2020 No. 1665

Exiting The European Union

Sanctions

The Libya (Sanctions) (EU Exit) Regulations 2020

Made29th December 2020

Laid before Parliament4th January 2021

Coming into force in accordance with regulation 1(2) and (3)

The Secretary of State ^M1, in exercise of the powers conferred by sections 1(1)(a) and (c) and (3), 3(1)(a), (b)(ii), (d)(i) and (ii), 4, 5, 6, 7(6)(a) and (7), 8, 9(2), 10(2)(a) and (c), (3) and (4), 11, 13, 15(2)(a) and (b), (3), (4)(b), (5) and (6), 16, 17, 19, 20, 21(1), 54(1) and (2), and 62(4) to (6) of, and paragraphs 2(b), 3(a) and (b), 4(b) and (c), 5(a)(ii), (b), (c) and (d), 6(a)(ii) and (b), 7(a)(ii) and (b), 10(b), 11(a)(ii), 13(b), (h), (i), (k), (l), (m), (n) and (w), 14(a), (f) and (k), 15(a), (c) and (d), 17, 19 to 23, 26 and 27 of Schedule 1 to, the Sanctions and Anti-Money Laundering Act 2018 ^M2, and having decided, upon consideration of the matters set out in section 2(2) of that Act, that it is appropriate to do so, makes the following Regulations:^C1

PART 1 General¶

^I11 Citation and commencement¶

1 These Regulations may be cited as the Libya (Sanctions) (EU Exit) Regulations 2020.

2 The following provisions come into force on 30th December 2020—

a this regulation;

b regulation 2 (interpretation);

c regulation 4 (purposes);

d regulation 5 (power to designate persons);

e regulation 6 (criteria for designating a person);

f regulation 7 (meaning of “owned or controlled directly or indirectly”);

g regulation 8 (notification and publicity where designation power used);

h regulation 10 (designation of persons named by or under UN Security Council Resolutions);

i regulation 32 (interpretation of Part 5);

j Schedule 1 (rules for interpretation of regulation 7(2)).

3 All other provisions come into force on IP completion day ^M3.

^I22 Interpretation¶

In these Regulations—

“the Act” means the Sanctions and Anti-Money Laundering Act 2018;
“arrangement” includes any agreement, understanding, scheme, transaction or series of transactions, whether or not legally enforceable (but see paragraph 12 of Schedule 1 for the meaning of that term in that Schedule);
“CEMA” means the Customs and Excise Management Act 1979 ^M4;
“the Commissioners” means the Commissioners for Her Majesty's Revenue and Customs;
“the Committee” means the Committee of the Security Council established in accordance with paragraph 24 of resolution 1970;
“conduct” includes acts and omissions;
“director disqualification licence” means a licence under regulation 48A;
“document” includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include producing a copy of the information in legible form;
“the EU Libya Regulation” means Council Regulation (EU) 2016/44 of 18 January 2016 concerning restrictive measures in view of the situation in Libya and repealing Regulation (EU) No 204/2011 ^M5, as it has effect in EU law;
a “non-UN designated person” means a person—
1. who is designated under regulation 5 (power to designate persons) for the purposes of regulations 12 to 16 (asset-freeze etc.), and
2. whose designation (in the opinion of the Secretary of State) is not required by paragraph 17 of resolution 1970 (read in accordance with regulation 4(4));
“port licence” means a licence under regulation 50;
“resolution 1970” means resolution 1970 (2011) adopted by the Security Council on 26 February 2011;
“resolution 1973” means resolution 1973 (2011) adopted by the Security Council on 17 March 2011;
“resolution 2009” means resolution 2009 (2011) adopted by the Security Council on 16 September 2011;
“resolution 2095” means resolution 2095 (2013) adopted by the Security Council on 14 March 2013;
“resolution 2146” means resolution 2146 (2014) adopted by the Security Council on 19 March 2014;
“resolution 2174” means resolution 2174 (2014) adopted by the Security Council on 27 August 2014;
“resolution 2213” means resolution 2213 (2015) adopted by the Security Council on 27 March 2015;
“resolution 2362” means resolution 2362 (2017 adopted by the Security Council on 29 June 2017;
“resolution 2441” means resolution 2441 (2018) adopted by the Security Council on 5 November 2018;
“trade licence” means a licence under regulation 49;
“Treasury licence” means a licence under regulation 48(1);
“United Kingdom person” has the same meaning as in section 21 of the Act.

