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The Collected Courses of the Academy of European Law
Series Editors: Professor Nehal Bhuta
Professor Claire Kilpatrick
Professor Joanne Scott
European University Institute, Florence
Assistant Editors: Anny Bremner and Joyce Davies
European University Institute, Florence

VOLUME XXVII/1
EU Law Beyond EU Borders
The Extraterritorial Reach of EU Law
 The Collected Courses of the Academy of European Law
Edited by Professor Nehal Bhuta, Professor Claire Kilpatrick,
and Professor Joanne Scott
Assistant Editors: Anny Bremner and Joyce Davies
Each year the Academy of European Law in Florence, Italy, invites a group of
outstanding lecturers to teach at its summer courses on Human Rights Law
and the Law of the European Union. A ‘general course’ is given in each of the
two fields by a distinguished scholar or practitioner, who examines the field as
a whole through a particular thematic, conceptual, or philosophical lens, or
looks at a theme in the context of the overall body of law. In addition, a series
of ‘specialized courses’ brings together a group of highly qualified scholars to
explore and analyse a specific theme in relation to human rights law and EU
law. The Academy’s mission, to produce scholarly analyses which are at the
cutting edge of the two fields, is achieved through publication of this series,
the Collected Courses of the Academy of European Law.
 EU Law Beyond
EU Borders
The Extraterritorial Reach of EU Law

Edited by
MARISE CREMONA
and
J OA N N E S C OT T

1
 1
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 Table of Cases
n = footnote.

CJEU CASES (in number order)

C-10/61, Commission v. Italy (ECLI:EU:C:1962:2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .80n
C-48/69, Imperial Chemical Industries v. Commission (ECLI:EU:C:1972:70) . . . . . . . . . 182n, 183n
C-52/69, Geigy v. Commission (ECLI:EU:C:1972:73) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .183n
C-11/70, Internationale Handelsgesellschaft (ECLI:EU:C:1970:114) . . . . . . . . . . . . . . . . . . . . . .80n
C-22/70, Commission v. Council (AETR/ERTA) (ECLI:EU:C:1971:32) . . . . . . . . . . . . . 101n, 118n
C-89, 104, 114, 116, 117 and 125 to 129/85, Ahlström Osakeyhtiö v.
Commission (ECLI:EU:C:1988:447) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182n, 186
C-6/90 and 9/90, Francovich and Bonifaci (ECLI:EU:C:1991:428) . . . . . . . . . . . . . . . . . . . . . . .90n
C-286/90, Anklagemyndigheden v. Peter Michael Poulsen and Diva Navigation
Corp (ECLI:EU:C:1992:453) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15n, 81n
Opinion 1/91 (ECLI:EU:C:1991:490) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89n, 92n
C-149/96, Portugal v. Council (ECLI:EU:C:1999:574) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16n
C-162/96, Racke (ECLI:EU:C:1998:293) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76n, 81n
C-306/96, Javico International and Javico AG v. Yves Saint Laurent Parfums SA
(YSLP) (ECLI:EU:C:1998:173) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .188n
C-452/01, Ospelt (ECLI:EU:C:2003:493) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .98n
C-224/02, Pusa (ECLI:EU:C:2004:273) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .90n
C-289/04, Showa Denko KK v. Commission (ECLI:EU:C:2006:431) . . . . . . . . . . . . . . . . . . . .186n
C-402/05 P and C-415/05 P, Kadi and Al Barakaat International Foundation v.
Council and Commission (Kadi I) (ECLI:EU:C:2008:461) . . . . . . . . . . .70n, 74, 76n, 79, 80n,
81, 81n, 109n, 121n
C-308/06, R. ex Parte Intertanko v. Secretary of State for Transport
(ECLI:EU:C:2008:312) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16n, 35n
C-386/08, Brita (ECLI:EU:C:2010:91) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .81n
C-533/08, TNT Express Nederland BV v. AXA Versicherung AG (ECLI:EU:C:2010:243) . . . . . .15n
C-324/09, L’Oreal v. Ebay (ECLI:EU:C:2011:474) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35n, 129n
C-446/09 and C-495/09, Koninklijke Philips Electronics NV v. Lucheng Meijing
Industrial Company Ltd and others and Nokia Corporation v. Her Majesty’s
Commissioners of Revenue and Customs (ECLI:EU:C:2011:796) . . . . . . . . . . . . . . . . . . . . .38
Opinion 1/09 on the European and Community Patents Court (ECLI:EU:C:2011:123) . . . . . . .15n
C-130/10, European Parliament v. Council (ECLI:EU:C:2012:472) . . . . . . . . . . . . . . . . . . . . . .74n
C-366/10, Air Transportation Association of America v. Secretary of State for Energy and
Climate Change (ATAA) (ECLI:EU:C:2011:864) . . . . . . . . . . . . . .11, 11n, 15, 15n, 16n, 36n,
37n, 42n, 70n, 81n, 140
C-584/10 P, European Commission and others v. Yassin Abdullah Kadi
(Kadi II) (ECLI:EU:C:2013:518) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .109n
C-617/10, Åkerberg Fransson (ECLI:EU:C:2013:105) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122n
C-431/11, United Kingdom v. Council (ECLI:EU:C:2013:589) . . . . . . . . . . . . . . . . . . . . . . 91, 91n
C-131/12, Google Spain SL and Google Inc. v. Agencia Española de
Protección de Datos (AEPD) and Mario Costeja González
(ECLI:EU:C:2014:317) . . . . . . . . . . . . . . . . . . . . . . . . . 5, 12n, 37n, 122n, 129, 131, 135, 139
C-293/12 and C-594/12, Digital Rights Ireland and Seitlinger (ECLI:EU:C:2014:238) . . . . . . .122n
C-81/13, United Kingdom v. Council (ECLI:EU:C:2014:2449) . . . . . . . . . . . . . . . . . . . . . . . . .92n
C-209/13, United Kingdom v. Council (ECLI:EU:C:2014:283) . . . . . . . . . . . . . . . . . . . . . . . . .35n
viii Table of Cases
C-424/13, Zuchtvieh-Export GmbH v. Stadt Kempten (ECLI:EU:C:2015:259) . . . . . . . . . 11, 11n,
12, 36n, 37, 38
C-507/13, United Kingdom v. European Parliament and Council (ECLI:EU:C:2014:2481). . . . .35n
Opinion 2/13 (ECLI:EU:C:2014:2454) . . . . . . . . . . . . . . . . . . . . . . . . . 65n, 79, 80, 80n, 110, 121n
C-230/14, Weltimmo (ECLI:EU:C:2015:639) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .128n
C-231/14 P, InnoLux Corporation v. Commission (ECLI:EU:C:2015:451) . . . . . . . . . . . . . . . .187n
C-263/14, European Parliament v. Council (ECLI:EU:C:2016:435) . . . . . . . . . . 16n, 65n, 74n, 76n
C-362/14, Maximillian Schrems v. Data Protection Commissioner
(ECLI:EU:C:2015:650) . . . . . . . . . . . . . . . . . . 5, 12n, 16, 37n, 75, 75n, 106n, 121n, 122, 123,
124n, 129, 135, 136, 137, 139, 142, 143
C-362/14, Schrems - Opinion of Advocate General Bot (ECLI:EU:C:2015:627) . . . . . . . . 143n, 144
C-413/14 P, Intel Corporation Inc. v. Commission (ECLI:EU:C:2017:632) . . . . . . . . . 11, 12n, 35n,
37n, 182n, 183, 186
C-592/14, European Federation of Cosmetics Ingredients (ECLI:EU:C:2016:703) . . . . 35n, 37n, 38
C-599/14 P, Council v. LTTE (Tamil Tigers) (ECLI:EU:C:2016:723) . . . . . . . . . . . . . . . . . . . .108n
C-8/15 P to C-10/15 P, Ledra Advertising v. Commission and European
Central Bank (ECLI:EU:C:2016:701) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .74n
C-160/15, GS Media BV (ECLI:EU:C:2016:644) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122n
C-203/15 and C-698/15, Tele2 Sverige and Watson and others (ECLI:EU:C:2016:970) . . . 75n, 122n
Opinion 1/15, Opinion of AG Mengozzi (ECLI:EU:C:2016:656) . . . . . . . . . . . . . . . 101n, 143, 144
Opinion 1/15, Draft Agreement between Canada and the European Union—Transfer of
Passenger Name Record data from the European Union to Canada
(ECLI:EU:C:2017:592) . . . . . . . . . . . . . .5, 16n, 71n, 74, 75n, 81n, 86, 101n, 108, 122n, 143n
Opinion 2/15 (ECLI:EU:C:2017:376) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .67n
C-104/16 P, Council v. Front Polisario, Opinion of AG Wathelet
(ECLI:EU:C:2016:677) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17n, 20n, 75n, 76n, 77n, 80n
C-104/16 P, Council v. Front Polisario, Judgment (ECLI:EU:C:2016:973) . . . 75n, 76n, 78n, 86, 110
C-266/16, Western Sahara Campaign UK (ECLI:EU:C:2018:118) . . . . . . . . . . . . . . 17n, 68n, 70n,
78n, 80, 80n, 81n, 86, 98n
C-208/17 P, NF v. European Council (ECLI:EU:C:2018:705) . . . . . . . . . . . . . . . . . . . . . . . . . .223n
C-507/17, Request for a preliminary ruling from the Conseil d’État (France) lodged on 21
August 2017—Google Inc. v. Commission nationale de l’informatique et des
libertés (CNIL) 2017 OJ C 347/22 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .129n

GENERAL COURT CASES (in number order)

T-115/94, Opel Austria (ECLI:EU:T:1997:3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .98n
T-102/96, Gencor Ltd v. Commission (ECLI:EU:T:1999:65) . . . . . . . . . . . . . . . . . . 35n, 175n, 192n
T-210/01, General Electric Company v. Commission (ECLI:EU:T:2005:456) . . . . . . . . . . . . . .177n
T-512/12, Front Populaire Pour la Liberation De la Saguia-elhamra et Du Rio De Oro
(Front Polisario) v. Council (ECLI:EU:T:2015:953) . . . . . . . . . . . . . . . . . . . 17n, 75n, 76n, 77n
T-192/16, NF v. European Council (ECLI:EU:T:2017:128) . . . . . . . . . . . . . . . . . . . . . . . . 74n, 223n

NATIONAL AND INTERNATIONAL CASES

European Court of Human Rights
Hirsi Jamaa v. Italy, Appl. no. 27765/09, Judgment of 23 February 2012 ECtHR . . . . 17n, 206n, 208

International Court of Justice

East Timor, (Portugal v. Australia), Judgment, ICJ Reports 1995 . . . . . . . . . . . . . . . . . . . . . . . . . .78n
 Table of Cases ix
Ireland
Schrems v. Data Protection Commissioner [2014] IEHC 310 No. 2013 765 JR: 18/06/2014,
High Court . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .144n

Republic of South Africa

Minister of Economic Development and Others v. Competition Tribunal and Others, South African
Commercial, Catering and Allied Workers Union (SACCAWU) v. Wal-Mart Stores Inc. and
Another (110/ CAC/Jul11, 111/CAC/Jun11) [2012] ZACAC 2 (9 March 2012) . . . . . . . .181n

