FINANCIAL PENALTIES (EXECUTION IN THE EUROPEAN UNION) REGULATIONS

SUBSIDIARY LEGISLATION 9.14

FINANCIAL PENALTIES (EXECUTION IN THE

EUROPEAN UNION) REGULATIONS

16th October, 2009

LEGAL NOTICE 268 of 2009, as amended by Legal Notices 468 of 2010

and 252 of 2023.

The title of these regulations is the Financial Penalties

(Execution in the European Union) Regulations.

Amended by

L.N. 468 of 2010;

(Regulation 3)

L.N. 252 of 2023.

Austria

Belgium

Bulgaria

Croatia

Cyprus

Czech Republic

Denmark

Estonia

Finland

France

Germany

Greece

Hungary

Ireland

Italy

Latvia

Lithuania

Luxembourg

Poland

Portugal

Romania

Slovakia

Slovenia

Spain

Sweden

The Netherlands.

In these regulations, unless the context otherwise requires -

"the Arrangement" means the Council Framework Decision

2005/214/JHA of the 24th February, 2005 on the application of the

principle of mutual recognition to financial penalties as amended by

Council Framework Decision 2009/299/JHA of 26 February 2009;

"the certificate" means the form, as contained in the Annex to the

Arrangement, purporting to reproduce details setting out the

information required by the same form, set out in Schedule 3;

"the Code" means the Criminal Code;

"decision" means a final decision requiring a financial penalty to

be paid by a natural or legal person where the decision was made

by

(a) a court of the issuing State in respect of a criminal

offence under the law of the issuing State;

(b) an authority of the issuing State other than a court in

respect of a criminal offence under the law of the

issuing State, provided that the person concerned has

had an opportunity to have the case tried by a court

having jurisdiction in particular in criminal matters;

(c) an authority of the issuing State other than a court in

respect of acts which are punishable under the national

law of the issuing State by virtue of being

infringements of the rules of law, provided that the

person concerned has had an opportunity to have the

case tried by a court having jurisdiction in particular in

criminal matters;

(d) a court having jurisdiction in particular in criminal

matters, where the decision was made regarding a

decision as referred to in paragraph (c);

"the European Union" means the European Union as referred to

in the Treaty;

"executing State" means the Member State of the European

Union to which a decision has been transmitted for the purpose of

enforcement;

"financial penalty" means the obligation to pay

(a) a sum of money on conviction of an offence imposed

in a decision;

(b) compensation imposed in the same decision for the

benefit of victims even where the victim is not a civil

party to the proceedings and the court is acting in the

exercise of its criminal jurisdiction;

(c) a sum of money in respect of the costs of court or

administrative proceedings leading to the decision;

(d) a sum of money to a public fund or a victim support

organization, imposed in the same decision;

"issuing authority" means the authority which issued a decision

within the meaning of the Arrangement;

"issuing State" means the Member State of the European Union

in which a decision within the meaning of the Arrangement was

issued;

"offence" means conduct which is punishable under national law

by virtue of being an infringement of the rules of law;

"scheduled country" means a country listed in Schedule 1;

"scheduled offence" is any offence in the list of offences set out

in Schedule 2;

"the Treaty" shall have the same meaning assigned to it by article

2 of the European Union Act.

(Regulation 6)

•

participation in a criminal organisation;

•

terrorism;

•

trafficking in human beings;

•

sexual exploitation of children and child pornography;

illicit trafficking in narcotic drugs and psychotropic substances;

illicit trafficking in weapons, munitions and explosives;

corruption;

fraud, including that affecting the financial interests of the European

Communities within the meaning of the Convention of 26 July 1995 on the

protection of the European Communities' financial interests;

laundering of the proceeds of crime;

counterfeiting currency, including of the euro;

computer-related crime;

environmental crime, including illicit trafficking in endangered animal

species and in endangered plant species and varieties;

facilitation of unauthorised entry and residence;

murder, grievous bodily injury;

illicit trade in human organs and tissue;

kidnapping, illegal restraint and hostage-taking;

racism and xenophobia;

organised or armed robbery;

illicit trafficking in cultural goods, including antiques and works of art;

swindling;

racketeering and extortion;

counterfeiting and piracy of products;

forgery of administrative documents and trafficking therein;

