additional restrictive measures. 

The  additional  restrictive  measures  concern  restrictions  on  admission  and  financial 
restrictive measures against individuals and entities designated by the United Nations 
Security  Council  or  by  the  competent  United  Nations  Sanctions  Committee.  In 
addition to the general arms embargo, the Resolution introduces a specific ban on the 
direct and indirect supply, sale or transfer, of weapons and military equipment and a 
specific  ban  on  the  provision  of  related  assistance  and  services,  to  individuals  and 
entities listed by the Committee. 

The restrictive measures should be imposed against individuals and entities designated 
by the UN as engaging in or providing support for acts that threaten the peace, security 
or  stability  of  Somalia,  including  acts  that  threaten  the  Djibouti  Agreement  of  18 
August 2008 or the political process, or threaten the Transitional Federal Institutions 
(TFIs) or African Union Mission in Somalia (AMISON) by force, as having acted in 
violation of the arms embargo and related measures, or as obstructing the delivery of 

4 
5 

OJ L 46, 17.2.2009, p. 73. 
OJ C , , p. . 

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(4) 

(5) 

(6) 

(7) 

(8) 

humanitarian  assistance  to  Somalia,  or  access  to,  or  distribution  of,  humanitarian 
assistance in Somalia. 

Common  Position  2009/138/CFSP  provides,  inter  alia,  for  financial  restrictive 
measures concerning natural and legal persons, entities and bodies listed by the UN, as 
well as for a ban on direct and indirect provision of assistance and services related to 
weapons and military equipment to such persons, entities and bodies. 

These  measures  fall  within  the  scope  of  the  Treaty  establishing  the  European 
Community and, therefore, notably with a view to ensuring their uniform application 
by  economic  operators  in  all  Member  States,  Community  legislation  is  necessary  in 
order to implement them as far as the Community is concerned. 

Council  Regulation  (EC)  No  147/20036  imposed  a  general  ban  on  provision  of 
technical  advice,  assistance,  training,  financing  or  financial  assistance  related  to 
military activities, to any person, entity or body in Somalia. A new Council Regulation 
should  be  adopted  to  implement  the  measures  concerning  natural  and  legal  persons, 
entities and bodies listed by the UN. 

For reasons of expediency, the Commission should be empowered to amend the list of 
natural  and  legal  persons,  entities  and  bodies  whose  funds  and  economic  resources 
should  be  frozen  on  the  basis  of  decisions  reached  by  the  United  Nations  Security 
Council or by the Sanctions Committee. 

The procedure for amending Annex I to the Regulation should include the publication 
of a notice on how to submit information, in order to enable the listed natural and legal 
persons,  entities  and  bodies  to  exercise  their  right  to  be  heard.  Following  the 
examination of any information submitted the Commission should take a new decision 
in accordance with the Regulation. 

(9) 

Provision  should  be  made  for  dealing  with  classified  information  provided  by  the 
United Nations or by a State. 

(10)  Further  to  Common  Position  2009/138/CFSP  this  Regulation  should  provide  for  the 
freezing  of  funds  and  economic  resources  of  natural  and  legal  persons,  entities  and 
bodies that are not linked to the governing regime of Somalia. In view of this, the legal 
basis of this Regulation should include not only Articles 60 and 301, but also Article 
308 of the EC Treaty, in line with the case-law of the Court of Justice. 

(11)  This Regulation respects the fundamental rights and observes the principles recognised 
in  particular  by  the  Charter  of  Fundamental  Rights  of  the  European  Union7  and 
notably the right to an effective remedy and to a fair trial, the right to property and the 
right to protection of personal data. This Regulation should be applied in accordance 
with those rights and principles.  

(12) 

In  order  to  create  maximum  legal  certainty  within  the  Community,  the  names  and 
other  relevant  data  with  regard  to  persons  and  entities,  whose  funds  and  economic 
resources  should  be  frozen  in  accordance  with  the  Regulation,  should  be  made 

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7 

OJ L 24, 29.1.2003, p. 2. 
OJ C 364, 18.12.2000, p. 1. 

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publicly  known.  Processing  by  the  Commission  of  relevant  data  relating  to  criminal 
offences committed by listed natural persons, and to criminal convictions or security 
measures concerning such persons should be authorised subject to appropriate specific 
safeguards. 

(13)  Any  processing  of  personal  data  of  natural  persons  under  this  Regulation  should 
respect Regulation (EC) No 45/2001 of the European Parliament and of the Council of 
18  December  2000  on  the  protection  of  individuals  with  regard  to  the  processing  of 
personal data by the Community institutions and bodies and on the free movement of 
such data8 and Directive 95/46/EC of the European Parliament and of the Council of 
24  October  1995  on  the  protection  of  individuals  with  regard  to  the  processing  of 
personal data and on the free movement of such data9. 