USA
Atkins v. Virginia, 536 US 304 (2002) US Supreme Court . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .83n
F. Hoffmann La Roche et al v. Empagram, 542 US 155 (2004) . . . . . . . . . . . . . . . . . . . . . . . . . .190n
Hartford Fire Insurance Co. v. California, 509 US 764 (1993) . . . . . . . . . . . . . . . . . . . . . . . . . .192n
Morrison v. National Australia Bank Ltd, 561 US 247 (2010) . . . . . . . . . . . . . . . . . . . . . . . . . . . .39n
Motorola Mobility v. AU Optronics, 775 F 3d 816 (7th Cir 2015) . . . . . . . . . . . . . . . . . . . . . . .184n
Roper v. Simmons, 2004 WL 1619203, US Supreme Court . . . . . . . . . . . . . . . . . . . . . . . . . . . . .83n
 Table of Legislation
n = footnote
EUROPEAN LEGISL ATION
Treaties and Conventions (in alphabetical
order)
Charter of Fundamental Rights of the European
Union 2000 . . . . . 13, 16, 17n, 71, 76, 77,
81, 84, 86, 87, 109n, 113, 121, 145
Art 2 . . . . . . . . . . . . . . . . . . . . . . . . . 82, 84
Art 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Art 19(2) . . . . . . . . . . . . . . . . . . . . . . . . 84n
Art 47. . . . . . . . . . . . . . . . . . . . . . . . . . . 122
Art 52(3) . . . . . . . . . . . . . . . . . . . . . . . . 80n
Convention implementing the Schengen
Agreement of 14 June 1985 between the
Governments of the States of the Benelux
Economic Union, the Federal Republic
of Germany and the French Republic
on the gradual abolition of checks at
their common borders, OJ 2000
L 239/19 . . . . . . . . . . . . . . . . . . . . . 200n
Art 2(2) . . . . . . . . . . . . . . . . . . . . . . . . 201n
Art 26 . . . . . . . . . . . . . . . . . . . . . . . . . 200n
EEC/EC Treaty (Rome Treaty 1958, superseded
by TFEU) . . . . . . . . . . 66, 70, 80n, 81, 91,
92, 101, 102
Protocol (No 33) on protection and welfare of
animals annexed to the Treaty establishing
the European Community 1997,
OJ 2006 C 321/314 . . . . . . . . . . . . 36n, 43n
Treaty of Amsterdam 1997,
OJ 1997 C 340/1 . . . . . . . . . . . . . . . 200n
Treaty of Lisbon 2007, OJ 2007
C 306/1 . . . . . . . . . . . . 102, 113, 121, 145
Treaty on European Union 2009, OJ 2012 C
326/13 . . . . . . . . . . . . 120, 121, 135, 141
Title I . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
Art 2 . . . . . . . . . . . . . 16, 71, 120n, 122, 135
Art 3(1) . . . . . . . . . . . . . . . . . . . . . . . . 120n
Art 3(5) . . . . . . 2, 16, 65, 68, 69, 70, 71, 78,
100, 120n, 135n
Art 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
Art 4(2) . . . . . . . . . . . . . . . . . . . . . . . . 100n
Art 4(3) . . . . . . . . . . . . . . . . . . . . . . . . 118n
Art 6(1) . . . . . . . . . . . . 74, 80n, 113n, 122n
Art 6(3) . . . . . . . . . . . . . . . . . . . . . . . . . 80n
Art 8 . . . . . . . . . . . . . . . . . . . . . . 87, 93, 94
Art 21 . . . . . . . . . . . . 2, 16, 19, 20, 69, 100
Art 21(1) . . . . . . . . . 66n, 120n, 122n, 135n
Art 21(2) . . . . . . . . . . . . . . . . . . . . 71, 135n
Art 21(2)(a) . . . . . . . . . . . . . . . . . . . . . 135n
Art 21(2)(d) . . . . . . . . . . . . . . . . . 19n, 141n
Art 21(2)(h) . . . . . . . . . . . . . . . . . . . . . . 66n
Art 21(3) . . . . . . . . . . . . . . . . . . . . . . . 120n
Art 26(1) . . . . . . . . . . . . . . . . . . . . . . . 117n
Art 37. . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
Art 42(1) . . . . . . . . . . . . . . . . . . . . . . . 119n
Art 49 . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
Treaty on the Functioning of the European
Union 2007, OJ 2012 C 326/47 . . . . . . 43,
113n, 121
Title IV . . . . . . . . . . . . . . . . . . . . . . . . 102n
Art 2(2) . . . . . . . . . . . . . . . . . . . . . . . . 118n
Art 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
Art 4(1) . . . . . . . . . . . . . . . . . . . . . . . . 118n
Art 4 (2) . . . . . . . . . . . . . . . . . . . . . . . . . 118
Art 11 . . . . . . . . . . . . . . . . . . . . . . . . . . 43n
Art 16 . . . . . . . . . . . . . . . . . . . . . . . 75, 113
Art 18 . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Art 19 . . . . . . . . . . . . . . . . . . . . . . . . . . 71n
Art 19 . . . . . . . . . . . . . . . . . . . . . . . . . . 71n
Art 21 . . . . . . . . . . . . . . . . . . . . . . . . 73, 90
Art 21(1) . . . . . . . . . . . . . . . . . . . . . . . . 66n
Art 48 . . . . . . . . . . . . . . . . . . . . . . . . 91, 92
Art 54 . . . . . . . . . . . . . . . . . . . . . . . . . . 23n
Art 67(3) . . . . . . . . . . . . . . . . . . . . . . . 101n
Art 79 . . . . . . . . . . . . . . . . . . . . . . . 91, 95n
Art 79(2)(b) . . . . . . . . . . . . . . . . . . . . 91, 92
Art 95 . . . . . . . . . . . . . . . . . . . . . . . . . 103n
Art 101 . . . . . . . . . . . . . . . . . . . . . . . . . 182
Art 102 . . . . . . . . . . . . . . . . . . . . . . . . . 182
Art 114 . . . . . . . . . . . . . . . . . . . . . . . . . 71n
Art 133 . . . . . . . . . . . . . . . . . . . . . . . . 103n
Art 179 . . . . . . . . . . . . . . . . . . . . . . . . 102n
Art 181a . . . . . . . . . . . . . . . . . . . . . . . 102n
Art 191 . . . . . . . . . . . . . . . . . . . . . . . . . 43n
Art 191(4) . . . . . . . . . . . . . . . . . . . . . . . 43n
Art 216(1) . . . . . . . . . . . . . . . . . . . . . . 101n
Art 216(2) . . . . . . . . . . . . . . . . . . . . . . . 81n
Art 217 . . . . . . . . . . . . . . . . . . . . 91, 92, 93
Art 218(3) . . . . . . . . . . . . . . . . . . 118n, 119
Art 218(11) . . . . . . . . . . . . . . .16n, 65n, 144
Art 344 . . . . . . . . . . . . . . . . . . . . . . . . . 93n
Protocol 21 . . . . . . . . . . . . . . . . . . . . . . . 91
Protocol 22 . . . . . . . . . . . . . . . . . . . . . . . 91
xii Table of Legislation
Directives (in chronological order)
Directive 95/46/EC of 24 October 1995 on the
protection of individuals with regard to the
processing of personal data and on the free
movement of such data, OJ 1995
L 281/31 . . . . . . . . . . . . . . . 39, 118, 126
Art 4 . . . . . . . . . . . . . . . . . . . . . 125n, 128n
Art 16 . . . . . . . . . . . . . . . . . . . . . . . . . 132n
Art 17. . . . . . . . . . . . . . . . . . . . . . . . . . 132n
Art 25. . . . . . . . . . . . . . . . . . . . . . . . . . . 21n
Art 25(1) . . . . . . . . . . . . . . . . . . . . . . . . . 37
Art 26(2) . . . . . . . . . . . . . . . . . . . . . . . . 125
Art 28(6) . . . . . . . . . . . . . . . . . . . . . . . 128n
Directive 1999/93/EC of 13 December 1999 on
a Community framework for electronic
signatures, OJ 2000 L 13/12 . . . .119n, 121n
Directive 2000/31/EC of 8 June 2000 on certain
legal aspects of information society services,
in particular electronic commerce, in the
Internal Market (Directive on electronic
commerce), OJ 2000 L 178/1 . . . .121, 127
Directive 2001/51/EC of 28 June 2001
supplementing the provisions of Article 26
of the Convention implementing the
Schengen Agreement of 14 June 1985,
OJ 2001 L 187/45 . . . . . . . . . . . . . . 200n
Directive 2001/83/EC of 6 November 2001 on
the Community code relating to medicinal
products for human use, OJ 2001 L 311/67
Annex I(8) . . . . . . . . . . . . . . . . . . . . . . . 30n
Directive 2002/90/EC of 28 November 2002
defining the facilitation of unauthorised
entry, transit and residence, OJ 2002
L 328/17 . . . . . . . . . . . . . . . . . . . . . 200n
Directive 2003/87/EC of 13 October 2003
establishing a scheme for greenhouse gas
emission allowance trading within the
Community and amending Council
Directive 96/61/EC, OJ 2003 L
275/32 . . . . . . . . . . . . . . . . . . . . . . . . . 44
Art 11b(6) . . . . . . . . . . . . . . . . . . . . . . . . 44
Directive 2004/38/EC of 29 April 2004 on the
right of citizens of the Union and their
family members to move and reside freely
within the territory of the Member States
amending Regulation (EEC) No 1612/68
and repealing Directives 64/221/EEC,
68/360/EEC, 72/194/EEC, 73/148/EEC,
75/34/EEC, 75/35/EEC, 90/364/EEC,
90/365/EEC and 93/96/EEC, OJ 2004 L
158/77 . . . . . . . . . . . . . . . . . . . . . . . . . 90
Art 7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Directive 2005/35/EC of 7 September 2005
on ship-source pollution and on the
introduction of penalties for
infringements, OJ 2005
L255/11 . . . . . . . . . . . . . . . . . . . . . . . 35n
Directive 2008/101/EC of 19 November 2008
amending Directive 2003/87 so as to
include aviation activities in the scheme
for greenhouse gas emissions allowance
trading within the Community, OJ 2009
L 8/3 . . . . . . . . . . . . 21n, 28, 33n, 44, 62
Art 25a . . . . . . . . . . . . . . . . . . . 28n, 45, 57n
Directive 2008/115/EC of 16 December 2008
on common standards and procedures
in member states for returning illegally
staying third-country nationals, OJ
2008 L 348/98 . . . . . . . . . . . . . . . . . 200n
Directive 2009/28/EC of 23 April 2009 on the
promotion of the use of energy from
renewable sources and amending and
subsequently repealing Directives
2001/77/EC and 2003/30/EC,
OJ 2009 L 140/16 . . . . . . . . . . . . . . . . 44
Arts 17–20 . . . . . . . . . . . . . . . . . . . . . . . . 44
Directive 2009/30/EC of 23 April 2009 as
regards the specification of petrol, diesel
and gas-oil and introducing a mechanism to
monitor and reduce greenhouse gas
emissions, OJ 2009 L 140/88
Art 7a . . . . . . . . . . . . . . . . . . . 31n, 44, 62n
Art 7b . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
Directive 2010/76/EU of 24 November 2010
amending Directives 2006/48/EC and
2006/49/EC as regards capital
requirements for the trading book and
for re-securitisations, and the supervisory
review of remuneration policies, (CRD III),
OJ 2010 L 329/3 . . . . . . . . . . . . . . . 157n
Directive 2011/36/EU of 5 April 2011 on
preventing and combating trafficking in
human beings and protecting its victims,
and replacing Council Framework Decision
2002/629/JHA, OJ 2011 L 101/1
Art 10(1) . . . . . . . . . . . . . . . . . . . . . . . . 22n
Directive 2011/61/EU of 8 June 2011 on
Alternative Investment Fund Managers and
amending Directives 2003/41/EC and
2009/65/EC and Regulations (EC) No
1060/2009 and (EU) No 1095/2010,
OJ 2011 L 174/1 . . . . . . . . . . . 22n, 157n
Directive 2012/19/EU of 4 July 2012 on waste
electrical and electronic equipment
(WEEE), OJ 2012 L 197/38 . . . . . . . . 44
Directive 2013/32/EU of 26 June 2013 on
common procedures for granting and
withdrawing international protection
 Table of Legislation
(Asylum Procedures Directive),
OJ 2013 L 180/60 . . . . . . . . . . . . . . 224n
Art 38 . . . . . . . . . . . . . . . . . . . . . . . . . 224n
Directive 2013/36/EU of 26 June 2013 on access
to the activity of credit institutions and
the prudential supervision of credit
institutions and investment firms,
amending Directive 2002/87/EC and
repealing Directives 2006/48/EC and
2006/49/EC, (CRD IV), OJ 2013 L
176/338
Art 92 . . . . . . . . . . . . . . . . . . . . . . . . . . 23n
Art 94 . . . . . . . . . . . . . . . . . . . . . . . . . . 23n
Art 97 . . . . . . . . . . . . . . . . . . . . . . . . . 155n
Art 104 . . . . . . . . . . . . . . . . . . . . . . . . 155n
Directive 2014/59/EU of 15 May 2014
establishing a framework for the recovery
and resolution of credit institutions and
investment firms and amending Council
Directive 82/891/EEC, and Directives
2001/24/EC, 2002/47/EC, 2004/25/EC,
2005/56/EC, 2007/36/EC, 2011/35/EU,
2012/30/EU and 2013/36/EU, and
Regulations (EU) No 1093/2010 and
(EU) No 648/2012, of the European
Parliament and of the Council, OJ 2014
L 173/190 . . . . . . . . . . . . . . . . . . . . 171n
Arts 56–58 . . . . . . . . . . . . . . . . . . . . . . 171n
Directive 2015/849/EU of 20 May 2015 on
the prevention of the use of the financial
system for the purposes of money
laundering or terrorist financing,
amending Regulation (EU) No 648/2012
of the European Parliament and of
the Council, and repealing Directive
2005/60/EC of the European Parliament
and of the Council and Commission
Directive 2006/70/EC, (Fourth
Money Laundering Directive (MLD4)),
OJ 2015 L 141/73 . . . . . . . . . . . . . . 23n
Preamble . . . . . . . . . . . . . . . . . . . . . . . 105n
Recital 4 . . . . . . . . . . . . . . . . . . . . . . . . 104n
Recital 43 . . . . . . . . . . . . . . . . . . . . . . . 105n
Art 9 . . . . . . . . . . . . . . . . . . . . . . . . . . 105n
Art 18 . . . . . . . . . . . . . . . . . . . . . . . . . 105n
Arts 40–44 . . . . . . . . . . . . . . . . . . . . . . 105n
Art 45 . . . . . . . . . . . . . . . . . . . . . . . . . 105n
Directive 2016/681/EU of 27 April 2016 on
the use of passenger name record
(PNR) data for the prevention,
detection, investigation and
prosecution of terrorist offences
and serious crime, OJ 2016
L 119/132 . . . . . . . . . . . . . . . . . . . . 108n
xiii
Regulations (in chronological order)
Regulation 3254/91/EEC of 4 November 1991
prohibiting the use of leghold traps in the
Community and the introduction into the
Community of pelts and manufactured
goods of certain wild animal species
originating in countries which catch them
by means of leghold traps or trapping
methods which do not meet international
humane trapping standards, OJ 1991
