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DRAFT REPORT (COM(2022)0684 – C90401/2022 – 2022/0398(COD))

On the proposal for a directive of the European Parliament and of the Council on the definition of criminal offences and penalties for the violation of Union restrictive measures

LIBE-PR-746946

Committee on Civil Liberties, Justice and Home Affairs · Rapporteur: Sophia in 't Veld

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This is the rapporteur's draft report on a proposed directive that sets out criminal offences and penalties for violating EU restrictive measures. It proposes amendments to the Commission's proposal, including changes to negligence liability, penalties for natural and legal persons, aggravating circumstances, and cooperation between national authorities. The draft report amends the proposal to cover negligence, sets higher maximum penalties, adds aggravating circumstances, and creates new rules on statistics and dedicated national units.

Committee position. The rapporteur proposes to amend the Commission's proposal by broadening criminal liability to negligence, increasing penalties, adding aggravating circumstances, strengthening cooperation and creating new rules on statistics and dedicated national units.

Key points

  1. Member States should criminalise conduct infringing EU restrictive measures when committed with intent or negligence, where the person knew or should have known.
  2. Legal professionals must report violations when providing legal, financial and trade services, but legal advice connected to judicial proceedings remains protected by professional secrecy, except in specified cases.
  3. Legal persons should be held criminally liable, and Member States without such liability must ensure effective, dissuasive and proportionate sanctions.
  4. Member States should provide for aggravating circumstances, with the judge deciding whether to increase the sentence.
  5. National authorities should cooperate through Europol, Eurojust and the European Public Prosecutor's Office, and report to the EPPO on relevant criminal conduct.
  6. The conduct of moving, transferring, altering, using, accessing, dealing with, selling, hiring or mortgaging frozen funds or economic resources should be a criminal offence.
  7. Offences involving funds or economic resources of at least EUR 100 000 should be punishable by at least five years' imprisonment, and natural persons may face fines of at least EUR 10 000 000.
  8. Legal persons should face fines of at least 15 percent of total worldwide turnover for certain offences.
  9. Aggravating circumstances should include use of false documents, violation of professional obligations, substantial financial benefits, obstruction of investigations, failure to assist authorities, and senior management involvement.
  10. Member States must set up or designate a dedicated unit to coordinate among administrative, law enforcement and judicial authorities, with tasks including ensuring common priorities, exchanging information, and assisting practitioner networks.
  11. Member States must provide competent authorities with human, technical and financial resources, premises and infrastructure for effective investigation and prosecution.
  12. Member States must collect and submit annual statistics on criminal proceedings, penalties and frozen or seized assets, and the Commission may adopt delegated acts on data collection.

Who is affected

  • Member States, which must criminalise violations, set penalties, and ensure cooperation and resources.
  • Legal professionals, who must report violations but have secrecy protections for certain legal advice.
  • Legal persons, who may be held liable and face fines based on worldwide turnover.
  • National competent authorities, which must cooperate through EU bodies and set up dedicated units.

Figures and deadlines

  • EUR 100 000, the threshold for funds or economic resources triggering higher penalties.
  • Five years, the maximum penalty of imprisonment for certain offences involving at least EUR 100 000.
  • EUR 10 000 000, the maximum fine for natural persons for offences involving at least EUR 100 000.
  • 15 percent, the maximum limit of fines for legal persons based on total worldwide turnover.
  • Five years, the maximum penalty of imprisonment for offences under Article 12(4)(b).
  • September of the following year, the annual deadline for Member States to submit statistics.
  • Two months, the period for Parliament or Council to object to a delegated act.
  • Five years after the transposition period, the deadline for the Commission's evaluation.

Legal basis: Article 294(2) and Article 83(1) of the Treaty on the Functioning of the European Union.