^I483 Application of prohibitions and requirements outside the United Kingdom¶

1 A United Kingdom person may contravene a relevant prohibition by conduct wholly or partly outside the United Kingdom.

2 Any person may contravene a relevant prohibition or the prohibition under regulation 42(2)(b) (overflight of aircraft) by conduct in the territorial sea.

3 In this regulation, a “relevant prohibition” means any prohibition imposed by—

a regulation 9(2) (confidential information),

b Part 3 (Finance),

c Part 5 (Trade),

d Part 6 (UN designated ships), except for regulation 36 (port access or entry for UN designated ships), or

e a condition of a Treasury licence, a trade licence or a port licence.

4 A United Kingdom person may comply, or fail to comply, with a relevant requirement by conduct wholly or partly outside the United Kingdom.

5 Any person may comply, or fail to comply, with a relevant requirement by conduct in the territorial sea.

6 In this regulation, a “relevant requirement” means any requirement imposed—

a by or under Part 9 (Information and records), or by reason of a request made under a power conferred by that Part, or

b by a condition of a Treasury licence, a trade licence or a port licence.

7 Nothing in this regulation is to be taken to prevent a relevant prohibition or a relevant requirement from applying to conduct (by any person) in the United Kingdom.

^I34 Purposes¶

1 The regulations contained in this instrument that are made under section 1 of the Act have the following purposes—

a compliance with the relevant UN obligations, and

b the additional purposes mentioned in paragraph (2).

2 Those additional purposes are—

a promoting respect for human rights in Libya,

b promoting the peace, stability and security of Libya,

c promoting the successful completion of Libya's transition to a democratic, independent and united country, and

d preventing migrant smuggling and human trafficking taking place from Libya,

otherwise than by compliance with the relevant UN obligations.

3 In this regulation, “the relevant UN obligations” means—

a the obligation that the United Kingdom has by virtue of paragraph 17 of resolution 1970 (asset-freeze etc.) to take the measures required by that provision in respect of persons ^M6 for the time being named for the purposes of that provision by the Security Council or the Committee;

b the obligations that the United Kingdom has by virtue of paragraph 17 of resolution 1970 in respect of persons—

i acting on behalf of or at the direction of, or

ii owned or controlled by,

the persons for the time being named by the Security Council or the Committee for the purposes of paragraph 17 of resolution 1970;

c the obligations that the United Kingdom has by virtue of paragraphs 9, 10 and 12 of resolution 1970 (arms embargo etc.) as read with paragraph 13 of resolution 2009, paragraphs 9 and 10 of resolution 2095 and paragraph 8 of resolution 2174;

d the obligation that the United Kingdom has by virtue of paragraph 18 of resolution 1973 (in relation to the landing, taking off and overflying of certain aircraft);

e the obligations that the United Kingdom has by virtue of paragraph 10 of resolution 2146 (in relation to ships for the time being designated by the Committee for the purposes of that paragraph) ^M7.

4 In paragraph (3)(a) and (b)—

a a reference to persons named by the Security Council or the Committee for the purposes of paragraph 17 of resolution 1970 includes persons named by virtue of paragraph 19 of resolution 1973;

b a reference to the obligations the United Kingdom has by virtue of paragraph 17 of resolution 1970 is to that provision as read with—

i paragraph 23 of resolution 1973,

ii paragraph 15 of resolution 2009,

iii paragraph 4 of resolution 2174,

iv paragraph 11 of resolution 2213,

v paragraph 11 of resolution 2362, and

vi paragraph 11 of resolution 2441.