L 308/1 . . . . . . . . . . . . . . . . . . . . . . . . 44
Regulation 1/2003/EC of 16 December 2002 on
the implementation of the rules on
competition laid down in Articles 81 and
82 of the Treaty, OJ 2003 L 1/1
Art 12 . . . . . . . . . . . . . . . . . . . . .188n, 193n
Regulation 139/2004/EC of 20 January 2004 on
the control of concentrations between
undertakings, OJ 2004 L 24/1
Art 1. . . . . . . . . . . . . . . . . . . . . . . . . . . 175n
Regulation 854/2004/EC of 29 April 2004
laying down specific rules for the
organisation of official controls
on products of animal origin intended
for human consumption, OJ 2004
L 226/83 . . . . . . . . . . . . . . . . . . . . . . 41n
Art 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . 21n
Regulation 2007/2004/EC of 26 October 2004
establishing a European Agency for the
Management of Operational Cooperation
at the External Borders of the member
states of the European Union, (Frontex
Regulation), OJ 2004 L 349/1 . . . . . 201n,
212, 214
Art 1 . . . . . . . . . . . . . . . . . . . . . . . . . . 212n
Art 1(2) . . . . . . . . . . . . . . . . . . . . . . . . 201n
Art 3 . . . . . . . . . . . . . . . . . . . . . . . . . . 212n
Art 4 . . . . . . . . . . . . . . . . . . . . . . . . . . 213n
Art 9 . . . . . . . . . . . . . . . . . . . . . . . . . . 213n
Art 14 . . . . . . . . . . . . . . . . . . . . . . . . . 214n
Regulation 1/2005/EC of 22 December 2004 on
the protection of animals during transport
and related operations and amending
Directives 64/432/EEC and 93/119/EC
and Regulation (EC) No 1255/97, OJ 2005
L 3/1 . . . . . . . . . . . . . . . . . . . . . . . . . . 44
Regulation 1236/2005/EC of 27 June 2005
concerning trade in certain goods which
could be used for capital punishment,
torture or other cruel, inhuman or
degrading treatment or punishment,
OJ 2005 L 200/1 . . . . . . . . . . . . . . . . 84n
Art 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . 30n
Art 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . 30n
xiv Table of Legislation
Regulation 2011/2005/EC of 8 December 2005
on the establishment of a Community
list of air carriers subject to an operating
ban within the Community and on
informing air transport passengers of
the identity of the operating air
carrier, OJ 2005 L 322/17 . . . . . . 21n, 41n
Regulation 2173/2005/EC of 20 December
2005 on the establishment of a FLEGT
licensing scheme for imports of timber
into the European Community,
OJ 2005 L 347/1 . . . . . . . . . . . . . . . . . 44
Regulation 562/2006/EC of 15 March 2006
establishing a Community Code on the
rules governing the movement of persons
across borders (Schengen Borders Code),
OJ 2006 L 105/1 . . . . . . . . . . .201n, 215n
Art 23 . . . . . . . . . . . . . . . . . . . . . . . . . 215n
Art 25 . . . . . . . . . . . . . . . . . . . . . . . . . 215n
Art 26 . . . . . . . . . . . . . . . . . . . . . . . . . 215n
Art 26a . . . . . . . . . . . . . . . . . . . . . . . . 215n
Regulation 1013/2006/EC of 14 June 2006
on shipments of waste,
OJ 2006 L 190/1 . . . . . . . . . . . . . 44, 47n
Regulation 864/2007/EC of 11 July 2007 on the
law applicable to non-contractual
obligations (Rome II Regulation), OJ 2007
L 199/40
Art 4(1) . . . . . . . . . . . . . . . . . . . . . . . . . 58n
Art 79(1) . . . . . . . . . . . . . . . . . . . . . . . . 58n
Regulation 1005/2008/EC of 29 September
2008 establishing a Community system
to prevent, deter and eliminate illegal,
unreported and unregulated fishing,
OJ 2008 L 286/1 . . . . . . . 28, 33n, 44, 47n
Art 12 . . . . . . . . . . . . . . . . . . . . . . . . . . 27n
Art 18(1)(g) . . . . . . . . . . . . . . . . . . . . . . 28n
Art 31(3) . . . . . . . . . . . . . . . . . . . . 28n, 33n
Arts 31–38 . . . . . . . . . . . . . . . . . . . . . . . 46n
Arts 32–33 . . . . . . . . . . . . . . . . . . . . . . . 28n
Regulation 391/2009/EC of 23 April 2009
on common rules and standards for ship
inspection and survey organisations, OJ
2009 L 131/11 . . . . . 14n, 25, 25n, 26, 33n
Art 2(c) . . . . . . . . . . . . . . . . . . . . . . . . . 26n
Art 2(d) . . . . . . . . . . . . . . . . . . . . . . . . . 26n
Art 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . 26n
Art 4(3) . . . . . . . . . . . . . . . . . . . . . . . . . 26n
Art 9(2) . . . . . . . . . . . . . . . . . . . . . . . . . 26n
Annex I(A)(6) . . . . . . . . . . . . . . . . . . . . . 26n
Regulation 1007/2009/EC of 16 September
2009 on trade in seal products, OJ 2009
L 286/36 . . . . . . . . . . . . . . 18n, 40, 44, 89
Art 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . 18n
Art 3(1) . . . . . . . . . . . . . . . . . . . . . . . . . 41n
Regulation 1060/2009/EC of 16 September
2009 on credit rating agencies, OJ 2009
L 302/1 . . . . . . . . . . . . . . . . . . . . . . 157n
Art 6b . . . . . . . . . . . . . . . . . . . . . . . . . 157n
Art 35b . . . . . . . . . . . . . . . . . . . . . . . . 157n
Regulation 1099/2009/EC of 24 September
2009 on the protection of animals
at the time of killing, OJ 2009
L 303/1 . . . . . . . . . . . . . . 24n, 25, 30, 44
Art 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Regulation 1223/2009/EC of 30 November
2009 on cosmetic products, OJ 2009 L
342/59 . . . . . . . . . . . . . . . . . . . . . . . . . 44
Regulation 439/2010/EU of 19 May 2010
establishing a European Asylum Support
Office, OJ 2010 L 132/11
Art 8 . . . . . . . . . . . . . . . . . . . . . . . . . . 201n
Regulation 995/2010/EU of 20 October 2010
laying down the obligations of operators
who place timber and timber products on
the market, OJ 2010 L 295/23 . . . . . . . 44
Art 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . 46n
Regulation 1231/2010/EU of 24 November
2010 extending Regulation (EC) No
883/2004 and Regulation (EC) No
987/2009 to nationals of third countries
who are not already covered by
these Regulations solely on the ground
of their nationality, OJ 2010
L344/1 . . . . . . . . . . . . . . . . . . 91, 91n, 92
Regulation 1168/2011/EU of 25 October 2011
amending Council Regulation (EC) No
2007/2004 establishing a European Agency
for the Management of Operational
Cooperation at the External Borders of the
Member States of the European Union,
OJ 2011 L 304/1 . . . . . . . . . . . 213n, 214
Art 4 . . . . . . . . . . . . . . . . . . . . . . . . . . 213n
Art 9(1) . . . . . . . . . . . . . . . . . . . . . . . . 213n
Regulation 648/2012/EU of 4 July 2012 on
OTC derivatives, central counterparties and
trade repositories (EMIR), OJ 2012 L
201/1 . . . . . 27, 27n, 166, 166n, 167, 169n
Art 4 . . . . . . . . . . . . . . . . . . . . . . . 27n, 166
Art 4(1)(a)(iv) . . . . . . . . . . . . . . . . . . . . 24n
Art 4(1)(a)(v) . . . . . . . . . . . . . . . . . . . . . 24n
Art 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . 27n
Art 11(2) . . . . . . . . . . . . . . . . . . . . . . . . 24n
Art 22 . . . . . . . . . . . . . . . . . . . . . . . . . 167n
Art 25 . . . . . . . . . . . . . . . . . . . . . . . . . . 27n
Art 25(1) . . . . . . . . . . . . . . . . . . . . . . . . 33n
Art 25(2) . . . . . . . . . . . . . . . . . . . . . . . . 29n
Art 25(2)(d) . . . . . . . . . . . . . . . . . . . . . . 33n
Art 25(6) . . . . . . . . . . . . . . . . . . . . . . . 167n
Art 75 . . . . . . . . . . . . . . . . . . . . . . . . . . 27n
 Table of Legislation
Regulation 978/2012/EU of 25 October 2012
applying a scheme of generalised tariff
preferences, OJ 2012 L 303/1 . . . . . . . 71n
Regulation 1026/2012/EU of 25 October 2012
on certain measures for the purpose of the
conservation of fish stocks in relation to
countries allowing non-sustainable fishing,
OJ 2012 L 316/34 . . . . . . . . . . . . 44, 46n
Recital 5 . . . . . . . . . . . . . . . . . . . . . . . . . 60n
Art 5(4) . . . . . . . . . . . . . . . . . . . . . . . . . 59n
Art 7(4) . . . . . . . . . . . . . . . . . . . . . . . . . 59n
Regulation 462/2013/EU of 21 May 2013
amending Regulation (EC) No 1060/2009
on credit rating agencies, OJ 2013 L
146/1 . . . . . . . . . . . . . . . . . . . . . . . . 157n
Regulation 575/2013/EU of 26 June 2013 on
prudential requirements for credit
institutions and investment firms and
amending Regulation (EU) No 648/2012,
OJ 2013 L 176/1
Art 1 . . . . . . . . . . . . . . . . . . . . . . . . . . 155n
Regulation 603/2013/EU of 26 June 2013
establishing Eurodac for the comparison of
fingerprints, OJ 2013 L 180/1 . . . . . 201n
Regulation 604/2013/EU of 26 June 2013
establishing the criteria and mechanisms for
determining the member state responsible for
examining an application for international
protection lodged in one of the member
states, OJ 2013 L 180/31 . . . . . . . . . . . 201n
Implementing Regulation 793/2013/EU of 20
August 2013 establishing measures in
respect of the Faeroe Islands to ensure the
conservation of the Atlanto-Scandian
herring stock, OJ 2013 L223/1
Recital 21 . . . . . . . . . . . . . . . . . . . . . . . . 59n
Recital 24 . . . . . . . . . . . . . . . . . . . . . . . 60n
Recital 26 . . . . . . . . . . . . . . . . . . . . . . . 59n
Art 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . 59n
Regulation 1051/2013/EU of 22 October 2013
amending Regulation (EC) No 562/2006
in order to provide for common rules on
the temporary reintroduction of border
control at internal borders in exceptional
circumstances, OJ 2013 L 295/1 . . . . 215n
Regulation 1053/2013/EU of 7 October 2013
establishing an evaluation and monitoring
mechanism to verify the application
of the Schengen acquis,
OJ 2013 L 295/27 . . . . . . . . . . . . . . 215n
Regulation 1257/2013/EU of 20 November
2013 on ship recycling and amending
Regulation (EC) No 1013/2006 and
Directive 2009/16/EC, OJ 2013
L 330/1 . . . . . . . . . . . . . . . . . . . . 14n, 44
xv
Art 6(2) . . . . . . . . . . . . . . . . . . . . . . . . . 61n
Regulation 231/2014/EU of 11 March 2014
establishing an Instrument for Pre-
accession Assistance (IPA II) OJ 2014 L
77/11
Preamble . . . . . . . . . . . . . . . . . . . . . . . . 94n
Recital 6 . . . . . . . . . . . . . . . . . . . . . . . . . 94n
Regulation 235/2014/EU of 11 March 2014
establishing a financing instrument for
democracy and human rights worldwide,
OJ 2014 L 77/85
Art 2(1)(b)(i) . . . . . . . . . . . . . . . . . . . . . 83n
Regulation 536/2014/EU of 16 April 2014 on
clinical trials on medicinal products for
human use, OJ 2014 L 158/1
Art 2(2) . . . . . . . . . . . . . . . . . . . . . . . . . 30n
Regulation 600/2014/EU of 15 May 2014 on
markets in financial instruments and
amending Regulation (EU) No 648/2012,
OJ 2014, L 173/84
Recital 36 . . . . . . . . . . . . . . . . . . . . . . . . 29n
Art 36(4) . . . . . . . . . . . . . . . . . . . . . . . . 29n
Regulation 2015/757/EU of 29 April 2015 on
the monitoring, reporting and verification
of carbon dioxide emissions from maritime
transport, and amending Directive
2009/16/EC, OJ 2015 L 123/55 . . . . . 43
Regulation 2015/847/EU of 20 May 2015 on
information accompanying transfers of
funds, OJ 2015 L 141/1 . . . . . . . . . . 104n
Art 24 . . . . . . . . . . . . . . . . . . . . . . . . . 105n
Implementing Regulation 2015/1998/EU of 5
November 2015 laying down detailed
measures for the implementation of
common basic standards on aviation
security, OJ 2009 L 299/1 . . . . . . . . . . 13n
Regulation 2016/399/EU of 9 March 2016 on a
Union Code on the rules governing the
movement of persons across borders
(Schengen Borders Code), OJ 2016 L
77/1 . . . . . . . . . . . . . . . . . . . . . . . . . 200n
Art 25 . . . . . . . . . . . . . . . . . . . . . . . . . 215n
Art 27 . . . . . . . . . . . . . . . . . . . . . . . . . 215n
Art 28 . . . . . . . . . . . . . . . . . . . . . . . . . 215n
Art 29 . . . . . . . . . . . . . . . . . . . . . . . . . 215n
Art 30 . . . . . . . . . . . . . . . . . . . . . . . . . 215n
Regulation 2016/679/EU of 27 April 2016 on
the protection of individuals with regard
to the processing of personal data and
on the free movement of such data (General
Data Protection Regulation—GDPR),
OJ 2016 L 119/1 . . . . . 5, 37n, 118n, 119,
124, 126, 128, 129, 132, 134–7, 139
Recital 102 . . . . . . . . . . . . . . . . . . . . . . 118n
Ch V . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
xvi Table of Legislation
Regulation (cont.)
Art 3(2) . . . . . . . . . . . . . . . . . . . . . . . . 129n
Art 40(3) . . . . . . . . . . . . . . . . . . . . . . . 126n
Art 42(2) . . . . . . . . . . . . . . . . . . . . . . . 126n
Art 44 . . . . . . . . . . . . . . . . . . . . . . . . . . 121
Art 45 . . . . . . . . . . . . . . . . . . . . . . 21n, 124
Art 45(3) . . . . . . . . . . . . . . . . . . . . . . . 139n
Art 46 . . . . . . . . . . . . . . . . . . . . . . . . . . 125
Art 47. . . . . . . . . . . . . . . . . . . . . . . . . . . 125
Art 48. . . . . . . . . . . . . . . . . . . . . . 134, 139n
Art 49. . . . . . . . . . . . . . . . . . . . . . . . . . 125n
Art 50(d) . . . . . . . . . . . . . . . . . . . . . . . . 141
Regulation 2016/1624/EU of 14 September
2016 on the European Border and Coast
Guard, OJ 2016 L 251/1 . . 213n, 214, 216
Recital 11 . . . . . . . . . . . . . . . . . . . . . . . 213n
Art 3. . . . . . . . . . . . . . . . . . . . . . . . . . . 213n