forgery of means of payment;

illicit trafficking in hormonal substances and other growth promoters;

illicit trafficking in nuclear or radioactive materials;

trafficking in stolen vehicles;

rape;

arson;

crimes within the jurisdiction of the International Criminal Court;

unlawful seizure of aircraft/ships;

sabotage;

conduct which infringes road traffic regulations, including breaches of

regulations pertaining to driving hours and rest periods and regulations on

hazardous goods;

smuggling of goods;

infringements of intellectual property rights;

threats and acts of violence against persons, including violence during sport

events;

criminal damage;

theft;

offences established by the issuing State and serving the purpose of

implementing obligations arising from instruments adopted under the EC

Treaty or under Title VI of the EU Treaty.

These regulations shall be limited to the transmission

between Malta and a scheduled country of a decision imposing a

financial penalty, and shall apply to decisions issued after the 22nd

March, 2007.

L.N. 468 of 2010.

(Regulation 2)

CERTIFICATE

referred to in Article 4 of Council Framework Decision 2005/214/JHA on the

application of the principle of mutual recognition to financial penalties

(a)

* Issuing State: ............................................................................................

* Executing State: .......................................................................................

(b)

The authority which issued the decision imposing the financial penalty

Official name: .............................................................................................

Address: ......................................................................................................

File reference (.................) ..........................................................................

Tel. No: (country code) (area/city code) ......................................................

Fax No (country code) (area/city code) .......................................................

E-mail (when available) ..............................................................................

Languages in which it is possible to communicate with the issuing

authority ......................................................................................................

Contact details for person(s) to contact to obtain additional information for

the purpose of the enforcement of the decision or, where applicable, for

the purpose of the transfer to the issuing State of monies obtained from the

enforcement (name, title/grade, tel. No., fax No., and, when available, E-

mail) ............................................................................................................

(c)

The authority competent for the enforcement of the decision imposing the

financial penalty in the issuing State (if the authority is different from the

authority under point (b))

Official name: .............................................................................................

Address: ......................................................................................................

Tel. No: (country code) (area/city code) ......................................................

Fax No (country code) (area/city code) .......................................................

E-mail (when available) ..............................................................................

Languages in which it is possible to communicate with the authority

competent for the enforcement ....................................................................

Contact details for person(s) to contact to obtain additional information for

the purpose of the enforcement of the decision or, where applicable, for

the purpose of the transfer to the issuing State of monies obtained from the

enforcement (name, title/grade, tel. No., fax No., and, when available, E-

mail): ...........................................................................................................

(d)

Where a central authority has been made responsible for the administrative

transmission of decisions imposing financial penalties in the issuing State

Name of the central authority: .....................................................................

Contact person, if applicable (title/grade and name): ..................................

Address: ......................................................................................................

File reference ..............................................................................................

Tel. No: (country code) (area/city code) ......................................................

Fax No: (country code) (area/city code) ......................................................

E-mail (when available): .............................................................................

(e)

The authority or authorities which may be contacted (in the case where

point (c) and/or (d) has been filled)

 Authority mentioned under point (b)

Can be contacted for questions concerning: ................................................

 Authority mentioned under point (c)

Can be contacted for questions concerning: ................................................

 Authority mentioned under point (d)

Can be contacted for questions concerning: ................................................

(f)

Information regarding the natural or legal person on which the financial

penalty has been imposed

1. In case of a natural person

Name: ..........................................................................................................

Forename(s): ...............................................................................................

Maiden name, where applicable: .................................................................

Aliases, where applicable: ...........................................................................

Sex: .............................................................................................................

Nationality: .................................................................................................

Identity number or social security number (when available): ......................

Date of birth: ...............................................................................................

Place of birth: ..............................................................................................

Last known address: ....................................................................................

Language(s) which the person understands (if known)

(a)

If the decision is transmitted to the executing State because the

person against whom the decision has been passed is normally

resident, add the following information

Normal residence in the executing State: ............................................

(b)

If the decision is transmitted to the executing State because the

person against whom the decision has been passed has property in

the executing State, add the following information

Description of the property of the person: ..........................................

Location of the property of the person: ...............................................