PART 2 Designation of persons¶

^I45 Power to designate persons¶

1 The Secretary of State may designate persons by name in accordance with regulation 5A (conditions for the designation of persons by name) for the purposes of any of the following—

a regulations 12 to 16 (asset-freeze etc.);

aa regulation 21A (director disqualification sanctions);

b regulation 22 (immigration).

2 The Secretary of State may designate different persons for the purposes of different provisions mentioned in paragraph (1).

5A Conditions for the designation of persons by name¶

1 The Secretary of State may choose whether to designate a person under regulation 5 (power to designate persons) under—

a the standard procedure, or

b the urgent procedure.

2 Paragraph (3) applies where the Secretary of State chooses to designate a person under regulation 5 under the standard procedure.

3 The Secretary of State may not designate a person except where condition A is met.

4 Condition A is that the Secretary of State has reasonable grounds to suspect that that person is an involved person.

5 Paragraphs (6) to (8) apply where the Secretary of State chooses to designate a person under regulation 5 under the urgent procedure.

6 The Secretary of State may designate a person where condition A is not met, but conditions B and C are met.

7 The person ceases to be a designated person at the end of the period of 56 days beginning with the day following the day on which the person became a designated person unless, within that period, the Secretary of State certifies that—

a condition A is met, or

b conditions B and C continue to be met.

8 Where the Secretary of State makes a certification under paragraph (7)(b), the designation ceases to have effect at the end of the period of 56 days beginning with the day immediately following the period mentioned in paragraph (7), unless within that period the Secretary of State certifies that condition A is met.

9 Condition B is that relevant provision (whenever made) applies to, or in relation to, the person under the law of—

a the United States of America;

b the European Union;

c Australia;

d Canada.

10 Condition C is that the Secretary of State considers that it is in the public interest to make designations under the urgent procedure.

11 For the purposes of condition B, “relevant provision” is provision that the Secretary of State considers—

a corresponds, or is similar, to the type of sanction or sanctions in these Regulations, or

b is made for purposes corresponding, or similar, to any purpose of any type of sanction or sanctions in these Regulations.

12 In this regulation, “involved person” has the meaning given in regulation 6 (designation criteria: meaning of “involved person”).

^I56 Designation criteria: meaning of “involved person”¶

^F511 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2 For the purposes of regulation 5A (conditions for the designation of persons by name) an “involved person” means a person who—

a is or has been involved in—

i the commission of a serious human rights violation or abuse in Libya;

ii the commission of a violation of international humanitarian law in Libya, including in particular attacking civilian populations or facilities in violation of international law;

iii activities carried out on behalf of the former regime of Muammar Qadhafi implementing or connected to the repressive policies of that regime;

iv any other activity which threatens the peace, stability and security of Libya or undermines its transition to a democratic, peaceful and independent country, including in particular—

aa attacking a port, airport, or other infrastructure, a foreign mission, or United Nations personnel, in Libya;

bb illicitly exploiting oil or any other natural resources in Libya for the purposes of providing support to armed groups or criminal networks;

cc threatening or coercing the Libyan National Oil Company or Libyan state financial institutions;

dd misappropriating Libyan state funds, or taking action that may lead to such misappropriation,

b is owned or controlled directly or indirectly (within the meaning of regulation 7) by a person who is or has been so involved,

c is acting on behalf of or at the direction of a person who is or has been so involved, or

d is a member of, or associated with, a person who is or has been so involved.

3 Any reference in this regulation to being involved in an activity set out in paragraph (2)(a) includes being so involved in whatever way and wherever any actions constituting the involvement take place, and in particular includes—

a being responsible for, engaging in, providing support for, or promoting any such activity;

b providing financial services ^M8, or making available funds or economic resources ^M9, that could contribute to any such activity;

c being involved in the supply to Libya of restricted goods or restricted technology or of material related to such goods or technology, or in providing financial services relating to such supply;

d being involved in the supply to Libya of goods or technology which could contribute to any such activity, or in providing financial services relating to such supply;

e assisting the contravention or circumvention of any relevant provision.

4 For the purposes of this regulation, being “involved in” misappropriating Libyan state funds includes owning or controlling Libyan state funds which were misappropriated during the former regime of Muammar Qadhafi.