(14)  Member  States  should  determine  the  penalties  applicable  to  infringements  of  the 
provisions  of  this  Regulation.  The  penalties  provided  for  should  be  proportionate, 
effective and dissuasive, 

HAS ADOPTED THIS REGULATION: 

Article 1 

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

(a) 

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

(i) 

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

(ii)  deposits with financial institutions or other entities, balances on accounts, debts 

and debt obligations; 

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

(iv) 

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

(v) 

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

(vi) 

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

(vii)  documents evidencing an interest in funds or financial resources; 

(b) 

‘freezing of funds’ means preventing any move, transfer, alteration, use of, access to, 
or  dealing  with  funds  in  any  way  that  would  result  in  any  change  in  their  volume, 

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OJ L 8, 12.1.2001, p. 1. 
OJ L 281, 23.11.1995, p. 31. 

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(c) 

(d) 

(e) 

(f) 

amount, location, ownership, possession, character, destination 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 may 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, by selling, hiring or mortgaging 
them; 

‘Sanctions Committee’ means the Committee of the UN Security Council established 
pursuant to UN Security Council Resolution 751 (1992) concerning Somalia; 

‘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; 

(g) 

‘investment services’ means  

(i) 

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

(ii) 

execution of orders on behalf of clients;  

(iii)  dealing on own account;  

(iv)  portfolio management;  

(v) 

investment advice;  

(vi)  underwriting  of  financial  instruments  and/or  placing  of  financial  instruments 

on a firm commitment basis; 

(vii)  placing of financial instruments without a firm commitment basis; or  

(viii)  operating of multilateral trading facilities,  

provided that the activity relates to any of the financial instruments listed in Section 
C  of  Annex  I  of  Directive  2004/39/EC  of  the  European  Parliament  and  of  the 
Council  of  21  April  2004  on  markets  in  financial  instruments  amending  Council 
Directives  85/611/EEC  and  93/6/EEC  and  Directive  2000/12/EC  of  the  European 
Parliament and of the Council and repealing Council Directive 93/22/EEC10 ; 

(h) 

‘territory of the Community’ means the territories to which the Treaty is applicable, 
under the conditions laid down in the Treaty. 

10 

OJ L 145, 30.4.2004, p. 1. 

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Article 2 

1. 

2. 

3. 

4. 

5. 

All funds and economic resources belonging to, owned, held or controlled by natural 
or legal persons, entities or bodies listed in Annex I, shall be frozen. 

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

Annex I shall consist of natural and legal persons, entities and bodies designated by 
the  UN  Security  Council  or  by  the  Sanctions  Committee  in  conformity  with  UN 
Security Council Resolution 1844 (2008). 

The  participation,  knowingly  and  intentionally,  in  activities  the  object  or  effect  of 
which is, directly or indirectly, to promote the transactions referred to at paragraphs 1 
and 2 shall be prohibited. 

The prohibition set out in paragraph 2 shall not give rise to liability of any kind on 
the  part  of  the  natural  and  legal  persons,  entities  and  bodies  who  made  funds  or 
economic resources available, if they did not know, and had no reasonable cause to 
suspect, that their actions would infringe this prohibition. 

Article 3 

1. 

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

(a) 

interest or other earnings on those accounts; or 

2. 

1. 

(b)  payments due under contracts, agreements or obligations that were concluded 
or  arose  before  the  date  on  which  the  natural  or  legal  person,  entity  or  body 
referred to in Article 2 has been designated by the Sanctions Committee or the 
Security Council, provided that any such interest, other earnings and payments 
continue to be subject to Article 2(1). 

Article 2(2) shall not prevent financial or credit institutions in the Community from 
crediting frozen accounts where they receive funds transferred by third parties to the 
account of a listed natural or legal person, entity or body, provided that any additions 
to such accounts will also be frozen. The financial or credit institution shall inform 
the  competent  authorities  in  the  Member  States,  as  listed  in  Annex  II,  about  such 
transactions without delay. 

Article 4 

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

(a) 

the competent authority concerned has determined that the funds or economic 
resources are: 

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(i) 

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

(ii) 

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

(iii) 

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

(b) 

the  Member  State  concerned  has  notified  the  Sanctions  Committee  of  that 
determination  and  its  intention  to  grant  an  authorisation,  and  the  Sanctions 
Committee has not objected to that course of action within three working days 
of notification. 

