Joint Proposal for a COUNCIL REGULATION amending Council Regulation (EU) 2017/1770 concerning restrictive measures in view of the situation in Mali
Date: 2021-11-30
Institutions: Directorate-General for Financial Stability, Financial Services and Capital Markets Union, European Commission
Subjects: EU restrictive measure, Mali, economic sanctions, international sanctions, legal person, natural person

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   EUROPEAN COMMISSION HIGH REPRESENTATIVE OF THE UNION FOR FOREIGN AFFAIRS AND SECURITY POLICY Brussels, 30.11.2021  JOIN(2021) 33 final/2 2021/0408 (NLE)  DOWNGRADED ON 20.5.2022 Joint Proposal for a COUNCIL REGULATION amending Council Regulation (EU) 2017/1770 concerning restrictive measures in view of the situation in Mali  
 
 
EXPLANATORY MEMORANDUM 

(1) 

(2) 

(3) 

(4) 

(5) 

to  Council  Decision 
Council  Regulation  (EU)  No  2017/1770  gives  effect 
2017/1775/CFSP and provides for the freezing of  funds and economic resources of 
certain  persons  designated  by  the  United  Nations  Security  Council  (the  ‘Security 
Council’) or by the relevant United Nations Sanctions Committee as responsible for 
or complicit in, or having engaged in, directly or indirectly, actions or policies that 
threaten the peace, security, or stability of Mali. 

Decision (CFSP) 2021/XXX establishes criteria for Union autonomous listings. 

Regulatory action at the Union level is therefore necessary to give effect to Decision 
(CFSP)  2021/XXX,  in  particular  with  a  view  to  ensure  uniform  application  by 
economic operators in all Member States. 

Regulation (EU) No 2017/1770 should therefore be amended accordingly. 

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

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2021/0408 (NLE) 

Joint Proposal for a 

COUNCIL REGULATION 

amending Council Regulation (EU) 2017/1770 concerning restrictive measures in view of 
the situation in Mali 

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  (CFSP)  2017/1775  of  28  September  2017  concerning 
restrictive measures in view of the situation in Mali1, 

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) 

(2) 

(3) 

(4) 

(5) 

Council  Regulation  (EU)  No  2017/17702  gives  effect 
to  Council  Decision 
2017/1775/CFSP  and  provides  for  the  freezing  of  funds  and  economic  resources  of 
certain  persons  designated  by  the  United  Nations  Security  Council  (the  ‘Security 
Council’) or by the relevant United Nations Sanctions Committee as responsible for or 
complicit  in,  or  having  engaged  in,  directly  or  indirectly,  actions  or  policies  that 
threaten the peace, security, or stability of Mali. 

Decision (CFSP) 2021/XXX establishes criteria for Union autonomous listings. 

Regulatory action at the Union level is therefore necessary to  give effect to Decision 
(CFSP)  2021/XXX,  in  particular  with  a  view  to  ensure  uniform  application  by 
economic operators in all Member States. 

Regulation (EU) No 2017/1770 should therefore be amended accordingly. 

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

HAS ADOPTED THIS REGULATION: 

Article 1 

Regulation (EU) No 2017/1770 is amended as follows:  

(1) Article 2 is replaced by the following: 

‘Article 2 

All funds and economic resources belonging to, owned, held or controlled, directly or 
1. 
indirectly, by any natural or legal person, entity or body listed in Annex I or Annex Ia, shall 
be frozen. 

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2 

OJ L 251, 29.9.2017, p. 23. 
Council Regulation (EU) No 2017/1770 of 28 September 2017 concerning restrictive measures in view 
of the situation in Mali (OJ L 251, 29.9.2017, p. 1). 

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No funds or economic resources shall be made available, directly or indirectly, to or 

2. 
for the benefit of natural or legal persons, entities or bodies listed in Annex I or Annex Ia.’ 