Art 4. . . . . . . . . . . . . . . . . . . . . . . . . . . 213n
Art 5. . . . . . . . . . . . . . . . . . . . . . . . . . . 213n
Art 6. . . . . . . . . . . . . . . . . . . . . . . . . . . 213n
Art 9(2) . . . . . . . . . . . . . . . . . . . . . . . . 214n
Art 13. . . . . . . . . . . . . . . . . . . . . . . . . . 214n
Art 14. . . . . . . . . . . . . . . . . . . . . . . . . . 214n
Art 19(10) . . . . . . . . . . . . . . . . . . . . . . 216n
Art 27. . . . . . . . . . . . . . . . . . . . . . . . . . 214n
Art 28. . . . . . . . . . . . . . . . . . . . . . . . . . 214n
Art 54. . . . . . . . . . . . . . . . . . . . . . . . . . 214n
Art 55. . . . . . . . . . . . . . . . . . . . . . . . . . 214n
Regulation 2017/2401/EU of 12 December
2017 amending Regulation (EU) No
575/2013 on prudential requirements for
credit institutions and investment firms,
OJ 2017 L 347/1 . . . . . . . . . . . . . . . 150n
Regulation 2017/2402/EU of 12 December
2017 laying down a general framework for
securitisation and creating a specific
framework for simple, transparent and
standardised securitisation, and amending
Directives 2009/65/EC, 2009/138/EC and
2011/61/EU and Regulations (EC) No
1060/2009 and (EU) No 648/2012,
OJ 2017 L 347/35 . . . . . . . . . . . . . . 150n
Resolutions (in chronological order)
UN Security Council Resolution 1267
(1999) . . . . . . . . . . . . . . . . . . . . . . . 106n
UN Security Council Resolution
1373 (2001) . . . . . . . . . . . . . . . . . . . 106n
UN General Assembly Resolution 60/28 of 8
September 2006 . . . . . . . . . . . . . . . . 106n
UN General Assembly Resolution 62/149 on a
Moratorium on the use of the death
penalty, 18 December 2007, reaffirmed the
following year in Resolution 63/168 . . . . 83
UN Security Council Resolution 1816
(2008) . . . . . . . . . . . . . . . . . . . . . . . . 85n
UN Security Council Resolution 1822
(2008) . . . . . . . . . . . . . . . . . . . . . . . 106n
UN Security Council Resolution 1904
(2009) . . . . . . . . . . . . . . . . . . . . . . . 106n
European Parliament Resolution of 25
November 2010 on human rights and
social and environmental standards in
international trade agreements, OJ 2012
C 99E . . . . . . . . . . . . . . . . . . . . . . . . 73n
UN General Assembly Resolution 67/176
on a Moratorium on the use of the death
penalty, 20 December 2012,
A/RES/67/176 . . . . . . . . . . . . . . . . . . . 83
European Parliament Resolution on a new
forward-looking and innovative future
strategy for trade and investment,
A8-0220/2016 . . . . . . . . . . . . . . . . . . 73n
Decisions (in chronological order)
Commission Decision 97/26/EC of 24 April
1996 declaring a concentration to be
incompatible with the common market and
the functioning of the EEA Agreement
(Case No IV/M.619 - Gencor/Lonrho),
OJ 1997 L 11/30 . . . . . . . . . . . . . . . 175n
Commission Decision 97/816/EC of 30 July
1997 declaring a concentration compatible
with the common market and the
functioning of the EEA Agreement (Case
No IV/M.877 - Boeing/McDonnell
Douglas), OJ 1997 L 336/16 . . . . . . 176n
Commission Decision 99/287/EC of 8 July
1998 declaring a concentration to be
compatible with the common market and
the functioning of the EEA Agreement
(Case IV/M.1069 - WorldCom/MCI)
(notified under document number C
(1998) 1887), OJ 1999 L 116/1 . . . . 179n
Decision of the Schengen Executive Committee
of 16 September 1998, OJ 2000
L 239/138 . . . . . . . . . . . . . . . . . . . . 215n
Commission Decision of 3 July 2001 (Case No
COMP/M.2220—General Electric/
Honeywell) . . . . . . . . . . . . . . . . . . . 177n
Framework Decision 2001/500/JHA on money
laundering, the identification, tracing,
freezing, seizing and confiscation of
instrumentalities and the proceeds of crime,
OJ 2001 L 182/1 . . . . . . . . . . . . . . . 105n
Council Decision 2001/748/EC of 16 October
2001 concerning the signing on behalf of
the European Community of the United
 Table of Legislation
Nations Protocol on the illicit manufacturing
of and trafficking in firearms, their
parts, components and ammunition,
annexed to the Convention against
transnational organised crime, OJ 2001
L 280/5 . . . . . . . . . . . . . . . . . . . . . . . 103
Council Framework Decision 2002/946/JHA
on the facilitation of unauthorised entry,
transit and residence, OJ 2002
L 328/1 . . . . . . . . . . . . . . . . . . 200n, 201
Commission Decision C (2003) 1731 of 30 June
2003 pursuant to Directive (EC) 95/46 of
the European Parliament and of the Council
on the adequate protection of personal data
in Argentina, OJ 2003 L 168/19
Art 4 . . . . . . . . . . . . . . . . . . . . . . . . . . 142n
Council Decision 2004/579/EC of 29 April
2004 on the conclusion, on behalf of the
European Community, of the United
Nations Convention Against Transnational
Organised Crime, OJ 2004
L 261/69 . . . . . . . . . . . . . . . . . . . . . 102n
Commission Decision 2004/915/EC of 27
December 2004 amending Decision
2001/497/EC as regards the introduction
of an alternative set of standard contractual
clauses for the transfer of personal data to
third countries, OJ 2004 L 385/74
Clause II(h) . . . . . . . . . . . . . . . . . . . . . 125n
Council Decision 2006/618/EC of 24 July 2006
on the conclusion, on behalf of the
European Community, of the Protocol to
Prevent, Suppress and Punish Trafficking in
Persons, Especially Women And Children,
supplementing the United Nations
Convention Against Transnational
Organised Crime concerning the provisions
of the Protocol, in so far as the provisions of
this Protocol fall within the scope of
Articles 179 and 181a of the Treaty
establishing the European Community,
OJ 2006 L 262/44 . . . . . . . . . . . . . . 102n
Council Decision 2006/619/EC of 24 July 2006
on the conclusion, on behalf of the
European Community, of the Protocol to
Prevent, Suppress and Punish Trafficking in
Persons, Especially Women And Children,
supplementing the United Nations
Convention Against Transnational
Organised Crime concerning the provisions
of the Protocol, in so far as the provisions of
the Protocol fall within the scope of Part III,
Title IV of the Treaty establishing the
European Community, OJ 2006 L
262/51 . . . . . . . . . . . . . . . . . . . . . . . 102n
xvii
Recital 5 . . . . . . . . . . . . . . . . . . . . . . . . 102n
Commission Decision of 24 January 2007 of
relating to a proceeding under Article 81 of
the EC Treaty and Article 53 of the EEA
Agreement (Case COMP/F/38.899—Gas
Insulated Switchgear),
OJ 2008 C 5/7 . . . . . . . . . . . . . . . . . 186n
Council Framework Decision 2008/841/JHA on
the fight against organised crime, OJ 2008
L 300/42 . . . . . . . . . . . . . . . . . . . . . 104n
Commission Decision of 13 May 2009 relating
to a proceeding under Article 82 of the
EC Treaty and Article 54 of the EEA
Agreement, OJ 2009 C 227/13 . . . . . 182n
Commission Decision of 29/09/2009 declaring a
concentration to be compatible with the
common market (Case No COMP/M.5421 -
PANASONIC / SANYO) according to
Council Regulation (EC) No 139/2004,
OJ 2009 C 322/13 . . . . . . . . . . . . . . 179n
Council Decision of 26 November 2009
concerning the conclusion, by the
European Community, of the United
Nations Convention on the Rights of
Persons with Disabilities, OJ 2010 L 23/35
Art 13 . . . . . . . . . . . . . . . . . . . . . . . . . . 71n
Art 95 . . . . . . . . . . . . . . . . . . . . . . . . . . 71n
Commission Decision 2010/87/EU of 5
February 2010 on standard contractual
clauses for the transfer of personal data to
processors established in third countries
under Directive 95/46/EC of the European
Parliament and of the Council, OJ 2010
L 39/5
Clause 5(a) . . . . . . . . . . . . . . . . . . . . . . 125n
Clause 5(d)(i) . . . . . . . . . . . . . . . . . . . . 125n
Clause 5(e) . . . . . . . . . . . . . . . . . . . . . . 125n
Art 1(e). . . . . . . . . . . . . . . . . . . . . . . . . 132n
Commission Decision of 26 January 2011
(Case No COMP/M.5984—Intel/
McAfee) . . . . . . . . . . . . . . . . . . . . . . 179n
Commission Decision 2011/61 of 31 January
2011 pursuant to Directive 95/46/EC of
the European Parliament and of the
Council on the adequate protection of
personal data by the State of Israel with
regard to automated processing of
personal data, OJ 2011 L 27/39 . . . . 133n
Council Decision 2011/640/CFSP of 12 July
2011 on the signing and conclusion of the
Agreement between the European Union
and the Republic of Mauritius on the
conditions of transfer of suspected pirates
and associated seized property from the
European Union-led naval force to the
xviii Table of Legislation
Council Decision (cont.)
Republic of Mauritius and on the
conditions of suspected pirates after
transfer, OJ 2011 L 254/1 . . . . . . . . . . 85n
Art 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Art 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Commission Implementing Decision of 21
August 2012 pursuant to Directive 95/46/
EC of the European Parliament and of the
Council on the adequate protection of
personal data by the Eastern Republic of
Uruguay with regard to automated
processing of personal data, OJ 2012 L
227/11
Art 4 . . . . . . . . . . . . . . . . . . . . . . . . . . 142n
Council Decision 2012/497, amending the
existing association agreement between the
EU and Morocco, thereby extending
liberalization of trade in agricultural and
fisheries products, OJ 2012 L 241/2 . . . .75n
Commission Implementing Decision of 19
December 2012 pursuant to Directive
95/46/EC of the European Parliament and
of the Council on the adequate protection
of personal data by New Zealand, OJ 2013
L 28/12 . . . . . . . . . . . . . . . . . . . . . . 126n
Council Decision 2013/233/CFSP of 22 May
2013 on the European Union Integrated
Border Management Assistance Mission
in Libya (EUBAM Libya), OJ 2013 L
138/15 . . . . . . . . . . . . . . . . . . . . . . . 219n
Commission Decision of 29 April 2014 relating
to a proceeding under Article 102 of the
Treaty on the functioning of the European
Union and Article 54 of the EEA
Agreement — (Case AT.39939 — Samsung
— Enforcement of UMTS standard
essential patents) (notified under document
number C(2014) 2891 final), OJ 2014 C
350/8 . . . . . . . . . . . . . . . . . . . . . . . . 184n
Council Decision 2014/295/EU of 17 March
2014 on the signing, on behalf of the
European Union, and provisional
application of the Association Agreement
between the European Union and the
European Atomic Energy Community and
their Member States, of the one part, and
Ukraine, of the other part, as regards the
Preamble, Article 1, and Titles I, II and VII
thereof, OJ 2014 L 161/1 . . . . . . . . . . 95n
Council Decision 2014/668/EU of 23 June
2014 on the signing, on behalf of the
European Union, and provisional
application of the Association Agreement
between the European Union and the
European Atomic Energy Community and
their Member States, of the one part, and
Ukraine, of the other part, as regards Title
III (with the exception of the provisions
relating to the treatment of third-country
nationals legally employed as workers in the
territory of the other Party) and Titles
IV, V, VI and VII thereof, as well as the
related Annexes and Protocols, OJ
2014 L 278/1 . . . . . . . . . . . . . . . . . . . 95n
Council Decision 2014/669/EU of 23 June
2014 on the signing, on behalf of the
European Union, of the Association
Agreement between the European Union
and the European Atomic Energy
Community and their Member States, of
the one part, and Ukraine, of the other part,
as regards the provisions relating to the
treatment of third-country nationals
legally employed as workers in
the territory of the other party, OJ 2014
L 278/6 . . . . . . . . . . . . . . . . . . . . . . . 95n
Council Decision 2014/691/EU of 29
September 2014 amending Decision
2014/668/EU on the signing, on behalf of
the European Union, and provisional
application of the Association Agreement
between the European Union and the
European Atomic Energy Community and
their Member States, of the one part, and
Ukraine, of the other part, as regards Title
III (with the exception of the provisions
relating to the treatment of third-country
nationals legally employed as workers in the
territory of the other Party) and Titles
IV, V, VI and VII thereof, as well as the
related Annexes and Protocols, OJ 2014
L 289/1 . . . . . . . . . . . . . . . . . . . . . . . 95n
Council Decision 2015/778/CFSP of 18 May
2015 on a European Union military
operation in the Southern Central
Mediterranean (EUNAVFOR MED),
OJ 2015 L 122/31 . . . . . . . . . . . . . . 219n
Council Decision 2015/1523/EU of 14
September 2015 establishing provisional
measures in the area of international
protection for the benefit of Italy and of
Greece, OJ 2015 L 239/146 . . . . . . . 211n
Council Decision 2015/1601/EU of 22
September 2015 establishing provisional
measures in the area of international
 Table of Legislation
protection for the benefit of Italy and
Greece, OJ 2015 L 248/80 . . . . . . . . 211n
Commission Decision C (2015) 7293 of 20
October 2015 on the establishment of a