(c)

If the decision is transmitted to the executing State because the

person against whom the decision has been passed has income in the

executing State, add the following information

Description of the source(s) of income of the person

Location of the source(s) of income of the person

2. In case of a legal person

Name

Form of legal person: ..................................................................................

Registration number (if available) (*): ........................................................

Registered seat (if available) (*): ................................................................

Where a decision is transmitted to the executing State because the legal person

against whom the decision has been passed has its registered seat in that State,

Registration number and Registered seat must be completed.

Address of the legal person: ........................................................................

(a)

If the decision is transmitted to the executing State because the legal

person against whom the decision has been passed has property in

the executing State, add the following information

Description of the property of the legal person: ..................................

Location of the property of the legal person: ......................................

(b)

If the decision is transmitted to the executing State because the legal

person against whom the decision has been passed has income in the

executing State, add the following information

Description of the source(s) of income of the legal person

Location of the source(s) of income of the legal person

(g)

The decision imposing a financial penalty

1. The nature of the decision imposing the financial penalty (tick the

relevant box)

 (i)

Decision of a court of the issuing State in respect of a

criminal offence under the law of the issuing State.

 (ii) Decision of an authority of the issuing State other than a

court in respect of a criminal offence under the law of the

issuing State. It is confirmed that the person concerned has

had an opportunity to have the case tried by a court having

jurisdiction in particular in criminal matters.

 (iii) Decision of an authority of the issuing State other than a

court in respect of acts which are punishable under the

national law of the issuing State by virtue of being

infringements of the rules of law. It is confirmed that the

person concerned has had an opportunity to have the case

tried by a court having jurisdiction in particular in criminal

matters.

 (iv) Decision of a court having jurisdiction in particular in

criminal matters regarding a decision as referred to in point

(iii).

The decision was made on (date) ........................................................

The decision became final on (date) ...................................................

Reference number of the decision (if available): ................................

The financial penalty constitutes an obligation to pay (tick the

relevant box(es) and indicate the amount(s) with indication of

currency)

 (i)

A sum of money on conviction of an offence imposed in a

decision.

Amount: ................................................................................

 (ii) Compensation imposed in the same decision for the benefit

of victims, where the victim may not be a civil party to the

proceedings and the court is acting in its exercise of its

criminal jurisdiction.

Amount: ................................................................................

 (iii) A sum of money in respect of the costs of court or

administrative proceedings leading to the decision.

Amount: ................................................................................

 (iv) A sum of money to a public fund or a victim support

organisation, imposed in the same decision.

Amount: ................................................................................

The total amount of the financial penalty with indication of currency

2. A summary of facts and a description of the circumstances in which

the offence(s) has(have) been committed, including time and place

Nature and legal classification of the offence(s) and the applicable

statutory provision/code on basis of which the decision was made

3. To the extent that the offence(s) identified under point 2 above

constitute(s) one or more of the following offences, confirm that by

ticking the relevant box(es)

 participation in a criminal organisation;

 terrorism;

 trafficking in human beings;

 sexual exploitation of children and child pornography;

 illicit trafficking in narcotic drugs and psychotropic substances;

 illicit trafficking in weapons, munitions and explosives;

 corruption;

 fraud, including that affecting the financial interests of the

European Communities within the meaning of the Convention of

26 July 1995 on the protection of the European Communities’

financial interests;

 laundering of the proceeds of crime;

 counterfeiting currency, including of the euro;

 computer-related crime;

 environmental crime, including illicit trafficking in endangered

animal species and in endangered plant species and varieties;

 facilitation of unauthorised entry and residence;

 murder, grievous bodily injury;

 illicit trade in human organs and tissue;

 kidnapping, illegal restraint and hostage-taking;

 racism and xenophobia;

 organised or armed robbery;

 illicit trafficking in cultural goods, including antiques and works

of art;

 swindling;

 racketeering and extortion;

 counterfeiting and piracy of products;

 forgery of administrative documents and trafficking therein;

 forgery of means of payment;

 illicit trafficking in hormonal substances and other growth

promoters;

 illicit trafficking in nuclear or radioactive materials;

 trafficking in stolen vehicles;

 rape;

 arson;

 crimes within the jurisdiction of the International Criminal

Court;

 unlawful seizure of aircraft/ships;

 sabotage;

 conduct which infringes road traffic regulations, including

breaches of regulations pertaining to driving hours and rest

periods and regulations on hazardous goods;

 smuggling of goods;

 infringements of intellectual property rights;

 threats and acts of violence against persons, including violence

during sport events;

 criminal damage;

 theft;

 offences established by the issuing State and serving the purpose

of implementing obligations arising from instruments adopted

under the EC Treaty or under Title VI of the EU Treaty.