5 In this regulation—

“relevant provision” means—
1. any provision of Part 3 (Finance), Part 5 (Trade), Part 6 (Trade, transport and finance measures related to UN designated ships), or Part 7 (Aircraft);
2. any provision of the law of a country other than the United Kingdom made for purposes corresponding to a purpose of any provision of Part 3 or Parts 5 to 7;
3. any provision of resolution 1970, resolution 1973 or resolution 2146;
“restricted goods” and “restricted technology” have the meanings given by Part 5.

6 Nothing in any sub-paragraph of paragraph (3) is to be taken to limit the meaning of any of the other sub-paragraphs of that paragraph.

^I67 Meaning of “owned or controlled directly or indirectly”¶

1 A person who is not an individual (“C”) is “owned or controlled directly or indirectly” by another person (“P”) if either of the following two conditions is met (or both are met).

2 The first condition is that P—

a holds directly or indirectly more than 50% of the shares in C,

b holds directly or indirectly more than 50% of the voting rights in C, or

c holds the right, directly or indirectly, to appoint or remove a majority of the board of directors of C.

3 Schedule 1 contains provision applying for the purpose of interpreting paragraph (2).

4 The second condition is that it is reasonable, having regard to all the circumstances, to expect that P would (if P chose to) be able, in most cases or in significant respects, by whatever means and whether directly or indirectly, to achieve the result that affairs of C are conducted in accordance with P's wishes.

^I78 Notification and publicity where designation power used¶

1 Paragraph (2) applies where the Secretary of State—

a has made a designation under regulation 5 (power to designate persons), or

b has by virtue of section 22 of the Act varied or revoked a designation made under that regulation.

2 The Secretary of State—

a must without delay take such steps as are reasonably practicable to inform the designated person of the designation, variation or revocation, and

b must take steps to publicise the designation, variation or revocation.

3 The information given under paragraph (2)(a)—

a where the Secretary of State designates a person under the standard procedure, must include a statement of reasons;

b where the Secretary of State designates a person under the urgent procedure, must include a statement—

i that the designation is made under the urgent procedure,

ii identifying the relevant provision by reference to which the Secretary of State considers that condition B is met in relation to the person, and

iii setting out why the Secretary of State considers that condition C is met.

3A Where the Secretary of State designates a person under the urgent procedure, the Secretary of State must, after the end of the period mentioned in paragraph (7) of regulation 5A (conditions for the designation of persons by name) or, if the Secretary of State has made a certification under paragraph (7)(b) of that regulation, the period mentioned in paragraph (8) of that regulation, but otherwise without delay—

a in a case where the person ceases to be a designated person, take such steps as are reasonably practicable to inform the person that they have ceased to be a designated person, or

b in any other case, take such steps as are reasonably practicable to give the person a statement of reasons.

4 In this regulation, a “statement of reasons” means a brief statement of the matters that the Secretary of State knows, or has reasonable grounds to suspect, in relation to the person—

a in the case of a designation under the standard procedure, which have led the Secretary of State to make the designation, and

b in the case of a designation under the urgent procedure, as a result of which the person does not cease to be a designated person at the end of the period mentioned in regulation 5A(7) or (8) (as the case may be).

5 Where the Secretary of State considers that a person's designation is required by paragraph 17 of resolution 1970, the statement of reasons must include a statement that in the Secretary of State's opinion the designation is required by that paragraph.

6 Matters that would otherwise be required by paragraph (4) or (5) to be included in a statement of reasons may be excluded from it where the Secretary of State considers that they should be excluded—

a in the interests of national security or international relations,

b for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or

c in the interests of justice.

7 The steps taken under paragraph (2)(b) must—

a unless one or more of the restricted publicity conditions is met, be steps to publicise generally—

i the designation, variation or revocation, and

ii in the case of a designation, the statement of reasons;

b if one or more of those conditions is met, be steps to inform only such persons as the Secretary of State considers appropriate of the designation, variation or revocation and (in the case of a designation) of the contents of the statement of reasons.