European Union Emergency Trust Fund
for stability and addressing root causes of
irregular migration and displaced
persons in Africa . . . . . . . . . . . . . . . . 218n
Commission Decision of 24 November 2015 on
the Refugee Facility for Turkey, OJ 2015 C
407/8 . . . . . . . . . . . . . . . . . . . . . . . . 223n
Council Decision 2016/123/EU of 26 October
2015 on the signing, on behalf of the
European Union, and provisional
application of the Enhanced Partnership
and Cooperation Agreement between the
European Union and its Member States,
of the one part, and the Republic of
Kazakhstan, of the other part, OJ 2016
L 29/1
Art 3 . . . . . . . . . . . . . . . . . . . . . . . . . . 204n
Commission Implementing Decision 2016/377/
EU of 15 March 2016 on the equivalence of
the regulatory framework of the United
States of America for central counterparties
that are authorised and supervised by the
Commodity Futures Trading Commission
to the requirements of Regulation (EU) No
648/2012 of the European Parliament and
of the Council, OJ 2016 L 70/32 . . . 167n
Art 1. . . . . . . . . . . . . . . . . . . . . . . . . . . 169n
Council Implementing Decision 2016/894/EU
of 12 May 2016 setting out a recommenda-
tion for temporary internal border control
in exceptional circumstances putting the
overall functioning of the Schengen area at
risk, OJ 2016 L 151/8 . . . . . . . . . . . 216n
Council Implementing Decision (EU)
2016/1989 of 11 November 2016 setting
out a recommendation for prolonging
temporary internal border control in
exceptional circumstances putting the
overall functioning of the Schengen area
at risk, OJ 2015 L 306/13 . . . . . . . . . 216n
European Ombudsman Decision in case
1409/2014/MHZ on the European
Commission’s failure to carry out a prior
human rights impact assessment of the
EU-Vietnam free trade agreement, 26
February 2016 . . . . . . . . . . . 20, 20n, 73n
Commission decision of 27 June 2017 relating to a
proceeding under Article 102 of the Treaty on
the Functioning of the European Union and
xix
Article 54 of the EEA Agreement (Case
AT.39740 — Google Search (Shopping)),
OJ 2018 C 9/11 . . . . . . . . . . . . . . . . 184n
Council Implementing Decision 2017/246/EU
of 7 February 2017 setting out a
Recommendation for prolonging
temporary internal border control in
exceptional circumstances putting the
overall functioning of the Schengen area at
risk, OJ 2017 L 36/59 . . . . . . . . . . . . 216n
Council Implementing Decision 2017/818/EU
of 11 May 2017 setting out a
Recommendation for prolonging
temporary internal border control in
exceptional circumstances putting the
overall functioning of the Schengen area at
risk, OJ 2107 L 122/73 . . . . . . . . . . . 216n
European Ombudsman Decision in the joint
inquiry into complaints 506-509-674-784-
927-1381/2016/MHZ against the
European Commission concerning a human
rights impact assessment in the context of
the EU-Turkey Agreement. The General
Court held on 28 February 2017 . . . . . 74n
Commission Decision C (2017) 6137 of 8
September 2017 on the signature of the EU
Bangladesh Standard Operating Procedures
for the Identification and Return of Persons
without an Authorisation to Stay (Council
doc. 12031/17, 21 September 2017)
Recital 2 . . . . . . . . . . . . . . . . . . . . . . . . 226n
Annex . . . . . . . . . . . . . . . . . . . . . . . . . 226n
Commission Implementing Decision 2018/684/
EU of 4 May 2018 amending
Implementing Decision 2016/2323 to
update the European List of ship recycling
facilities pursuant to Regulation No
1257/2013, OJ 2018 L 116/47
Recital 4 . . . . . . . . . . . . . . . . . . . . . . . . . 61n
Declarations, Guidelines and other
Non-Binding Instruments
Better Regulation Guidelines, Commission
Staff Working Document, 19 May 2015,
SWD (2015)111 . . . . . . . . . . . . . . . . 73n
Commission Notice on Cooperation within
the Network of Competition Authorities,
OJ 2004 C 101/43 . . . . . . . . . . . . . . 193n
Council conclusions on a rights-based approach
to development cooperation, encompassing
all human rights, Foreign Affairs
(Development) Council, 19 May 2014,
Council doc. 10020/14 . . . . . . . . . . . . 73
xx Table of Legislation
Declaration on Principles governing External
Aspects of Migration Policy’, in Presidency
Conclusions: European Council,
Edinburgh, 12 December 1992
(document SN 456/1/92 REV 1) . . . 202n
Declaration, EUCO 7/11, Extraordinary
European Council, 11 March 2011 . . 213n
EU-ASEAN Joint Declaration on Cooperation
to Combat Terrorism of 28 January
2003 . . . . . . . . . . . . . . . . . . . . . . . . . 106
Guidelines on Freedom of Expression, adopted
by the Foreign Affairs Council on
12 May 2014 . . . . . . . . . . . . . . . . . . . 72n
Guidelines on Human Rights Dialogues adopted
by Economic and Financial Affairs
Council of 13 December 2001; updated
Guidelines adopted 19 January 2009,
Council doc. 16526/08 . . . . . . . . . . . 72n
Guidelines on International Humanitarian
Law, Council doc. 16841/09, 1 December
2009 . . . . . . . . . . . . . . . . . . . . . . . . . 72n
Guidelines on the Analysis of Human Rights
Impacts in Impact Assessments for
Trade-related Policy Initiatives, DG Trade,
2 July 2015, Tradoc 153591 . . . . . . . . 73n
Guidelines on the Death Penalty, 12 April 2013,
Council doc. 8416/13 . . . . . . . . 82n, 83n
Impact Assessment Guidelines, European
Commission, 15 January 2009 . . . . . . 18n
Joint Commission-EEAS Non-Paper on
Enhancing Cooperation on Migration,
Mobility and Readmission with
Morocco, Council doc. 5949/16, 9
February 2016 . . . . . . . . . . . . . . . . . 219n
Joint Commission-EEAS Non-Paper on
Enhancing Cooperation on Migration,
Mobility and Readmission with
Tunisia, Council doc. 7408/16,
31 March 2016 . . . . . . . . . . . . . . . . 219n
Joint Declaration establishing a Mobility
Partnership between the Kingdom of
Morocco and the European Union and its
Member States, Council doc. 6139/13
ADD 1, 3 June 2013 . . . . . . . . . . . . 218n
Joint Declaration on a Mobility Partnership
between the European Union and Georgia,
Council doc. 16396/09 ADD 1, 20
November 2009 . . . . . . . . . . . . . . . . 203n
Joint Declaration on a Mobility Partnership
between the European Union and Armenia,
Council doc 14963/2011 ADD 1, 11
October 2011 . . . . . . . . . . . . . . . . . . 203n
Joint Declaration on a Mobility Partnership between
the European Union and Jordan 2014,
Council doc. 10055/14 REV . . . . . . 222n
Joint Declaration on a Mobility Partnership
between the European Union and the
Republic of Cape Verde, Council doc.
9460/08 ADD 2, (21 May 2008) . . . . 204n
Joint Declaration on a Mobility Partnership
between the European Union and the
Republic of Moldova, Council doc.
9460/08 ADD 1, (21 May 2008) . . . . 203n
Joint Declaration on a Mobility Partnership
between the Republic of Azerbaijan
and the European Union and its
participating member states,
Council doc 16399/2013
(26 November 2013) . . . . . . . . . . . . 203n
Joint Declaration on the Mobility Partnership
between Tunisia and the European Union
and its Member States, Council doc.
16371/13, 25 November 2013 . . . . . 218n
Mainstreaming human rights across
CFSP and other EU policies,
Council doc. 10076/06 . . . . . . . . . . . 72n
Strategic Guidelines on Freedom, Security and
Justice, European Council, Council doc.
EUCO 79/14, 26–27 June 2014 . . . . 101n
Draft Legislation and legal acts not yet in force
Comprehensive Convention on International
Terrorism 2017. . . . . . . . . . . . . . . . . . 106
Proposal for a Directive of the European
Parliament and of the Council on
countering money laundering by criminal
law, COM(2016) 826 final, 21 December
2016 . . . . . . . . . . . . . . . . . . . . . . . . 105n
Draft Articles on the Responsibility of States for
Internationally Wrongful Acts,
International Law Commission, 2001 . . .54n
Art 14 . . . . . . . . . . . . . . . . . . . . . . . . . . 54n
Art 16 . . . . . . . . . . . . . . . . . . . . . . . . . . 54n
Draft Joint Declaration on a Mobility
Partnership between the Republic of
Belarus and the European Union and its
participating Member States, Council doc.
9393/1/15 (10 June 2015) . . . . . . . . 204n
Proposal for a Regulation amending Regulation
2016/399 as regards the rules applicable to
the temporary reintroduction of border
control at internal borders, COM(2017)
571, 27 September 2017 . . . . . . . . . . 216n
Proposal for a Regulation of the European
Parliament and of the Council amending
Regulation (EU) No 1095/2010 establish-
ing a European Supervisory Authority
(European Securities and Markets
Authority) and amending Regulation (EU)
 Table of Legislation
No 648/2012 as regards the procedures and
authorities involved for the authorisation of
CCPs and requirements for the recognition
of third-country CCPs, COM/2017/0331
final . . . . . . . . . . . . . . . . . . . . . . . . . 172n
Proposal for a Regulation of the European
Parliament and of the Council concerning
the respect for private life and the
protection of personal data in electronic
communications and repealing Directive
2002/58/EC, (ePrivacy Regulation
proposal) COM(2017) 10 final, 10
January 2017 . . . . . . . . . . .118n, 129, 138
Art 3(2) . . . . . . . . . . . . . . . . . . . . . . . . . 138
Proposal for a Regulation of the European
Parliament and of the Council on a
framework for the recovery and resolution
of central counterparties and amending
Regulations (EU) No 1095/2010, (EU)
No 648/2012, and (EU) 2015/2365,
COM/2016/0856 final . . . . . . . . . . 171n
Art 37(10) . . . . . . . . . . . . . . . . . . . . . . 171n
Arts 45–47 . . . . . . . . . . . . . . . . . . . . . . 171n
INTERNATIONAL CONVENTIONS
Convention for the Protection of Individuals
with regard to Automatic Processing of
Personal Data, Strasbourg 1981,
ETS 108 . . . . . . . . . . . . . . .119n, 132, 137
Convention on Cybercrime, Budapest 2001,
ETS No. 185 . . . . . . . . . . . . . . . . . . 127n
Convention on Laundering, Search, Seizure
and Confiscation of the Proceeds
from Crime, Strasbourg 1990,
CETS 141 . . . . . . . . . . . . . . . . . . . . 103n
Convention on Offences and Certain Other
Acts Committed on Board Aircraft,
Tokyo 1963 . . . . . . . . . . . . . . . . . . . . . 40
Art 4(a) . . . . . . . . . . . . . . . . . . . . . . . . . 40n
Art 4(b) . . . . . . . . . . . . . . . . . . . . . . . . . 40n
Art 4(c). . . . . . . . . . . . . . . . . . . . . . . . . . 40n
Art 4(d) . . . . . . . . . . . . . . . . . . . . . . . . . 40n
Art 4(e) . . . . . . . . . . . . . . . . . . . . . . . . . 40n
Convention on the Control of Transboundary
Movements of Hazardous Wastes and Their
Disposal, Basel 1992 . . . . . . . . . . . . . . 46n
Convention on the Elimination of All Forms
of Discrimination Against
Women 1979 . . . . . . . . . . . . . . . . . . . 71n
Convention on the Prevention and Punishment
of the Crime of Genocide 1948 . . . . . . 71n
Convention on the Rights of the
Child 1989 . . . . . . . . . . . . . . . . . . . . . 71n
xxi
Convention on the Taking of Evidence Abroad
in Civil or Commercial Matters, Hague
1970, 847 UNTS 231 . . . . . . . . . . . 139n
Convention Relating to the Status of Refugees
1951 . . . . . . . . . . . . . 8, 9, 222, 224, 227
Convention on Laundering, Search, Seizure and
Confiscation of the Proceeds from Crime
and on the Financing of Terrorism, Warsaw
2005, CETS 198 . . . . . . . . . . . . . . . 103n
European Convention on Human Rights and
Fundamental Freedoms (1950) . . . . 9, 77n,
79, 97, 109n, 222, 224
Art 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Protocol 13 . . . . . . . . . . . . . . . . . . . . . . . 82
International Convention for the Safe and
Environmentally Sound Recycling of Ships,
Hong Kong 2009 . . . . . . . . . . . . . . . . 46n
International Convention for the Prevention
of Pollution from Ships 1973 as modified
by the Protocol of 1978
(MARPOL 73/78) . . . . . . . . . . . . . . . 35n
International Convention on the Elimination
of All Forms of Racial Discrimination
1965 . . . . . . . . . . . . . . . . . . . . . . . . . 71n
International Covenant on Civil and Political
Rights, UNGA Resolution 2200A (XXI)
1966 . . . . . . . . . . . . . . . . . . . . . . 71n, 85
Art 7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
International Covenant on Economic Social and
Cultural Rights 1966 . . . . . . . . . . . . . . 71
UNCITRAL Model Law on Electronic
Signatures 2001 . . . . . . . . . . . . . . . . . 120
United Nations Convention against Illicit Traffic
in Narcotic Drugs and Psychotropic
Substances, Vienna 1988 . . . . . . . . . . 103
United Nations Convention against Torture and
Other Cruel, Inhuman or Degrading
Treatment or Punishment 1984 . . . 71n 84, 85
United Nations Convention against
Transnational Organized Crime, Palermo
2000 . . . . . . . . 102, 103n, 104, 105n, 106
Annex I . . . . . . . . . . . . . . . . . . . . . . . . . 102
Annex II . . . . . . . . . . . . . . . . . . . . . . . . 102
Annex III . . . . . . . . . . . . . . . . . . . . . . . . 102
United Nations Convention on the Law of
the Sea 1982 . . . . . . . . . . . . . . . . . . . 35n