If this box is ticked, indicate the exact provisions of the

instrument adopted on the basis of the EC Treaty or the EU

Treaty that the offence relates to.

4. To the extent that the offence(s) identified under point 2 above are

not covered by point 3, give a full description of the offence(s)

concerned: ..........................................................................................

(h)

Status of the decision imposing the financial penalty

1. Confirm that (tick the boxes)

 (a) the decision is a final decision

 (b) to the knowledge of the authority issuing the Certificate, a

decision against the same person in respect of the same acts

has not been delivered in the executing State and that no

such decision delivered in any State other than the issuing

State or the executing State has been executed.

2. Indicate if the case been subject to a written procedure

 (a) No, it has not.

 (b) Yes, it has. It is confirmed that the person concerned was, in

accordance with the law of the issuing State, informed

personally or via a representative competent according to

national law of his right to contest the case and of time

limits of such a legal remedy

3. Indicate if the person concerned appeared in person at the trial

resulting in the decision

1. 

Yes, the person appeared in person at the trial resulting in the

decision.

2. 

No, the person did not appear in person at the trial resulting

in the decision.

3.

If you have ticked the box under point 2, please confirm the

existence of one of the following

 3.1a.

the person was summoned in person on ...............

(day/month/year) and thereby informed of the

scheduled date and place of the trial which

resulted in the decision and was informed that a

decision may be handed down if he or she does

not appear for the trial;

OR

 3.1b.

the person was not summoned in person but by

other

means actually

received

official

information of the scheduled date and place of

the trial which resulted in the decision, in such a

manner that it was unequivocally established that

he or she was aware of the scheduled trial, and

was informed that a decision may be handed

down if he or she does not appear for the trial;

OR

 3.2.

being aware of the scheduled trial, the person had

given a mandate to a legal counsellor, who was

either appointed by the person concerned or by

the State, to defend him or her at the trial, and

was indeed defended by that counsellor at the

trial;

OR

 3.3.

the person was served with the decision on

................................. day/month/year) and was

expresslyinformed about the right to a retrial or

appeal, in which he or she has the right to

participate and which allows the merits of the

case, including fresh evidence, to be re-

examined, and which may lead to the original

decision being reversed, and



the person expressly stated that he or she

does not contest this decision,

OR



the person did not request a retrial or

appeal within the applicable time frame;

OR

 3.4.

the person, having been expressly informed about

the proceedings and the possibility to appear in

person in a trial, expressly waived his or her right

to an oral hearing and has expressly indicated that

he or she does not contest the case.

4. If you have ticked the box under points 3.1b, 3.2, 3.3 or 3.4

above, please provide information about how the relevant

condition has been met: .........................................................

4. Partial payment of the penalty

If any part of the penalty has already been paid to the issuing State,

or, to the knowledge of the authority issuing the Certificate, to any

other State, indicate the amount which has been paid

(i)

Alternative sanctions, including custodial sanctions

1. State whether the issuing State allows for the application by the

executing State of alternative sanctions in case it is not possible to

enforce the decision imposing a penalty, either totally or in part

 yes

 no

2. If yes, state which sanctions may be applied (nature of the sanctions,

maximum level of the sanctions)

 Custody. Maximum period: ............................................................

 Community service (or equivalent). Maximum period ...................

 Other sanctions. Description: .........................................................

(j)

Other circumstances relevant to the case (optional information)

(k)

The text of the decision imposing the financial penalty is attached to the

certificate.

Signature of the authority issuing the certificate and/or its representative

certifying the content of the certificate as accurate: .....................................

Name: ..........................................................................................................

Post held (title/grade): .................................................................................

Date: ............................................................................................................

Official stamp (if available).

For the purposes of these regulations

(a) the Attorney General shall be competent to receive

decisions issued in the issuing State and to transmit to

the executing State decisions issued in Malta by the

courts of criminal jurisdiction;

(b) the courts of criminal jurisdiction shall be competent

to issue a decision.