(2) the following articles are inserted: 

‘Article 2a 

Annex  I shall include natural  and legal  persons, entities and bodies identified by the 

1. 
Security Council or by the Sanctions Committee as: 

engaging in  hostilities in violation of the Agreement on Peace and Reconciliation  in 

(a) 
Mali (the ‘Agreement’); 

taking  actions  that  obstruct,  or  that  obstruct  by  prolonged  delay,  or  that  threaten  the 

(b) 
implementation of the Agreement; 

(c) 
acting for or on behalf of or at the direction of, or otherwise supporting or financing 
individuals and entities identified in points (a) and (b), including through the proceeds from 
organised  crime,  including  the  production  and  trafficking  of  narcotic  drugs  and  their 
precursors  originating  in  or  transiting  through  Mali,  the  trafficking  in  persons  and  the 
smuggling  of  migrants,  the  smuggling  and  trafficking  of  arms  as  well  as  the  trafficking  in 
cultural property; 

(d) 

involved in planning, directing, sponsoring, or conducting attacks against: 

(i) the various entities referenced in the Agreement, including local, regional and state 
institutions, joint patrols and the Malian Security and Defence forces; 

United  Nations  Multidimensional 

Integrated  Stabilization  Mission 
(ii) 
(MINUSMA)  peacekeepers  and  other  UN  and  associated  personnel,  including 
members of the Panel of Experts; 

international security presences, including the Force Conjointe des Etats du G5 

(iii) 
Sahel (FC-G5S), European Union Missions and French forces; 

obstructing  the  delivery  of  humanitarian  assistance  to  Mali,  or  access  to,  or 

(e) 
distribution of, humanitarian assistance in Mali; 

(f) 
planning, directing, or committing acts in Mali that violate international human rights 
law or international humanitarian law, as applicable, or that constitute human rights abuses or 
violations, including those involving the targeting of civilians, including women and children, 
through  the  commission  of  acts  of  violence  (including  killing,  maiming,  torture,  or  rape  or 
other sexual violence), abduction, enforced disappearance, forced displacement, or attacks on 
schools, hospitals, religious sites, or locations where civilians are seeking refuge; 

using or recruiting children by armed groups or armed forces in violation of applicable 

(g) 
international law, in the context of the armed conflict in Mali; 

knowingly  facilitating  the  travel  of  a  listed  person  in  violation  of  the  travel 

(h) 
restrictions. 

Annex  I  shall  include  the  grounds  for  the  listing  of  the  persons,  entities  and  bodies 

2. 
concerned. 

Annex  I  shall  also  include,  where  available,  information  necessary  to  identify  the 
3. 
natural or legal persons, entities and bodies concerned. With regard to natural persons, such 
information may include names including aliases, date and place of birth, nationality, passport 
and ID card numbers,  gender, address, if known, and function or profession. With regard to 
legal  persons,  entities  and  bodies,  such  information  may  include  names,  place  and  date  of 
registration, registration number and place of business. 

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Article 2b 

Annex Ia shall include the natural or legal persons, entities or bodies designated by the 

1. 
Council on any of the following grounds: 

(a)  being  responsible  for  or  complicit  in,  or  having  engaged,  directly  or  indirectly,  in  the 
actions  or  policies  that  threaten  the  peace,  security,  or  stability  of  Mali,  [including  those 
actions or policies referred to in Article 2a, paragraph 1] or  

(b) obstructing or undermining the successful completion of its political transition, including 
by  obstructing  or  undermining  the  holding  of  elections  or  the  handover  of  power  to  elected 
authorities or 

(c) being  associated with natural or legal persons, entities or bodies referred to in points (a) 
and (b). 

Annex  Ia  shall  include  the  grounds  for  listing  the  persons  and  entities  referred  to 

2. 
therein. 

Annex Ia shall also contain, where available, the information necessary to identify the 
3. 
persons or entities concerned. With regard to natural persons, such information may include 
names,  including  aliases,  date  and  place  of  birth,  nationality,  passport  and  identity  card 
numbers, gender, address if known, and function or profession. With regard to entities, such 
information may include names, place and date of registration, registration number and place 
of business.’ 

(3) Article 3, paragraph 1, letter (a) is replaced by the following: 

‘(a) necessary to satisfy the basic needs of natural persons listed in Annex I or Annex Ia, and 
dependent family members of such natural persons, including payments for foodstuffs, rent or 
mortgage,  medicines  and  medical  treatment,  taxes,  insurance  premiums,  and  public  utility 
charges;’ 

(4) in Article 3, paragraph 1, letter (c) is replaced by the following: 

intended  exclusively  for  payment  of  fees  or  service  charges  for  routine  holding  or 

‘(c) 
maintenance of frozen funds or economic resources; and  

(5) in Article 3, paragraph 1, last subparagraph is replaced by the following: 

‘where the authorisation concerns a person, entity or body listed in Annex I provided that the 
competent authority of the Member State concerned has notified the Sanctions Committee of 
that determination and its intention to grant an authorisation, and in the absence of a negative 
decision by the Sanctions Committee within five working days of such notification.’ 