8 The “restricted publicity conditions” are as follows—

a the designation is of a person believed by the Secretary of State to be an individual under the age of 18;

b the Secretary of State considers that disclosure of the designation, variation or revocation should be restricted—

i in the interests of national security or international relations,

ii for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or

iii in the interests of justice.

9 Paragraph (10) applies if—

a when a designation is made one or more of the restricted publicity conditions is met, but

b at any time when the designation has effect, it becomes the case that none of the restricted publicity conditions is met.

10 The Secretary of State must—

a take such steps as are reasonably practicable to inform the designated person that none of the restricted publicity conditions is now met, and

b take steps to publicise generally the designation and the statement of reasons relating to it.

^I499 Confidential information in certain cases where designation power used¶

1 Where the Secretary of State in accordance with regulation 8(7)(b) informs only certain persons of a designation, variation or revocation and (in the case of a designation) of the contents of the statement of reasons, the Secretary of State may specify that any of that information is to be treated as confidential.

2 A person (“P”) who—

a is provided with information that is to be treated as confidential in accordance with paragraph (1), or

b obtains such information,

must not, subject to paragraph (3), disclose it if P knows, or has reasonable cause to suspect, that the information is to be treated as confidential.

3 The prohibition in paragraph (2) does not apply to any disclosure made by P with lawful authority.

4 For this purpose information is disclosed with lawful authority only if and to the extent that—

a the disclosure is by, or is authorised by, the Secretary of State,

b the disclosure is by or with the consent of the person who is or was the subject of the designation,

c the disclosure is necessary to give effect to a requirement imposed under or by virtue of these Regulations or any other enactment, or

d the disclosure is required, under rules of court, tribunal rules or a court or tribunal order, for the purposes of legal proceedings of any description.

5 This regulation does not prevent the disclosure of information that is already, or has previously been, available to the public from other sources.

6 A person who contravenes the prohibition in paragraph (2) commits an offence.

7 The High Court (in Scotland, the Court of Session) may, on the application of—

a the person who is the subject of the information, or

b the Secretary of State,

grant an injunction (in Scotland, an interdict) to prevent a breach of the prohibition in paragraph (2).

8 In paragraph (4)(c), “enactment” has the meaning given by section 54(6) of the Act.

^I810 Designation of persons named by or under UN Security Council Resolutions¶

1 Any person falling within paragraph (2), other than the Libyan Investment Authority and the Libyan Africa Investment Portfolio, is a designated person for the purposes of regulations 12 to 16 (asset-freeze etc.) (whose purposes include compliance with the UN obligations mentioned in regulation 4(3)(a)) ^M10.

2 A person falls within this paragraph if that person is—

a for the time being named by the Security Council or the Committee for the purposes of paragraph 17 of resolution 1970;

b for the time being named by the Security Council or the Committee for the purposes of paragraph 19 of resolution 1973.

3 The Libyan Investment Authority and the Libyan Africa Investment Portfolio named in Annex II of resolution 1973 are designated persons for the purposes of regulations 18 to 20 (partial asset-freeze etc.) (whose purpose is compliance with the UN obligations mentioned in regulation 4(3)(a) and in particular regulation 4(4)(b)(ii)).

4 Nothing in this regulation affects the power under regulation 5 to designate persons (in addition to those designated by this regulation) for the purposes of regulations 12 to 16.

PART 3 Finance¶

CHAPTER 1 Asset-freeze etc.¶

^I911 Meaning of “designated person” in Chapter 1¶

In this Chapter a “designated person” means—

a a person who is designated under regulation 5 for the purposes of regulations 12 to 16 (asset-freeze etc.), or

b a person who is a designated person for the purposes of those regulations by reason of regulation 10(1).

^I1012 Asset-freeze in relation to designated persons¶

1 A person (“P”) must not deal with funds or economic resources owned, held or controlled by a designated person if P knows, or has reasonable cause to suspect, that P is dealing with such funds or economic resources.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes the prohibition in paragraph (1) commits an offence.