2. 

By  way  of  derogation  from  Article  2,  the  competent  authorities  in  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 funds or economic resources, 
after  having  determined  that  the  funds  or  economic  resources  are  necessary  for 
extraordinary expenses, provided that the Sanctions Committee has been notified of 
this  determination  by  the  Member  State  concerned  and  that  the  determination  has 
been approved by that Committee. 

3. 

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

Article 5 

By way of derogation from Article 2, the competent authorities in 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: 

(a) 

(b) 

(c) 

(d) 

the  funds  or  economic  resources  are  the  subject  of  a  judicial,  administrative  or 
arbitral lien established before the date on which the natural or legal person, entity or 
body referred to in Article 2 has been designated by the Sanctions Committee or the 
Security Council or of a judicial, administrative or arbitral judgment rendered prior 
to that date; 

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; 

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

recognising that the lien or judgment is not contrary to public policy in the Member 
State concerned; and 

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(e) 

the  Sanctions  Committee  has  been  notified  by  the  Member  State  of  the  lien  or 
judgment. 

Article 6 

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

1. 

It  shall  be  prohibited  to  provide,  directly  or  indirectly,  any  of  the  following  to  any 
natural or legal person, entity or body listed in Annex I: 

Article 7 

(a) 

(b) 

(c) 

technical assistance related to military activities or to the supply, sale, transfer, 
manufacture,  maintenance  or  use  of  goods  and  technology  included  in  the 
Common Military List of the European Union; 

financing or financial assistance related to military activities or to the supply, 
sale,  transfer,  manufacture,  maintenance  or  use  of  goods  and  technology 
included in the Common Military List of the European Union; 

investment services related to military activities or to the supply, sale, transfer, 
manufacture,  maintenance  or  use  of  goods  and  technology  included  in  the 
Common Military List of the European Union; 

2. 

3. 

(d)  brokering services, related to military activities or to the goods and technology 

included in the Common Military List. 

The  participation,  knowingly  and  intentionally,  in  activities  the  object  or  effect  of 
which is, directly or indirectly, to circumvent the prohibition referred to in paragraph 
1 shall be prohibited. 

The prohibition set out in paragraph 1(b) shall not give rise to liability of any kind on 
the part of the natural and legal persons, entities and bodies who provided financing 
or financial assistance, if they did not know, and had no reasonable cause to suspect, 
that their actions would infringe this prohibition. 

Article 8 

1. 

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

(a) 

supply immediately the competent authorities listed in Annex II for the country 
where they are resident or located with any information which would facilitate 
compliance  with  this  Regulation,  such  as  accounts  and  amounts  frozen  in 

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accordance  with  Article  2,  and  shall  forward  such  information,  directly  or 
through these competent authorities, to the Commission; and 

(b) 

cooperate with the competent authorities listed in Annex II in any verification 
of this information. 

2. 

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 9 

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 judgments handed down by national courts. 

1. 

The Commission shall be empowered to: 

Article 10 

(a) 

amend Annex I, where necessary in accordance with the procedure referred to 
in Article 12; and 

(b) 

amend Annex II on the basis of information supplied by Member States. 

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  and  the  United  Nations  of  Security  Council  for  the 
purpose of the effective implementation of this Regulation. 

Article 11 

Where  the  United  Nations  Security  Council  or  the  Sanctions  Committee  decides  to 
list a natural or legal person, entity or body for the first time, the Commission shall, 
as  soon  as  a  statement  of  reasons  has  been  provided  by  the  United  Nations,  take  a 
provisional decision on the amendments of Annex I without delay. 

Once  the  provisional  decision  referred  to  in  paragraph  1  has  been  taken,  the 
Commission  shall  without  delay  publish  a  notice  regarding  the  modalities  for 
submitting information in relation to Annex I, providing the natural or legal person, 
entity or body concerned an opportunity to express his, her, or its view on the matter. 

The  Commission  shall  take  a  final  decision  concerning  the  person,  entity  or  body 
concerned in accordance with the procedure referred to in Article 12. 

Where the United Nations decide to de-list a natural or legal person, entity or body, 
or to amend the identifying data of a listed natural or legal person, entity or body, the 
Commission shall amend Annex I accordingly. 

2. 

1. 

2. 

3. 

4. 

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1. 

2. 

1. 

2. 

1. 

The Commission shall be assisted by a committee. 

Article 12 

Where  reference  is  made  to  this  paragraph,  Articles  3  and  7  of  Decision 
1999/468/EC shall apply. 