Art 18 . . . . . . . . . . . . . . . . . . . . . . . . . . 59n
Art 101. . . . . . . . . . . . . . . . . . . . . . . . . . 84n
United Nations Convention on the Use of
Electronic Communications in International
Contracts 2005, 2898 UNTS, Registration
No. 50525 . . . . . . . . . . . . . . . . . 120, 127
Art 17. . . . . . . . . . . . . . . . . . . . . . 15n, 128n
Art 17(4) . . . . . . . . . . . . . . . . . . . . . . . . 128
Art 21. . . . . . . . . . . . . . . . . . . . . . . . . . . 128
xxii Table of Legislation
United Nations Economic and Social Council
Safeguards Guaranteeing Protection of
Rights of those Facing the Death Penalty,
ECOSOC Res. 1996/15, UN Doc
E/CN.15/1996/15 (1996) . . . . . . . . . 82n
United Nations Framework Convention
on Climate Change 1992
Kyoto Protocol 2005 . . . . . . . . . . . . . . . 16n
Paris Agreement 2016 . . . . . . . . . . . . . . 56n
United Nations Standard Minimum Rules for
the Treatment of Prisoners (Mandela Rules)
2015 . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Universal Declaration of Human Rights 1948
Art 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Vienna Convention on the Law of
Treaties 1969 . . . . . . . . . . . 78n, 102, 103
Art 29 . . . . . . . . . . . . . . . . . . . . . . . . . . 78n
Art 53 . . . . . . . . . . . . . . . . . . . . . . . . . . 81n
World Intellectual Property Organization
Copyright Treaty 1996,
2186 UNTS 121 . . . . . . . . . . . . . . . 127n
World Intellectual Property Organization
Performances and Phonograms Treaty
1996, 2186 UNTS 203 . . . . . . . . . . 127n
BIL ATERAL/TRIL ATERAL
AGREEMENTS
Agreement between the European Community
and Bosnia and Herzegovina on the
readmission of persons residing without
authorisation - Joint Declarations,
OJ 2007 L 334/66 . . . . . . . . . . . . . . 203n
Agreement between the European Community
and the Democratic Socialist Republic of
Sri Lanka on the readmission of persons
residing without authorization,
OJ 2005 L 124/41 . . . . . . . . . . . . . . 204n
Agreement between the European Community
and the former Yugoslav Republic of
Macedonia on the readmission of persons
residing without authorisation - Joint
Declarations, OJ 2007 L 334/7 . . . . . 203n
Agreement between the European Community
and the Government of the Hong Kong
Special Administrative Region of the
People’s Republic of China on the
readmission of persons residing without
authorization, OJ 2014 L 17/25 . . . . 204n
Agreement between the European Community
and the Islamic Republic of Pakistan
on the readmission of persons residing
without authorisation, OJ 2010
L 287/52 . . . . . . . . . . . . . . . . . . . . . 204n
Agreement between the European Community
and the Macao Special Administrative
Region of the Peoples Republic of
China on the readmission of persons
residing without authorization, OJ 2004
L 143/99 . . . . . . . . . . . . . . . . . . . . 2204n
Agreement between the European Community
and the Republic of Albania on the
readmission of persons residing without
authorisation – Declarations, OJ 2005
L 124/22 . . . . . . . . . . . . . . . . . . . . . 203n
Agreement between the European Community
and the Republic of Armenia on the
readmission of persons residing without
authorization, OJ 2013 L 289/13 . . . 203n
Agreement between the European Community
and the Republic of Moldova on the
readmission of persons residing without
authorisation – Declarations, OJ 2007
L 334/149 . . . . . . . . . . . . . . . . . . . . 203n
Agreement between the European Community
and the Republic of Montenegro on the
readmission of persons residing without
authorisation - Joint Declarations, OJ 2007
L 334/26 . . . . . . . . . . . . . . . . . . . . . 203n
Agreement between the European Community
and the Republic of Serbia on the
readmission of persons residing without
authorization, OJ 2007 L 334/46 . . . 203n
Agreement between the European Community and
the Russian Federation on readmission - Joint
Declarations, OJ 2007 L 129/40 . . . . . 203n
Agreement between the European Community
and Ukraine on readmission of persons,
OJ 2007 L 332/48 . . . . . . . . . . . . . . 203n
Agreement between the European Union and the
United States of America on the processing
and transfer of Financial Messaging Data
from the European Union to the United
States for purposes of the Terrorist Finance
Tracking Program (SWIFT Agreement),
OJ 2010 L 8/11 . . . . . . . . . . . . . . . . . 108
Agreement between the European Union and
the Central African Republic concerning
detailed arrangements for the transfer to
the Central African Republic of persons
detained by the European Union military
operation (EUFOR RCA) in the course of
carrying out its mandate, and concerning
the guarantees applicable to such persons,
OJ 2014 L 251/3 . . . . . . . . . . . . . . . . 85n
Another random document with
no related content on Scribd:
the camp, however, the messenger saw the barbarians
pointing rifles at him, so that he turned and fled.
“On the afternoon of the 24th, vast columns of smoke were
seen rising to the north-west, and it was ascertained that the
barbarians had entered the Summer Palace, and after
plundering the three main halls, leaving them absolutely bare,
they had set fire to the buildings. Their excuse for this
abominable behaviour is that their troops got out of hand, and
had committed the incendiarism. After this they issued
notices, placarded everywhere, in very bad Chinese, stating
that unless terms of peace had been arranged before mid-day
on the 29th, they would then bombard Peking, in which case
all inhabitants who did not wish to share the fate of the city
had better remove themselves to a safe distance.
“On this day it was reported that The Sacred Chariot had
reached Jehol in safety, but His Majesty had been greatly
alarmed, and had issued a Decree expressing regret for his
failure to commit suicide on the approach of the invaders. The
Emperor is reported to be ill, and it is said that the Princes
Tsai Yüan and Tuan Hua are trying to get themselves
appointed to the Grand Council. Should the Emperor die (lit.
‘when ten thousand years have passed’) the Yi concubine will
be made Empress Dowager, but at present she is reported to
be at variance with the Princes, who are endeavouring to
prejudice the Emperor against her.
“I learnt that all was quiet at the temple where my mother’s
coffin rests. Troops were passing there daily, but, so far, none
had occupied it. On the 29th, my servant-boy, Yung ’Erh,
came to tell me that troops from Tientsin in the pay of the
barbarians had occupied the temple, but on proceeding
thither I found them to be General Sheng’s men. Prince
Seng’s troops were also near at hand, so that, if a
bombardment had taken place, what could have prevented
the destruction of the temple, and what would then have
become of my mother’s remains? I therefore decided to
engage wheelbarrows and handcarts, at six taels apiece, to
take my family to Pao-ting fu, and I arranged with the
undertakers to hire bearers for the coffin.
“At 11 a.m. of the same day the barbarians entered the city
by the Anting gate, occupying its tower and the wall adjoining.
One large cannon and four small ones were placed in position
on the wall, and a five-coloured flag hoisted there. With the
exception of the officials entrusted with the duty of
negotiating, not one remained in the city. Two days ago the
prisoner Parkes, and his companions, were sent back to the
enemy with every mark of courtesy. Scarcely had they
reached their camp when a special Decree, post-haste from
Jehol, ordered Prince Kung to decapitate them all forthwith as
a warning to the bandits who had dared to invade the sacred
precincts of the Palace. As the Yi concubine had urged their
execution from the very first, it would seem as if her influence
were again in the ascendant.
“On the 1st of the 9th Moon, the ‘Chang-yi’ gate was
closed, but I managed to leave the city by the Hsi-pien Men,
where I was nearly crushed to death in the enormous crowd.
Upon my arrival at the temple, I had a nice wadded cover
made to put over the coffin, and then hurried back to the city
to arrange for the cortège leaving next morning. The
President of the Board of Finance, Liang Hai-lou, was hiding
in the temple precincts with his family and chief concubine, all
wearing common clothes and unshaven. This is a good
example of the condition to which the very highest had been
reduced.
“Next morning, on reaching the temple, I found the coffin-
bearers and transport coolies on the spot. But, unfortunately,
in my hurry, I failed to notice that the undertakers had
supplied the frame, on which the coffin is carried, of a size
smaller than had been agreed upon, so that instead of sixteen
bearers there were but eight. We started, however, and the
procession’s appearance of panic-stricken fugitives was most
distressing to contemplate. But what could I do? The first and
only object in my mind was to protect my mother’s coffin. I
have omitted to state that my small servant-boy, Yung ’Erh,
had started to accompany the coffin on foot. But, after they
had started, it occurred to me that the lad could never stand
so long a journey, and that should my mother be aware of it,
she would be extremely anxious about him. Therefore, I
quickly engaged another wheelbarrow for Yung ’Erh, and
bade the coolies hurry after the procession.
“On returning home I felt uneasy about the jolting which my
mother’s coffin must have experienced on the undersized
frame. I went, therefore, to the undertakers and expostulated
with them for having cheated me. After much altercation they
agreed to change the frame, but I was to pay two taels more
for the larger size. I subsequently learned that they failed to
keep their promise, but there was no good to be got by suing
them for breach of faith. They are sordid tricksters. Yung ’Erh
wrote, however, to assure me that the party had reached Pao-
ting fu in safety, and that the coffin had not been jolted in the
least. On removing the wrappings the lacquer was found to be
undamaged.
“The barbarians were now in full possession of the city, and
rumours were rife on all sides. Everyone in Peking—there
were still a good many people—was terrified, and the
Manchus were sending their families from the Tartar to the
southern (Chinese) city to save their women from being
outraged by the barbarian bandits. The condition of the
people was indeed deplorable in the extreme. One of the
Censors had sent a Memorial to Jehol, reproaching the
Emperor for the pass to which he had brought his people, and
for the neglect of ancestral worship caused by his absence.
He blamed His Majesty for listening to evil advisers, and
besought him to return to his capital.
“The minds of the people were becoming more than ever
disturbed, because it was now reported that the negotiations
for peace had so far failed, either because Prince Kung would
not entertain the barbarians’ conditions, or because the latter
were too utterly preposterous.
 “On the 6th, a despatch arrived from the British barbarians,
accusing China of having violated all civilised usage in
torturing to death their fellow-countrymen. For this they
demanded an indemnity of 500,000 taels. At the same time
came a despatch from the Russian barbarians, saying that
they had heard that England was demanding this indemnity,
but they (the Russians) were prepared to use their influence
and good offices to persuade the British to abate their claims.
Prince Kung was of opinion that, even if they should be
successful in this proposed mediation, China would only save
some 100,000 taels, and for this she would place herself
under heavy obligations to Russia. So he replied, declining
the offer on the ground that the British claim had already been
accepted by China, and that further discussion of the matter
was therefore impossible. Thereupon the Russians wrote
again, saying that if China had definitely accepted the British
terms there was, of course, nothing more to be said, but they
asked Prince Kung to note that they had induced England to
forgo half of the indemnity of two million taels originally asked,
as a set-off to China for the destruction of the Summer
Palace. On the 9th, Prince Kung forwarded the 500,000 taels
to the British barbarians.
“The whole sixteen articles of the barbarians’ demands
have finally been accepted without modification. The only
thing that our negotiators asked was the immediate
withdrawal of the invading army, and to obtain this they were
prepared to yield everything. Therefore, the barbarians openly
flout China for her lack of men. Woe is me; a pitiful tale, and
one hard to tell! When the Yi concubine heard of Prince
Kung’s complete surrender to the barbarians she reproached
the Emperor for allowing his brother to negotiate, and she
implored him to re-open hostilities. But His Majesty was
dangerously ill, and refused to leave Jehol, so that our
revenge must be postponed for the time being.”
 H.I.H. P’u Ju, Cousin of the Present Emperor, Son of the Boxer Prince
Tsai-Ying, and Grandson of Prince Kung.