(1) A decision shall be transmitted with the certificate

containing the information prescribed therein, by any means

capable of producing a written record under conditions permitting

the ascertainment of its authenticity.

(2) If so required by the executing State, the original of the

decision or a certified copy of it, and the original of the certificate,

shall be sent to the executing State.

A decision shall contain a statement that the financial

penalty relates to

(a) conduct which is a scheduled offence

Provided that in such cases there shall be no

verification whether the conduct is a criminal offence

in Malta; or

(b) conduct which would constitute an offence under the

law of Malta if it occurred in Malta

Provided that the description of the offence shall not

be regarded as material if the offence under the law of

Malta and the law of the issuing State are substantially

of the same nature.

Where the Attorney General receives a decision within the

meaning of these regulations the Attorney General shall, in his own

individual discretion and subject to the provisions of regulation 8,

issue a certificate to the effect that the decision is one referred to in

the Arrangement and such certificate shall be conclusive of its

contents.

(1) A decision shall not be recognized by the Attorney

General if -

(a) the certificate is not produced, is incomplete or

manifestly does not correspond to the decision;

(b) the decision against the sentenced person in respect of

the same acts has

(i) been delivered in Malta, or

(ii) in any State other than Malta or in the issuing

State, provided the decision has been executed;

(c) the act on which the decision is based is not one falling

within the list of scheduled conduct and does not

constitute an offence under the law of Malta;

(d) the execution of the decision is barred by prescription

according to the law of Malta and the decision relates

to acts which fall within the jurisdiction of the Maltese

criminal courts whether at first instance or on appeal;

(e) the decision relates to acts which

(i)

are regarded by the laws of Malta as having been

committed in whole or in part on Maltese

territory or in a place treated as such, or

(ii) have been committed outside the territory of the

issuing State and the law of Malta does not

allow prosecution for the same offences when

committed outside its territory;

(f)

there is an immunity under the law of Malta which

makes it impossible to execute the decision;

(g) the decision has been imposed on a person with regard

to acts for which he would have been exempted from

criminal responsibility under the criminal law of Malta

by reason of his age;

(h) according to the certificate the person concerned

(i)

in case of a written procedure was not, in

accordance with the law of the issuing State,

informed personally or through a representative,

competent according to national law, of his right

to contest the case and of time limits of such a

legal remedy; or

(ii) did not appear personally at the trial resulting in

the decision, unless the said certificate states

that the person, in accordance with procedural

requirements defined in the law of the issuing

State

(a) in due time was summoned in person and

thereby informed of the scheduled date and

place of the trial which resulted in the

decision, or by other means actually

received official information of the

scheduled date and place of that trial in

such a manner that it was unequivocally

established that he was aware of the

scheduled trial and was informed that a

decision may be handed down if he does

not appear for the trial; or

(b) being aware of the scheduled trial, had

given a mandate to his legal counsel

appointed by the said person or by the

State, to defend him at his trial, and was

indeed defended by the said legal counsel

at the trial; or

(c) after being served with the decision and

being expressly informed of the right to a

retrial, or an appeal, in which he has the

right to participate and which allows the

merits of the case, including fresh

evidence, to be re-examined and which

may lead to the original decision being

reversed, he expressly stated that he does

not contest the decision or he did not

request a retrial or an appeal within the

applicable time-frame; or

(iii) the person did not appear in person, unless the

certificate states that the said person, having

been expressly informed about the proceedings

and the possibility to appear in person in the

trial, expressly waived his right to an oral

hearing and has expressly indicated that he does

not contest the case;

(i)

the financial penalty is less than seventy euro (€70);

(j)

if the certificate gives rise to an issue that fundamental

rights or fundamental legal principles enshrined in the

Treaty have been infringed.

(2) Before making a decision refusing to recognise and execute

a decision on any of the grounds mentioned in sub-regulation

(1)(a), (d) and (h), whether totally or in part, the Attorney General

shall consult the competent authorities of the issuing State by any

appropriate means, and where appropriate, shall ask them to supply

any necessary information without delay.

(1) Where a certificate has been issued by the Attorney

General under regulation 7, the provisions of this regulation shall

apply.

