Checklist of key elements and questions related to national regulation of brokers and brokering activities.

Definitions of brokering activities or broker

 ໜ What types of activity are defined as “brokering” and subject to regulation? What “closely associated activities” are defined and subject to regulation? 

ໜ Which sources of existing international or regional guidance are most in line with definitions of a broker or brokering activities used at the national level? 

Scope of items regulated and scope of jurisdiction

ໜ Which categories of item are subject to brokering regulations? 

ໜ Are all natural persons (individuals) and legal persons (companies) that are engaged in “core brokering activities” or “associated brokering activities” subject to regulation? 

ໜ Are brokering activities of the state’s citizens or its permanent residents in other states regulated (i.e., are extraterritorial controls exercised and jurisdiction asserted)? 

Approaches to the regulation of brokers and brokering 

ໜ Which approaches and measures are used to regulate brokering activities? 

ໜ What are some advantages and limitations of the different approaches to regulating brokering? 

ໜ Which other approaches, methods and measures are used to regulate brokering activities?

 Registration and screening of potential brokers 

ໜ Must all legal persons be registered as an arms broker before undertaking brokering activities?

 ໜ What requirements and application criteria need to be satisfied by applicants before being registered as an arms broker? 

ໜ How long (duration) is the registration of an arms broker valid before it becomes subject to renewal? 

ໜ Is a two-step process employed in the regulation of brokering (i.e., registration of a legal person as a prerequisite before an application, licencing or other form of authorization for each individual transaction)? 

Licencing of brokering activities

ໜ Is a one-step licensing process employed? 

ໜ What types of information (informational requirements) for use by competent national authorities must applicants provide when applying for a licence to undertake brokering activities? 

ໜ Are there provisions for exemptions from licensing procedures for brokering activities? If so, under what circumstances and in which situations are such exemptions provided? 

ໜ How long (duration) are licences to undertake brokering activities valid? ໜ Where a one-step licensing process is used, is a register maintained of all brokers and applications for a brokering licence? 

Risk assessments (including refusal and revocation)

 ໜ What criteria are used to assess an application for a brokering licence before authorizing or denying the licence? Are these criteria the same as for export licence applications? Do these criteria cover provisions contained in ATT Article 7 (on export and export assessment)? 

ໜ Is end-use or end-user documentation used as a means to share information on brokers involved in a proposed transfer as part of risk assessments undertaken prior to authorizing a transfer involving brokering activities? 

ໜ What factors and criteria are considered for refusal or revocation of a licence for a proposed transfer involving brokering activities? 

Record-keeping and reporting for brokering activities and/or brokers 

ໜ Are registered brokers and/or persons that have received a licence to undertake brokering activities required to keep records of their activities? 

ໜ What types of information are registered brokers and/or persons that have received licences required to keep in their records? For how many years do records need to be kept? 

ໜ Are registered brokers and/or persons that have received licences required to report to a competent national authority on brokering activities? What types of information are required to be reported to the competent national authority?

 ໜ How frequently are registered brokers and/or persons that have received licences required to report to the competent national authority on brokering activities (e.g., monthly, quarterly, annually) after each brokering transaction has been completed? 

Penalties and sanctions for violations of national legislation relating to brokering

 ໜ Which types of offence are included in national legislation (administrative, civil or criminal)? Which types of penalty and sanction are used for brokering offences? Which other legislation and regulations need to be considered for offences and penalties for brokering? 

International cooperation and information exchange

 ໜ Which types of international cooperation (including information exchanges) and international law enforcement cooperation (including mutual legal assistance) are necessary for the enforcement of regulations on brokers and brokering activities?



- Definitions of brokering activities or broker.
- Scope of items regulated and scope of jurisdiction
- Penalties and sanctions for violations of national legislation relating to brokering.




















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