(6) in Article 3, paragraphs 2, 3 and 4 are replaced by the following: 

‘2. 
By way of derogation from Article 2, the competent authorities of the Member States 
may  authorise  the  release  of  certain  frozen  funds  or  economic  resources,  or  the  making 
available  of  certain  funds  or  economic  resources,  under  such  conditions  as  they  deem 
appropriate,  after  having  determined  that  the  funds  or  economic  resources  concerned  are 
necessary for extraordinary expenses, provided that:  

(a) where the authorisation concerns a natural or legal person, entity or body listed in Annex I 
such determination has been notified to the Sanctions Committee by the competent authority 
of  the  Member  State  concerned  and  that  the  determination  has  been  approved  by  that 
Committee; and 

(b) where the authorisation concerns a natural or legal person, entity or body listed in Annex 
Ia, the Member State concerned has notified other Member States and the Commission of the 

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grounds  on  which  it  considers  that  a  specific  authorisation  should  be  granted,  at  least  two 
weeks prior to granting the authorisation. 

3. 
By way of derogation from Article 2, with regard to a natural or legal person, entity 
and body listed in Annex I, the competent authorities of the Member States may authorise the 
release of certain frozen funds or economic resources, or the making available of certain funds 
or  economic  resources,  under  such  conditions  as  they  deem  appropriate,  provided  that  the 
Sanctions Committee determined on a case-by-case basis that such a derogation would further 
the objectives of peace and national reconciliation in Mali and stability in the region. 

4. 
The  Member  State  concerned  shall  inform  the  other  Member  States  and  the 
Commission  of  any  authorisation  granted  under  this  Article  within  two  weeks  of  the 
authorisation.’ 

(7) the following articles are inserted: 

‘Article 3a 

1.   By way of derogation from Article 2, and with regard to a person, entity and body listed in 
Annex  Ia,  the  competent  authorities  may  authorise  the  release  of  certain  frozen  funds  or 
economic  resources,  or  the  making  available  of  certain  funds  or  economic  resources,  under 
such conditions as they deem appropriate, after having determined that the provision of such 
funds  or  economic  resources  is  necessary  for  humanitarian  purposes,  such  as  delivering  or 
facilitating  the  delivery  of  assistance,  including  medical  supplies,  food,  or  the  transfer  of 
humanitarian workers and related assistance or for evacuations from Mali. 

2.   The Member State concerned shall inform the other Member States and the Commission 
of any authorisation granted under paragraph 1 within two weeks of the authorisation. 

Article 3b 

By  way  of  derogation  from  Article  2,  and  with  regard  to  a  person,  entity  and  body 
1. 
listed in Annex Ia, the competent authorities of the Member States may authorise the release 
of  certain  frozen  funds  or  economic  resources,  or  the  making  available  of  certain  funds  or 
economic resources, under such conditions as they deem appropriate, after having determined 
that the funds or economic resources concerned are to  be paid  into or from  an account  of a 
diplomatic  or  consular  mission  or  an  international  organisation  enjoying  immunities  in 
accordance  with  international  law,  insofar  as  such  payments  are  intended  to  be  used  for 
official purposes of the diplomatic or consular mission or international organisation. 

2. 
The  Member  State  concerned  shall  inform  the  other  Member  States  and  the 
Commission  of  any  authorisation  granted  under  paragraph  1  within  two  weeks  of  the 
authorisation.’ 

(8) Article 4 is replaced by the following: 

‘1. 
By way of derogation from Article 2, the competent authorities in the Member States 
may authorise the release of certain  frozen funds or economic resources for natural  or legal 
persons, entities or bodies listed in Annex I or Annex Ia, or the making available of certain 
funds or economic resources for natural or legal persons, entities or bodies listed in Annex I 
or Annex Ia, if the following conditions are met: 

(a) 

the funds or economic resources are the subject of: 

(i) for a natural or legal person, entity or body listed in Annex I, a judicial, administrative or 
arbitral  decision established prior to  the date on  which the natural  or legal  person,  entity or 
body  referred  to  in  Article  2a  was  included  in  Annex  I,  or  of  a  judicial,  administrative  or 
arbitral lien rendered prior to that date; 