(2) Without the need of any further authority other than that

conferred by this regulation, the decision shall be transmitted to the

Registrar of Courts for execution and shall be served on the

sentenced person.

Where the decision relates to acts which were not carried

out within the territory of the issuing State and refers to acts which

fall within the jurisdiction of the Maltese criminal courts, the

Attorney General may direct the Registrar of Courts to apply to the

court requesting the reduction of the amount of the financial

penalty to the maximum amount provided for such acts under

Maltese law.

(1) The following provisions shall apply where a decision

is executed by the Registrar of Courts under regulation 9.

(2) The decision shall have the same effect as a sentence

ordering the payment of a financial penalty under the Code as the

case may be, and the provisions of the Code shall mutatis mutandis

apply to the said decision, sohowever that any reference to a

financial penalty as defined in these regulations shall be construed

as a reference to the payment of a financial penalty in that Code.

(1) The financial penalty imposed in the decision may be

converted into Euro currency, provided that the rate of exchange

applied must be that of the date on which the penalty was imposed

in the issuing State.

(2) Where the sentenced person is able to furnish proof of

payment, totally or in part, in any State, any part of the penalty

recovered in whatever manner in any State, shall be deducted in

full from the amount which is to be enforced

Provided that the State wherein it is claimed that payment

has been made, shall be consulted as to the veracity of the claim of

payment.

(1) Where it is not possible to enforce a decision, either

totally or in part, and the issuing State has allowed for the

application of alternative sanctions in the certificate referred to in

regulation 5, the Criminal Court may convert the financial penalty

in accordance with the provisions of the Code relating to the

conversion of financial penalties into imprisonment under that

Code.

(2) The provisions of the Code dealing with the conversion of

financial penalties shall mutatis mutandis apply to the conversion

of a financial penalty under these regulations, sohowever that any

reference to the conversion of a financial penalty in that Code shall

be construed as a reference to a financial penalty under these

regulations.

(3)

Any conversion which takes place under this regulation

shall not exceed the maximum amount stated in the certificate.

The enforcement of a decision shall be terminated in any of

the following cases

(a) when information is received from the issuing State of

any measure as a result of which the decision ceases to

be enforceable or is withdrawn for any reason;

(b) when amnesty or pardon has been granted under the

law of Malta or under the law of the issuing State.

The issuing authority shall be informed by any means

which leaves a written record of

(a) the transmission of a decision to the authority

competent to recognise and take measures to execute a

decision when the decision has been received by an

authority which does not have the said competence;

(b) any decision not to recognise and execute a decision,

for the reasons referred to in regulation 8;

(c) the total or partial non-execution of the decision, for

the reasons referred to in regulations 11 and 13;

(d) the execution of the decision as soon as execution is

completed;

(e) the application of alternative sanctions in terms of

regulation 13.

(1) The provisions of this regulation shall apply where a

person has been sentenced by a court of criminal jurisdiction to the

payment of a financial penalty, and the said person is a resident,

has property or income or, in the case of a body corporate, is

registered in another State.

(2) The court shall issue a decision, and such decision shall

have the same effect as a sentence ordering the payment of a

financial penalty, as applicable, under the Code, and the provisions

of the said Code shall mutatis mutandis apply to a decision issued

by virtue of this regulation.

(1) A decision issued under regulation 16 shall contain

(a)

a statement indicating whether the conduct to which

the decision refers to is scheduled conduct; or

(b) a statement of the offence.

(2) A decision shall only be transmitted to one executing State

at any one time.

(1) Upon the issue of a decision under regulation 16, the

Attorney General shall append the certificate provided in Schedule 3

purporting to reproduce details setting out the information required by

the same certificate.

(2) The Attorney General shall sign and certify as authentic the

contents of the certificate.

(1) If a decision issued under regulation 16 has been

transmitted to the foreign authorities, the execution of the decision

may not continue before the courts of criminal jurisdiction.

(2) The right of execution shall revert to the courts if

information is received from the executing State of the total or

partial non-execution of the decision in that State for any of the

following reasons

(a) the grounds referred to in regulation 8(1)(a), (c) to (j),

both inclusive;

(b) if amnesty, pardon or review of sentence has been

granted;