Compliance screening

from Wikipedia, the free encyclopedia

Compliance screening means comparing certain data with sanction lists . Compliance screening is a counter-terrorism instrument and serves to prevent money transfers and control weapons exports . Such provisions are laid down, for example, in the so-called EU anti-terrorism regulations to adapt to Resolution 1390 (2002) of the United Nations Security Council of January 16, 2002.

EU anti-terrorism regulations

In the EU, there are basic provisions from the EC Regulation (EC) No. 881/2002, which is aimed specifically against Osama bin Laden , the al-Qaida network and the Taliban as well as other individuals, groups, companies and organizations, related to them. According to this, the delivery, sale and passing on of technical advice, assistance or training in connection with military activities and the manufacture, maintenance and use of weapons and other related material of any kind to the named persons, groups and organizations is prohibited.

This regulation was supplemented in the years 2002-2004 by the regulations (EC) No. 951/2002, 1580/2002, 1644/2002, 1754/2002, 1823/2002, 1893/2002, 1935/2002, 2083/2002, 145/2003, 215/2003, 244/2003, 342/2003, 350/2003, 370/2003, 414/2003, 866/2003, 1012/2003, 1184/2003, 56/2003, 1607/2003, 1724 / 2003, 1991/2003, 2157/2003, 19/2004, 100/2004, 180/2004, 391/2004, 524/2004 and 667/2004. In these supplements, people, groups or organizations were added who are subject to the targeted boycott.

Another regulation, Regulation (EC) No. 2580/2001, is directed against other persons, groups and organizations suspected of terrorism, e.g. B. Hamas and the Islamic Jihad .

Practical meaning

With the inclusion of a person on the sanctions list, this person must be refused any further participation in legal transactions. The person can no longer participate in contractual transactions that have the "movement" of assets as their object, nor effect execution on a tangible or only real level (transfer of ownership), be it through sale (surrender) or acquisition (acceptance).

The regulations apply directly in all member states of the European Union and must be observed by all parties involved in commercial and legal transactions without the need for national implementation measures. In addition to authorities and courts, these include private and legal persons such as notaries, banks, insurance companies and companies. Under civil law, the courts must ex officio observe the relative prohibition of sale and disposal associated with the sanctions under Article 2 (3) of Regulation (EC) No. 881/2002. The land registry is therefore not allowed to enter a listed person as the owner of a property in the land register, for example.

The sales ban according to Regulation (EC) No. 881/2002 has nevertheless found its way into Section 74 (2) No. 3 AWV .

According to the figures published in 2004, 15 accounts in Germany with a value of just under EUR 4,000 were frozen due to Regulation (EC) No. 881/2002 and 1 account with a value of EUR 3.81 due to Regulation (EC) No. 2580/2001.

Procedure

The land registry offices have access to the EU sanctions list in the solumSTAR application using the "Financial Action Sanctions List" function. In cases such as B. international reference, a data comparison takes place.

Theoretically, the test can be carried out manually in individual cases. However, there are usually so many parties (financing, transport, suppliers, employees, etc.) involved in a normal business transaction that a manual review is almost futile. For this reason, various computer programs have been developed which allow addresses to be checked either through direct input or integrated into existing merchandise management systems.

If a hit was found in one of the compliance screening lists, it is advisable to contact the Federal Office of Economics and Export Control (BAFA).

Compliance screening lists

Various compliance screening lists are freely available on the Internet:

Web links

Individual evidence

  1. ^ Resolution 1390. The situation in Afghanistan. UN Security Council website
  2. ↑ Council Regulation (EC) No. 881/2002 of May 27, 2002 on the application of certain specific restrictive measures against certain persons and organizations associated with Osama bin Laden, the Al Qaeda network and the Taliban, and repealing Council Regulation (EC) No. 467/2001 banning the export of certain goods and services to Afghanistan, extending the flight ban and the freezing of funds and other financial resources concerning the Taliban of Afghanistan . OJ L 139/9 of 29 May 2002.
  3. ↑ Regulation (EC) No. 2580/2001 of the Council of December 27, 2001 on specific restrictive measures aimed at certain persons and organizations in order to combat terrorism . OJ No. L 344 of December 28, 2001.
  4. ↑ Answer of the Ministry of Justice to a small inquiry in the Rhineland-Palatinate state parliament, printed matter 17/1301 of October 13, 2016
  5. ↑ ECJ, judgment of October 11, 2007 - C-117/06
  6. ↑ Foreign trade practice (AW-Prax), June 2008, p. 250
  7. ↑ Fight against terrorism affects companies Website of the IHK Hannover, July 15, 2005
  8. ^ BAFA terrorism website, accessed on October 20, 2018
  9. ↑ Restrictive measures (sanctions) in force , (PDF; 874 kB) European Commission, accessed on November 11, 2016
  10. ↑ Specially Designated Nationals List , United States Department of the Treasury, Office of Foreign Assets Control, accessed January 19, 2010
  11. ↑ a b c Denied Persons List (DPL), Unverified List and Entitiy List , US Department of Commerce, Bureau of Industry and Security, accessed January 19, 2010
  12. ^ A b Consolidated list of financial sanctions targets and Investment Ban list , HM Treasury, accessed January 19, 2010