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(ii)  for  a  natural  or  legal  person,  entity  or  body  listed  in  Annex  Ia,  an  arbitral  decision 
rendered prior to the date on which the natural or legal person, entity or body referred to in 
Article 2b was included in Annex Ia, or of a judicial or administrative decision rendered in the 
Union, or a judicial decision enforceable in the Member State concerned, prior to or after that 
date; 

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

the decision or lien is  not  for the benefit  of a natural  or legal  person, entity or body 

(c) 
listed in Annex I or Annex Ia; 

recognising the decision or lien is not contrary to public policy in the Member State 

(d) 
concerned; and 

for a natural or legal person, entity or body listed in Annex I, the Sanctions Committee 

(e) 
has been notified by the Member State of the decision or lien. 

2. The Member State concerned shall inform the other Member States and the Commission of 
any authorisation granted under paragraph 1 within two weeks of the authorisation.’ 

(9) Article 5 is replaced by the following: 

‘Article 5 

1. 
By way of derogation from Article 2(1) and provided that a payment by a natural or 
legal person, entity or body listed in Annex I or Annex Ia is due under a contract or agreement 
that  was  concluded  by,  or  an  obligation  that  arose  for,  the  natural  or  legal  person,  entity  or 
body  concerned,  before  the  date  on  which  that  natural  or  legal  person,  entity  or  body  was 
included  in  Annex  I,  the  competent  authorities  of  the  Member  States  may  authorise,  under 
such  conditions  as  they  deem  appropriate,  the  release  of  certain  frozen  funds  or  economic 
resources, provided that the competent authority concerned has determined that: 

the  funds  or  economic  resources  shall  be  used  for  a  payment  by  a  natural  or  legal 

(a) 
person, entity or body listed in Annex I or Annex Ia; and, 

(b) 

the payment is not in breach of Article 2(2). 

2.  For  a  natural  or  legal  person,  entity  or  body  listed  in  Annex  I,  the  intention  to  grant  an 
authorisation shall be notified by the relevant Member State to the Sanctions Committee 10 
working days in advance. 

3. 
The  Member  State  concerned  shall  inform  the  other  Member  States  and  the 
Commission  of  any  authorisation  granted  under  paragraph  1  within  two  weeks  of  the 
authorisation.’ 

(10) in Article 6, paragraph 2 is replaced by the following: 

‘2. 

(a) 

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

interest or other earnings on those accounts;  

(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 included in Annex I or Annex Ia; or 

(c) 
payments  due  to  a  natural  or  legal  person,  entity  or  body  listed  in  Annex  Ia  under 
judicial, administrative or arbitral decisions rendered in the EU or enforceable in the Member 
State concerned, 

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provided  that  any  such  interest,  other  earnings  and  payments  are  frozen  in  accordance  with 
Article 2.’ 

(11) the following articles are inserted: 

‘Article 6a 

1. Natural persons as listed in Annex I or Annex Ia shall be prevented from entering into, or 
transiting through, the territory of a Member State. 

Paragraph 1 shall not oblige a Member State to refuse its own nationals entry into its 

2. 
territory. 

Article 6b 

Article 6a shall not apply to the entry into or transit through the territory of a Member 

1. 
State of the natural persons listed in Annex Ia provided that: 

such  entry  or  transit  is  required  by  an  obligation  of  international  law  binding  on  the 

(a) 
Member State in question:  

(i) 

as a host country of an international intergovernmental organisation;  

as  a  host  country  to  an  international  conference  convened  by,  or  under  the 

(ii) 
auspices of, the United Nations;  

(iii) 

under a multilateral agreement conferring privileges and immunities; or  

pursuant  to  the  1929  Treaty  of  Conciliation  (Lateran  Pact)  concluded  by  the 

(iv) 
Holy See (Vatican City State) and Italy. 

the Member State is host country of the Organization for Security and Co-operation in 

(b) 
Europe (OSCE).  

The  Member  State  concerned  shall  inform  the  other  Member  States  and  the 
2. 
Commission  of  any  exemption  granted  under  paragraph  1  within  two  weeks  of  the 
authorisation. 

An exemption granted pursuant to this Article shall be strictly limited to the purpose 

3. 
for which it is given and to the natural persons directly concerned thereby. 

