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 Yugoslavia (1),

Having regard to the proposal from the Commission,

Having regard to the Opinion of the European Parliament,

Whereas:

(1)

The International Criminal Tribunal for the former Yugoslavia (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 establishment, 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.

(2)	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, particularly to bring all fugitive indictees to the ICTY.

(3)

Common Position 2004/694/CFSP stipulates that certain funds and economic resources should be frozen in 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 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.

(4)

These measures fall within the scope of the Treaty and, therefore, in order to avoid any distortion of competition, 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 territories of the Member States to which the Treaty is applicable, under the conditions laid down in that Treaty.

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

(6)	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,

(7)

The Treaty, in Articles 60 and 301, empowers the 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 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:

‘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;

(b)	deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;

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

(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;

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

(h)	any other instrument of export financing;

‘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, amount, location, ownership, possession, character, destination or other change that would enable the funds to be used, including portfolio management;

3.	‘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;

4.	‘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.

3. The participation, knowingly and intentionally, in 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.

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 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:

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

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

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

The relevant competent authority shall inform the competent 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 release of certain frozen funds or economic resources, if the following conditions are met:

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

(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.

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

Article 5

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

Article 2(2) shall not prevent the crediting of 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 frozen. The financial institution shall inform the competent 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 amounts frozen in accordance with Article 2, to the competent authorities of the Member States listed in Annex II where they are resident or located, and shall transmit such information, directly or through these competent authorities, to the Commission;

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

2. Any additional information directly received by the Commission shall be made available to the competent authorities 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 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.

Article 9

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 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.

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 the Community who is a national of a Member State;

(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 publication 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, 11 October 2004.

For the Council

The President

B. R. BOT

(1) See page 52 of this Official Journal.

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

GREECE

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

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

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

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

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

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

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

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