Bearing in mind the frequent allusions made by the Hanlin diarist

to the Emperor’s indecision of purpose at the time of the advance of
the British and French armies on Peking, it is reasonable to assume
that Yehonala prompted, if she did not write, the following vigorous
Edict, which appeared on the 3rd day of the 8th Moon in the 10th
year of Hsien-Feng (6th September 1860):—

“Swaying the wide world, we are nevertheless animated by

one and the same instinct of benevolence to all. We have
never forbidden England and France to trade with China, and
for long years there has been peace between them and us.
But three years ago the English, for no good cause, invaded
our city of Canton, and carried off our officials into captivity.
We refrained at that time from taking any retaliatory
measures, because we were compelled to recognise that the
obstinacy of the Viceroy Yeh had been in some measure a
cause of the hostilities. Two years ago the barbarian
Commander Elgin came north, and we then commanded the
Viceroy of Chihli, T’an Ting-hsiang, to look into matters
preparatory to negotiations. But the barbarian took advantage
of our unreadiness, attacking the Taku forts and pressing on
to Tientsin. Being anxious to spare our people the horrors of
war, we again refrained from retaliation and ordered Kuei
Liang to discuss terms of peace. Notwithstanding the
outrageous nature of the barbarians’ demands, we
subsequently ordered Kuei Liang to proceed to Shanghai in
connection with the proposed Treaty of Commerce, and even
permitted its ratification as earnest of our good faith.
“In spite of all this the barbarian leader Bruce again
displayed intractability of the most unreasonable kind and
once more appeared off Taku with a squadron of warships in
the 8th Moon. Seng Ko Lin Ch’in thereupon attacked him
fiercely and compelled him to make a hasty retreat. From all
these facts it is clear that China has committed no breach of
faith and that the barbarians have been in the wrong. During
the present year the barbarian leaders Elgin and Gros have
again appeared off our coasts, but China, unwilling to resort
to extreme measures, agreed to their landing and permitted
them to come to Peking for the ratification of the Treaty.
 “Who could have believed that all this time these barbarians
have been darkly plotting and that they had brought with them
an army of soldiers and artillery, with which they attacked the
Taku forts from the rear, and, having driven out our forces,
advanced upon Tientsin! Once more we ordered Kuei Liang to
go to Tientsin and endeavour to reason with them, in the hope
that they might not be lost to all sense of propriety, and with
the full intention that their demands, if not utterly
unreasonable, should be conceded. To our utter
astonishment, Elgin and his colleague had the audacity to
demand an indemnity from China; they asked, too, that more
Treaty ports should be opened, and that they should be
allowed to occupy our capital with their army. To such lengths
did their brutality and cunning lead them! But we then
commanded Prince Yi and Mu Yin, the President of the Board
of War, to endeavour to induce in them a more reasonable
spirit and to come to some satisfactory arrangement. But
these treacherous barbarians dared to advance their savage
soldiery towards Tungchow and to announce their intention of
compelling us to receive them in audience.
“Any further forbearance on our part would be a dereliction
of our duty to the Empire, so that we have now commanded
our armies to attack them with all possible energy and we
have directed the local gentry to organise train-bands, and
with them either to join in the attack or to block the barbarians’
advance. Hereby we make offer of the following rewards:—
For the head of a black barbarian, 50 taels, and for the head
of a white barbarian, 100 taels. For the capture of a barbarian
leader, alive or dead, 500 taels, and for the seizure or
destruction of a barbarian vessel, 5,000 taels. The inhabitants
of Tientsin are reputed brave. Let them now come forward
and rid us of these pestilential savages, either by open attack
or by artifice. We are no lovers of war, but all our people must
admit that this has been forced upon us.
“As to the barbarians’ seizure of portions of our territory in
Kuangtung and Fukhien, all our subjects are alike our children
 and we will issue large rewards to any of them in the south
who shall present us with the head of a barbarian chief.
“These barbarians live in the remote parts of the earth,
whence they come to China for purposes of trade. Their
outrageous proceedings have, we understand, been
encouraged by abominable traitors among our own subjects.
We now command that all the Treaty ports be closed and all
trade with England and France stopped. Subjects of other
submissive States are not to be molested, and whensoever
the British and French repent them of their evil ways and
return to their allegiance, we shall be pleased to permit them
to trade again, as of old, so that our clemency may be made
manifest. But should they persist in their wicked violation of
every right principle, our armies must mightily smite them, and
pledge themselves solemnly to destroy utterly these evil-
doers. May they repent while yet there is time!”

Three days later Yehonala was present at the morning audience,

when the Emperor made the following statement:—

“We learn that the barbarians continue to press upon our

capital. Their demands were all complied with, yet they insist
upon presenting to us in person their barbarous documents of
credentials, and demand that Prince Seng shall withdraw his
troops from Chang-Chia wan. Such insolence as this makes
further parley impossible. Prince Seng has gained one great
victory already, and now his forces are holding the enemy in
check at Palich’iao.”

Orders were issued that the landing of troops from the warships
which had appeared off Kinchou should be stoutly resisted.
On the 7th of the Moon His Majesty sacrificed at the Temple of
Confucius, but on the next morning he was afraid to come into the
city from the Summer Palace, although he wished to sacrifice to the
tutelary deities and inform them of his intended departure. Early on
the following day Prince Kung was appointed Plenipotentiary in the
place of Prince Yi (Tsai Yüan) and the Emperor, despite the brave
wording of his Decree, fled from the capital, after making obeisance
to the God of War in a small temple of the Palace grounds. In the
Decree announcing his departure, the flight was described as an
“autumn tour of inspection.”[3]
The Court started in utter confusion, but proceeded only some
eighteen miles on the road northwards from Peking, stopping for the
first night in a small temple. Here a Decree was issued calling upon
all the Manchurian troops to hasten to Jehol for the protection of the
Court. On the evening of the following day a Memorial was received
from Prince Kung, reporting on the latest doings of the barbarians,
but His Majesty ordered him, in reply, to take whatever steps he
might think fit to deal with the situation. It was out of the question,
said the Rescript, for the Emperor to decide on any course of action
at a distance: in other words, the Throne divested itself of further
responsibility.
On the 11th, the Court lay at the Imperial hunting lodge north of
Mi-Yun hsien. The Chinese chronicler records that the Emperor was
too sick to receive the Grand Council, and delegated his duties to
Yehonala, who thereupon issued the following Decree:—

“We are informed that the pestilent barbarians are pressing

upon our capital, and our Ministers have asked us to summon
reinforcements from the provinces. Now the highest form of
military art is to effect sudden surprises, carefully pre-
arranged. The barbarians’ superiority lies in their firearms, but
if we can only bring them to a hand-to-hand engagement they
will be unable to bring their artillery to bear, and thus shall our
victory be assured. The Mongol and Manchu horsemen are
quite useless for this kind of warfare, but the men of Hupei
and Ssŭ-ch’uan are as agile as monkeys and adepts at the
use of cover in secret approaches. Let them but surprise
these bandits once, and their rout is inevitable. Therefore let
Tseng Kuo-fan, the Viceroy of Hukuang, send up at least
three thousand of his best troops to Peking, and let as many
 be despatched from Ssŭ-ch’uan. Prince Seng’s troops have
been defeated again and again, and the capital is in great
danger. At such a crisis as this, there must be no delay; it is
our earnest hope that a sufficient force will speedily be
collected, so that we may be rid of this poisonous fever-cloud.
For bravery and good service, there will be great rewards. A
most important Decree.”

At the Court’s halting place at Pa-Ko shih, close to the Great Wall,
a Memorial came in from Prince Seng Ko Lin Ch’in, stating that small
scouting parties of the barbarian troops had been seen in the
neighbourhood of Peking, but that as yet there had been no general
bombardment. A Rescript was issued as follows:—

“Inasmuch as it would appear that the pertinacity of these

barbarians will only increase with opposition, it seems
desirable to come to terms with them as soon as possible.
With reference to the French barbarian Gros’s petition to be
permitted to discuss matters with Prince Kung in person, at
Peking, we command the Prince to receive him. But should
the bandits attempt to approach the city in force, Prince Seng
should take them in the rear and cut off their retreat. If by any
chance, however, Peking should be already taken, let the
Mongol regiments be sent up to the Great Wall for the
protection of our person.”

After a leisurely journey, the Court reached Jehol on the 18th. On

the 20th, the opinion of the advisers of the Emperor seemed to be in
favour of continuing the war at all costs. A Decree was issued,
referring to the fact that the foreign troops had dared to encamp near
the Summer Palace, and forbidding Prince Kung to spare the lives of
any captured barbarians upon any pretext whatsoever. To this Prince
Kung replied stating that the prisoners had already been released
and that the Anting gate had been surrendered to the foreigners.
Prince Kung, in fact, was statesman enough to realise that the only
chance for China lay in submission; he therefore ignored the Imperial
Decrees. Before long the Emperor was persuaded to allow
negotiations to be resumed, and on the 15th of the 9th Moon he
confirmed the Treaty, which had been signed in Peking, in the
following Edict:—

“Prince Kung, duly appointed by us to be Plenipotentiary,

concluded, on the 11th and 12th days of this Moon, Treaties
of Peace with the British and the French. Hereafter amity is to
exist between our nations in perpetuity, and the various
conditions of the Treaty are to be strictly observed by all.”
 III
THE TSAI YÜAN CONSPIRACY