Article 13 

If the United Nations or a State submits classified information, the Commission shall 
treat such information in accordance with Decision 2001/844/EC, ECSC, Euratom of 
29  November  2001  amending  its  Internal  Rules  of  Procedure11  and,  where 
applicable,  the  agreement  on  the  security  of  classified  information  concluded 
between the European Union and the submitting State.  

Documents  classified  at  a  level  corresponding  to  ‘EU  Top  Secret’,  ‘EU  Secret’  or 
‘EU Confidential’ shall not be released without the consent of the originator. 

Article 14 

The Commission shall process personal data in order to carry out its tasks under this 
Regulation. These tasks include:  

(a) 

preparing amendments of Annex I to this Regulation;  

(b) 

consolidating  the  contents  of  Annex  I  in  the  electronic,  consolidated  list  of 
persons, entities and bodies subject to EU financial sanctions available on the 
Commission website12;  

(c) 

processing of information concerning the grounds for listing; and  

(d)  processing  of  information  on  the  impact  of  the  measures  of  this  Regulation 
such as the value of frozen funds and information on authorisations granted by 
the competent authorities. 

2. 

Annex I shall only include the following information on listed natural persons: 

(a) 

surname and given names, including alias names and titles, if any; 

(b)  date and place of birth; 

(c) 

nationality; 

(d)  passport and ID card numbers; 

(e) 

fiscal and social security numbers; 

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OJ L 317, 3.12.2001, p. 1. 
http://ec.europa.eu/external_relations/cfsp/sanctions/list/consol-list.htm 

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(f) 

sex; 

(g) 

address or other information on whereabouts; 

(h) 

function or profession; 

(i) 

the date of designation referred to in Article 3(1)(b); 

(j) 

the grounds for listing if the function does not qualify as such. 

Annex  I  may  also  include  the  following  personal  data  relating  to  listed  natural 
persons,  if  such  data  is  provided  by  the  United  Nations  Security  Council  or  by  the 
Sanctions  Committee  and  is  necessary  in  a  specific  case  for  the  sole  purpose  of 
verification of the identity of the listed natural person in question: 

(a) 

surname and given names of the natural person’s father; 

(b) 

surname and given names of the natural person’s mother. 

The natural persons concerned shall be informed of the use made of their names in 
Annex I in the same manner as the listed natural person. 

The Commission may process relevant data relating to criminal offences committed 
by  listed  natural  persons,  and  to  criminal  convictions  or  security  measures 
concerning such persons, only to the extent that such processing is necessary for the 
preparation of a statement of reasons and review of the views on it expressed by the 
natural person concerned, subject to appropriate specific safeguards. Such data shall 
not be made public or exchanged. 

For  the  purposes  of  this  Regulation,  the  Commission  unit  listed  in  Annex  II  is 
designated as “controller” within the meaning of Article 2(d) of Regulation (EC) No 
45/2001,  in  order  to  ensure  that  the  natural  persons  concerned  can  exercise  their 
rights under Regulation (EC) No 45/2001. 

Article 15 

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. 

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

3. 

4. 

5. 

1. 

2. 

This Regulation shall apply: 

Article 16 

(a) 

(b) 

EN 

within the territory of the Community, including its airspace; 

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

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(c) 

(d) 

(e) 

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

to any legal person, entity or body 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 Community. 

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

Article 17 

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

Done at Brussels, […] 

For the Council 
The President 
[…] 

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ANNEX I 

Natural and legal persons, entities or bodies referred to in Articles 2 and 7 

ANNEX II 

List  of  competent  authorities  referred  to  in  Articles  3(2),  4,  5  and  8  and  address  for 
notifications to the European Commission 

(To be completed by the Member States)  

BELGIUM 

BULGARIA 

CZECH REPUBLIC 

DENMARK 

GERMANY 

ESTONIA 

IRELAND 

GREECE 

SPAIN 

FRANCE 

ITALY 

CYPRUS 

LATVIA 

LITHUANIA 

EN 

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LUXEMBOURG 

HUNGARY 

MALTA 

NETHERLANDS 

AUSTRIA 

POLAND 

PORTUGAL 

ROMANIA 

SLOVENIA 

SLOVAKIA 

FINLAND 

SWEDEN 

UNITED KINGDOM 

Address for notifications to the European Commission: 

European Commission 

DG External Relations 

Directorate A. Crisis Platform and Policy Coordination in CFSP 

Unit A.2. Crisis Management and Conflict Prevention 

CHAR 12/106 

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B-1049 Bruxelles/Brussel (Belgium) 

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

Tel.: (32 2) 295 55 85 

Fax: (32 2) 299 08 73 

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