Article 6c 

By way of derogation from Article 6a, the competent authorities may authorise, under 
1. 
such conditions  as they  deem  appropriate, the entry into or transit through the territory of a 
Member State of the natural persons listed in Annex I or Annex Ia provided that such entry or 
transit is: 

(a) 
in  the  case  of  natural  persons  listed  in  Annex  I,  and  based  on  a  case-by-case 
determination  by  the  Sanctions  Committee:  justified  on  the  grounds  of  urgent  humanitarian 
need,  including  religious  obligation  or  where  an  exemption  would  further  the  objectives  of 
peace and national reconciliation in Mali and stability in the region;   

(b) 
in  the  case  of  natural  persons  listed  in  Annex  Ia,  justified  on  the  grounds  of  urgent 
humanitarian  need,  or  on  grounds  of  attending  intergovernmental  meetings  or  meetings 
promoted or hosted by the Union, or hosted by a Member State holding the Chairmanship in 
office of the OSCE, where a political dialogue is conducted that directly promotes the policy 
objectives of the restrictive measures in view of the situation in Mali; or  

(c) 

necessary for the fulfilment of a judicial process. 

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2. 
The  Member  State  concerned  shall  notify  the  other  Member  States  and  the 
Commission  in  writing  of  its  intention  to  grant  an  authorisation  under  this  Article.  If  a 
Member State or the Commission raises an objection in writing within two working days of 
receiving the notification, the Council, acting by a qualified majority, may decide to grant the 
proposed authorisation. 

An authorisation granted pursuant to this Article shall be strictly limited to the purpose 

3. 
for which it is given and to the natural persons directly concerned thereby.’ 

(12) Article 8 is replaced by the following: 

‘Article 8 

It  shall  be  prohibited  to  participate,  knowingly  and  intentionally,  in  activities  the  object  or 
effect of which is to circumvent the measures referred to in Article 2 and 6a.’ 

(13) Article 10, paragraph 1, letter (a) is replaced by the following: 

‘(a) designated natural or legal persons, entities or bodies listed in Annex I or Annex Ia;’ 

(14) in Article 12, paragraph 5 is deleted 

(15) the following article is inserted: 

‘Article 12a 

1. 

The Commission shall be empowered to: 

amend Annex Ia on the basis of decisions taken by the Council in respect of Annex II 

(a) 
to Council Decision (CFSP) 2021/XXX; and 

(b) 

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

2. 
The  Commission  shall  communicate  the  decision  referred  to  in  paragraph  1(a), 
including the grounds for the listing, to the natural or legal person, entity or body concerned if 
the address is known or, if the address is not known, make known the decision to the natural 
or legal  person, entity or body  concerned through the publication of  a notice in  the  Official 
Journal of the European Union, in either case providing such natural or legal person, entity or 
body with an opportunity to submit observations. 

3. 
Where observations are submitted or where substantial new evidence is presented, the 
Commission shall review its decision in light of the observations or new evidence submitted 
and  any  other  relevant  information,  and  as  a  result  may  amend  Annex  Ia  following  the 
empowerment procedure in paragraph 1(a). The natural or legal person shall be informed of 
the outcome of the review.’ 

(16) the following article is inserted: 

‘Article 13a 

The Commission shall process personal data in order to carry out its tasks under this 

1. 
Regulation. These tasks include: 

(a) 

preparing and making amendments to Annex Ia; 

adding  the  contents  of  Annex  I  and  Annex  Ia  to  the  electronic,  consolidated  list  of 
(b) 
persons,  groups  and  entities  subject  to  Union  financial  sanctions  and  to  the  interactive 
sanctions map, both publicly available; 

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

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2. 
For  the  purposes  of  this  Regulation,  the  Commission  is  designated  as  ‘controller’ 
within  the  meaning  of  Article  3(8)  of  Regulation  (EU)  2018/17253  in  relation  to  the 
processing activities necessary to accomplish the tasks referred to in paragraph 1.’ 

(17) the title of Annex I is replaced by: 

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

(18) the following Annex is inserted: 

‘ANNEX Ia 

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

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

Article 2 

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

Done at Brussels, 

For the Council 
The President 

3 

Regulation  (EU)  2018/1725  of  the  European  Parliament  and  the  Council  of  23  October  2018  on  the 
protection of natural persons with regard to the  processing of personal data by the Union institutions, 
bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 
45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39). 

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