It was originally intended that the Emperor Hsien-Feng should

return from Jehol to Peking in the spring of 1861, and a Decree was
issued to that effect. In January, however, his illness had become so
serious that travelling was out of the question, and this Decree was
rescinded.
At Jehol, removed from the direct influence of his brothers, and
enfeebled by sickness, the Emperor had gradually fallen under the
domination of the Prince Yi (Tsai Yüan) with whom were associated,
as Grand Councillors, the Prince Tuan Hua and the Imperial
Clansman Su Shun. These three, recognising that the Emperor’s
end was near and that a Regency would be necessary, determined
on securing the power for themselves. Prince Yi was nominally the
leader of this conspiracy, but its instigator and leading spirit was Su
Shun. Tuan Hua, whose family title was Prince Cheng, was the head
of one of the eight princely Manchu families, descended in the direct
line from Nurhachu’s brother. Su Shun was foster-brother to this
Prince. In his youth he was a conspicuous figure in the capital,
famous for his Mohawk tendencies, a wild blade, addicted to
hawking and riotous living. He had originally been recommended to
the notice of the Emperor by the two Princes and soon won his way
into the dissolute monarch’s confidence and goodwill. From a junior
post in the Board of Revenue, he rose rapidly, becoming eventually
an Assistant Grand Secretary, in which capacity he attained an
unenviable reputation for avarice and cruelty. He had made himself
hated and feared by persuading the Emperor to order the
decapitation of his chief, the Grand Secretary Po Chun,[4] on the
pretext that he had shown favouritism as Chief Examiner for the
Metropolitan Degree,—the real reason being that he had offended
the two Princes by his uncompromising honesty and blunt speech. It
was at this period that he first came into conflict with the young
Yehonala, who, dreading the man’s growing influence with the
Emperor, endeavoured to counteract it, and at the same time to save
the life of the Grand Secretary; she failed in the attempt, and Su
Shun’s position became the stronger for her failure. All those who
opposed him were speedily banished or degraded. The Court was
terrified, especially when it was realised that Yehonala was out of
favour, and Su Shun took care to give them real and frequent cause
for alarm. At his instance, all the Secretaries of the Board of
Revenue were cashiered on a charge of making illicit profits by
cornering the cash market. The charge was possibly well-founded,
since such proceedings are part of a Metropolitan official’s
recognised means of subsistence, but coming from the notoriously
corrupt Su Shun, it was purely vindictive, as was shown by his
subsequent action; for upon this charge he obtained the arrest of
over a hundred notables and rich merchants whom he kept in
custody of no gentle kind until they had ransomed themselves with
enormous sums. Thus was founded the great fortune which enabled
him to conspire with the Princes Yi and Cheng[5] for the supreme
power, and which led him eventually to his ruin. To this day, many of
his millions lie in the Palace vaults, to which they were carried after
his impeachment and death—millions carefully hoarded by Tzŭ Hsi
and buried during the Court’s flight and exile in 1900.
It was chiefly because of the advice of Su Shun that the Emperor
fled his capital at the approach of the Allies, in spite of the urgent
appeals of Yehonala and the Grand Council. By his advice also most
of the high officials and Metropolitan Ministers were prevented from
accompanying the Court, by which means the conspirators were
able to exercise steadily increasing influence over the Emperor, and
to prevent other advice reaching him. It was only the supreme
courage and intelligent grasp of the situation shown by Yehonala,
that frustrated the conspiracy at its most critical moment.
Immediately after the death of the Emperor, and while the plotters
were still undecided as to their final plans, she sent an urgent
message secretly to Prince Kung which brought him with all speed to
Jehol, where, by the help of Jung Lu and other loyal servants, she
put into execution the bold plan which defeated the conspiracy and
placed her at the head of China’s government. On the day when, the
game hopelessly lost, the usurping Regents found themselves in
Yehonala’s hands and heard her order their summary trial by the
Court of the Imperial Clan, Su Shun turned to his colleagues and
bitterly reproached them. “Had you but taken my advice and slain
this woman,” he said, “we should not have been in this plight to-day.”
To return, however, to the beginning of the conspiracy. At the
outset, the object of Prince Yi was to alienate the Emperor from the
influence of his favourite concubine, Yehonala. With this object they
informed him of the intrigue which, by common report, she was
carrying on with the young Officer of the Guards, Jung Lu, then a
handsome athletic man of about twenty-five. The Empress Consort
they regarded as a negligible factor, whose good-natured and
colourless personality took little interest in the politics of the day; but
if their plot was to succeed, Yehonala must either be dismissed from
the Court for good and all, or, at the very least, she must be
temporarily relegated to the “Cold Palace,” as is called the place
where insubordinate or disgraced concubines are isolated. They
knew that, however successful their plans at Jehol, there must
always be danger in the event of the Emperor returning to Peking,
where access to his person is not possible at all times for officials
(even those nearest to the Throne), whereas Yehonala would be in a
position, with the help of her eunuchs, to recover his favour and her
power. Emphasising, therefore, the alleged misconduct of the young
concubine, they quoted the precedent of a certain Empress Consort
of Ch’ien-Lung who, for less grievous disrespect (shown to the
Emperor’s mother), was imprisoned for life. Thus, by inventions and
suggestions, they so worked on the sick man’s mind that he finally
consented to have Yehonala’s infant son, the Heir Apparent,
removed from her care, and authorised the child’s being handed
over to the wife of Prince Yi, who was summoned to the hunting-
lodge Palace for that purpose. At the same time, the conspirators
thought it well to denounce Prince Kung to the Emperor, his brother,
accusing him of treachery, of conniving with the foreigners against
the Throne, and of abusing his powers as Plenipotentiary. Prince Yi
had been for years Prince Kung’s sworn enemy.
 The further intentions of the conspirators, instigated by Su Shun,
were to massacre all Europeans in the capital and to put to death, or
at least imprison for life, the Emperor’s brothers. Accordingly they
drafted in advance the Decrees necessary to justify and explain
these measures, intending to publish them immediately after the
Emperor’s death, which was now imminent. But here an unforeseen
obstacle presented itself, the first of many created for them by the
far-seeing intelligence of Yehonala; for they found that she had
somehow managed to possess herself of the special seal, which
inviolable custom requires to be affixed to the first Edict of a new
reign, in proof of validity of succession,—a seal, in the personal
custody of the Emperor, which bears the characters meaning
“lawfully transmitted authority.” Without this seal, any Decrees which
the usurpers might issue would lack something of legal finality and,
according to Chinese ideas, their subsequent cancellation would be
justifiable. But Prince Yi did not feel himself strong enough to risk a
crisis by accusing her or taking overt steps to gain possession of it.
Angry with his favourite concubine by reason of the reports of her
intimacy with Jung Lu, and his sickness ever increasing, the
Emperor lingered on in Jehol all the summer of that year, his duty in
the ancestral sacrifices at Peking being taken by Prince Kung. On
the 4th of the 6th Moon, the day before his thirtieth birthday, he
issued the following Decree in reply to a Memorial by the Court of
Astronomers, which had announced an auspicious conjunction of the
stars for the occasion:—

“Last month the Astronomers announced the appearance of

a comet in the north-west, which intimation we received as a
solemn warning of the impending wrath of Heaven. Now they
memorialise saying that the stars are in favourable
conjunction, which is doubtless a true statement, in no way
inspired by their desire to please us. But since we came to the
Throne, we have steadily refused to pay any attention to
auspicious omens, and this with good reason, in view of the
ever-increasing rebellions in the south and the generally
pitiable condition of our people. May the present auspicious
 conjunction of the stars portend the dawning of a happier day,
and may heaven permit a speedy end to the rebellion. In
token of our sincerity, we desire that the Astronomical Court
shall refrain from reporting to the Chronicler’s Office the
present favourable omen for inclusion in the annals of our
reign, so that there may be ascribed to us the merit of a
devout and sober mind.”

On the following morning the Emperor received the

congratulations of his Court in a pavilion of the Palace grounds, but
Yehonala was excluded from this ceremony. This was His Majesty’s
last appearance in public; from this date his illness became rapidly
worse.
On the 7th of the 7th Moon Yehonala contrived to despatch a
secret courier to Prince Kung at Peking, informing him of the critical
condition of his brother and urging him to send with all haste a
detachment of the Banner Corps to which the Yehonala clan
belonged. Events now moved swiftly. On the 16th, the Grand
Councillors and Ministers of the Presence, all adherents of Tsai
Yüan’s faction, entered the Emperor’s bedroom and, after excluding
the Empress Consort and the concubines, persuaded the Emperor to
sign Decrees appointing Tsai Yüan, Tuan Hua and Su Shun to be
Co-Regents upon his decease, with full powers. Yehonala was to be
expressly forbidden from exercising any form of control over the Heir
Apparent. As the necessary seal of State had been taken by
Yehonala and could not be found, these proceedings were irregular.
At dawn on the following day the Emperor died, and forthwith
appeared the usual valedictory Decree, prepared in advance by the
conspirators, whereby Tsai Yüan was appointed to be Chief Regent,
Prince Kung and the Empress Consort being entirely ignored.
In the name of the new Emperor, then a child of five, a Decree was
issued, announcing his succession, but it was observed to violate all
constitutional precedent in that it omitted the proper laudatory
references to the Imperial Consort. On the following day, however,
the Regents, fearing to precipitate matters, rectified the omission in
an Edict which conferred the rank of Empress Dowager both on the
Empress Consort and on Yehonala. The chroniclers aver that the
reason for this step lay in the Regents’ recognition of Yehonala’s
undoubted popularity with the troops (all Manchus) at Jehol, an
argument that weighed more heavily with them than her rights as
mother of the Heir Apparent. They hoped to rid themselves of this
condition of affairs after the Court’s return to Peking, but dared not
risk internal dissensions by having her removed until their positions
had been made secure at the capital. That they intended to remove
her was subsequently proved; it was evident that their position would
never be secure so long as her ambitious and magnetic personality
remained a factor of the situation: but it was necessary, in the first
instance, to ascertain the effect of the Regency at Peking and in the
provinces.
Tsai Yüan’s next move was to publish Decrees, in the names of
the Joint Regents, by virtue of which they assumed charge of the
Heir Apparent and by which the title of “Chien Kuo” (practically
equivalent to Dictator) was conferred on the Chief Regent, a title
heretofore reserved exclusively for brothers or uncles of the
Emperor.
When the news reached Peking, a flood of Memorials burst from
the Censorate and high officials. The child Emperor was implored to
confer the Regency upon the two Empresses, or, as the Chinese text
has it, to “administer the Government with suspended curtain.”[6]
Prince Kung and the Emperor’s other brothers were at this time in
secret correspondence with Yehonala, whom they, like the
Censorate, had already recognised as the master-mind of the
Forbidden City. They urged her to do all in her power to expedite the
departure of the funeral cortège for the capital. To secure this end, it
was necessary to proceed with the greatest caution and diplomacy,
for several of the late Emperor’s wives had been won over to the
side of the usurpers, who could also count on a certain number of
the Manchu bodyguard, their own clansmen. The influence of Su
Shun’s great fortune was also no inconsiderable factor in the
situation. The man was personally unpopular with the people of
Peking, because of his abuse of power and too frequent connection
with speculations in bank-note issues and cash, which cost the
citizens dear, but his vaults were known to be full to over-flowing,
and there is no city in the world where money buys more political
supporters than in Peking. Su Shun’s career has had its counterpart,
in everything except its sanguinary dénouement, in the capital to-
day.

Her Majesty Tzŭ Hsi in the Year 1903.

 At the moment the position of the Emperor’s family was
prejudiced, and the aims of the conspirators assisted, by the political
situation. With the capital occupied by foreign troops, and many of
the provinces in the throes of a great rebellion, the people might be
expected to welcome a change of rulers, and the ripe experience of
the usurping Regents in all matters of State was undeniable. But the
virile and untiring energies of Yehonala, ably supported by Jung Lu
and other faithful followers, soon put a new complexion on affairs,
and the situation was further modified in her favour by the success of
her nominee, the Commander-in-Chief, Tseng Kuo-fan, in capturing
the city of An-ch’ing (in Anhui) from the rebels, a victory that was
regarded as of good augury to her cause. Thereafter her courage
and diplomacy enabled her to play off one opponent against another,
gaining time and friends until the conspirators’ chance was gone.
Her own aims and ambitions, which had been voiced by her friends
in the Censorate, were, however, to some extent impeded by the fact
that a House-law of the Dynasty forbids the administration of the
Government by an Empress Dowager, while there were quite recent
precedents for a Regency by a Board, in the cases of the Emperors
Shun-Chih and K’ang-Hsi. In neither of these instances had the
Empress Tai-Tsung had any voice in the Government. The precedent
for Boards of official Regents had, however, come to be recognised
as inauspicious, because the several Regents of K’ang-Hsi’s
minority had either been banished or compelled to commit suicide. It
is probable, too, that Prince Kung, in instigating and supporting the
claims of the Empresses, failed to appreciate Yehonala’s strength of
character, and believed that a women’s Regency would leave the
supreme power in his own hands.
A Manchu, who accompanied the flight to Jehol, describing his
experiences, lays stress upon Yehonala’s unfailing courage and
personal charm of manner, to which was due her popularity with the
Imperial Guards and her eventual triumph. At the most critical period
of the conspiracy she was careful to avoid precipitating a conflict or
arousing the suspicions of the usurpers by openly conferring with
Jung Lu, and she employed as her confidential intermediary the
eunuch An Te-hai (of whom more will be heard later). By means of
this man daily reports were safely despatched to Prince Kung at
Peking, and, in the meanwhile, Yehonala affected an attitude of calm
indifference, treating Prince Yi with a studied deference which lulled
his suspicions.
On the 11th of the 8th Moon, the Board of Regents, after meeting
to discuss the situation, issued a Decree condemning in strong terms
a proposal put forward in a Memorial by the Censor, Tung Yüan-
ch’un, that the two Empresses should be appointed Co-Regents, and
referring to the death-bed Decree of the late Emperor as their own
warrant of authority. At the same time they announced, in the name
of the young Emperor, that the funeral cortège would start on its
journey to the capital on the second day of the next Moon. This was
the step for which Yehonala had been working and waiting. As
Ministers of the Presence, the Regents were perforce obliged to
accompany the coffin throughout the entire journey (some 150 miles)
to the capital, and the great weight of the catafalque, borne by one
hundred and twenty men, would necessarily render the rate of
progress very slow through the stony defiles of the hills. Resting
places would have to be provided at stages of about fifteen miles
along the route to shelter the Imperial remains and the attendant
officials by night, so that the Regents might count on a journey of ten
days at least, and longer in the event of bad weather. To the
Empresses, the slow progress of the cortège was a matter of vital
advantage, inasmuch as they were not to take part in the procession,
and, travelling ahead of it, could reach the capital in five days with
swift chair-bearers. Dynastic custom and Court etiquette prescribe
that upon the departure of the funeral procession, the new Emperor
and the consorts of the deceased sovereign should offer prayers and
libations, and should then press on so as to be ready to perform
similar acts of reverence on meeting the cortège at its destination.
Yehonala thus found herself in a position of great strategic
advantage, being enabled to reach the capital well in advance of her
enemies, and she speedily laid her plans with Prince Kung to give
them a warm reception.
Tsai Yüan and his colleagues were well aware that they were
placed at grave disadvantage in having to remain behind the young
Empress, with every prospect of serious trouble ahead; they,