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Council Regulation (EU) No 753/2011 of 1 August 2011 concerning restrictive measures directed against certain individuals, groups, undertakings and entities in view of the situation in Afghanistan

Council Regulation (EU) No 753/2011 of 1 August 2011 concerning restrictive measures directed against certain individuals, groups, undertakings and entities in view of the situation in Afghanistan

Article 1

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

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

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

    2. deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;

    3. publicly- and privately-traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts;

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

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

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

    7. documents evidencing an interest in funds or financial resources;

  2. ‘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 may 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, by selling, hiring or mortgaging them;

  5. ‘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;

  6. ‘Sanctions Committee’ means the Committee of the UNSC which was established pursuant to paragraph 30 of UNSC Resolution 1988 (2011);

  7. ‘1267 Committee’ means the Committee of the UNSC which was established pursuant to UNSC Resolutions 1267(1999) and 1333(2000).

  8. ‘grounds for listing’ means the publicly releasable portion of the statement of case as provided by the Sanctions Committee and/or, where applicable, the narrative summary of reasons for listing as provided by the Sanctions Committee; or in the case of a person, group, undertaking or entity listed in Annex I to this Regulation, who was previously listed in Annex I to Council Regulation (EC) No 881/2002 of 27 May 2002 imposing certain specific restrictive measures directed against certain persons and entities associated with Usama bin Laden, the Al-Qaida network and the Taliban(1), the statement of case and/or narrative summary of reasons provided by the 1267 Committee.

  9. ‘territory of the Union’ means the territories of the Member States to which the TFEU is applicable, under the conditions laid down in the TFEU, including their airspace.

Article 2

It shall be prohibited:

  1. to provide, directly or indirectly, technical assistance related to the goods and technology listed in the Common Military List of the European Union(2) (‘Common Military List’), or related to the provision, manufacture, maintenance and use of goods included in that list, to any person, group, undertaking or entity listed in Annex I;

  2. to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the prohibition in point (a).

Article 3

1.

All funds and economic resources belonging to, owned, held or controlled by a natural or legal person, group, undertaking or entity 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 a natural or legal person, group, undertaking or entity 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 in paragraphs 1 and 2 shall be prohibited.

4.

Paragraphs 1 and 2 shall not apply to the making available of funds or economic resources necessary to ensure the timely delivery of humanitarian assistance and other activities that support basic human needs in Afghanistan or to support such activities.

Article 4

1.

Annex I shall consist of a list of natural or legal persons, groups, undertakings and entities who:

  1. were listed, immediately prior to the date of adoption of UNSC Resolution 1988 (2011), as the Taliban, and other individuals, groups, undertakings and entities associated with them, in section A (‘Individuals associated with the Taliban’) and section B (‘entities and other groups and undertaking associated with the Taliban’) of the Consolidated List of the 1267 Committee; or

  2. have been designated by the Sanctions Committee as being individuals, groups, undertakings and entities associated with the Taliban in constituting a threat to the peace, stability and security of Afghanistan.

2.

Annex I shall include the grounds for listing of listed natural or legal persons, groups, undertakings and entities, as provided by the UNSC or by the Sanctions Committee.

3.

Annex I shall also include, where available, the information necessary to identify the natural or legal persons, groups, undertakings and entities concerned, as provided by the UNSC or by the Sanctions Committee. 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 legal persons, groups, undertakings and entities, such information may include names, place and date of registration, registration number and place of business. Annex I shall also include the date of designation by the UNSC or by the Sanctions Committee.

Article 5

1.

By way of derogation from Article 3, the competent authorities of the Member States as identified on the websites 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, under such conditions as they deem appropriate, after having determined that the funds or economic resources are:

  1. necessary for the basic expenses of persons listed in Annex I and their dependent family members, including payments for foodstuffs, rent or mortgages, medicines and medical treatment, taxes, insurance premiums, and public utility charges;

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

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

provided that the Member State concerned has notified the Sanctions Committee of such determination and its intention to grant the 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 3, the competent authorities of the Member States, as identified on the websites 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 frozen funds or economic resources are necessary for extraordinary expenses provided that the Sanctions Committee has been notified of that determination by the Member State concerned and the determination has been approved by the Sanctions Committee.

3.

Any person, group, undertaking or entity wishing to benefit from the exemptions referred to in paragraphs 1 or 2 shall address its request to the relevant competent authority of the Member State as listed in Annex II.

The competent authority listed in Annex II shall promptly notify both the person, group, undertaking or entity that made the request, and any other person, group, undertaking or entity known to be directly concerned, in writing, of whether the request has been granted.

The relevant Member State shall also inform other Member States and the Commission whether the request for such an exemption has been granted.

4.

Funds released and transferred within the Union in order to meet expenses or recognised by virtue of this Article shall not be subject to further restrictive measures pursuant to Article 3.

5.

In the case of persons, groups, undertakings or entities listed in Annex I to this Regulation who were previously listed in Annex I to Regulation (EC) No 881/2002, authorisations granted previously by the competent authorities of the Member States, as identified on the websites listed in Annex II, in relation to the categories of derogation described in paragraphs 1 and 2 of this Article, shall continue to apply.

Article 6

Article 7

Article 8

Article 9

Article 10

Article 11

Article 12

Article 13

Article 14

Article 15

ANNEX I

ANNEX II