4 For the purposes of paragraph (1), a person “deals with” funds if the person—

a uses, alters, moves, transfers or allows access to the funds,

b deals with the funds in any other way that would result in any change in volume, amount, location, ownership, possession, character or destination, or

c makes any other change, including portfolio management, that would enable use of the funds.

5 For the purposes of paragraph (1), a person “deals with” economic resources if the person—

a exchanges the economic resources for funds, goods or services, or

b uses the economic resources in exchange for funds, goods or services (whether by pledging them as security or otherwise).

6 The reference in paragraph (1) to funds or economic resources that are “owned, held or controlled” by a person includes, in particular, a reference to—

a funds or economic resources in which the person has any legal or equitable interest, regardless of whether the interest is held jointly with any other person and regardless of whether any other person holds an interest in the funds or economic resources;

b any tangible property (other than real property), or bearer security, that is comprised in funds or economic resources and is in the possession of the person.

7 For the purposes of paragraph (1), funds or economic resources are to be treated as owned, held or controlled by a designated person if they are owned, held or controlled by a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

8 For the avoidance of doubt, the reference in paragraph (1) to a designated person includes P if P is a designated person.

^I1113 Making funds available to designated persons¶

1 A person (“P”) must not make funds available directly or indirectly to a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes the prohibition in paragraph (1) commits an offence.

4 The reference in paragraph (1) to making funds available indirectly to a designated person includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

^I1214 Making funds available for benefit of designated persons¶

1 A person (“P”) must not make funds available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes the prohibition in paragraph (1) commits an offence.

3A The reference in paragraph (1) to making funds available to any person for the benefit of a designated person includes making funds available for the benefit of a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (and references to designated person in paragraph (4) are to be read accordingly).

4 For the purposes of this regulation—

a funds are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and

b “financial benefit” includes the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.

^I1315 Making economic resources available to designated persons¶

1 A person (“P”) must not make economic resources available directly or indirectly to a designated person if P knows, or has reasonable cause to suspect—

a that P is making the economic resources so available, and

b that the designated person would be likely to exchange the economic resources for, or use them in exchange for, funds, goods or services.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes the prohibition in paragraph (1) commits an offence.

4 The reference in paragraph (1) to making economic resources available indirectly to a designated person includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

^I1416 Making economic resources available for benefit of designated persons¶

1 A person (“P”) must not make economic resources available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the economic resources so available.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes the prohibition in paragraph (1) commits an offence.

3A The reference in paragraph (1) to making economic resources available to any person for the benefit of a designated person includes making economic resources available for the benefit of a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (and references to designated person in paragraph (4) are to be read accordingly).

4 For the purposes of paragraph (1)—

a economic resources are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and

b “financial benefit” includes the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.

CHAPTER 2 Partial asset-freeze etc.¶

^I1517 Meaning of “designated person” in Chapter 2¶

In this Chapter a “designated person” means a person who is a designated person for the purposes of regulation 18 to 20 (partial asset-freeze etc.) by reason of regulation 10(3).

^I1618 Partial asset-freeze in relation to designated persons¶

1 A person (“P”) must not deal with relevant funds or economic resources owned, held or controlled by a designated person if P knows, or has reasonable cause to suspect, that P is dealing with such funds or economic resources.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes the prohibition in paragraph (1) commits an offence.

4 For the purposes of paragraph (1), “relevant funds or economic resources” are—

a funds or economic resources located outside Libya immediately before 17 September 2011,

b funds credited on or after 17 September 2011 to a relevant account in discharge (or partial discharge) of an obligation which arose before the date on which the person became a designated person, and

c any interest or other earnings on the funds referred to in sub-paragraphs (a) and (b) credited on or after 17 September 2011 to a relevant account.

5 For the purposes of paragraph (1), a person “deals with” funds if the person—

a uses, alters, moves, transfers or allows access to the funds,

b deals with the funds in any other way that would result in any change in volume, amount, location, ownership, possession, character or destination, or

c makes any other change, including portfolio management, that would enable use of the funds.

6 For the purposes of paragraph (1), a person “deals with” economic resources if the person—

a exchanges the economic resources for funds, goods or services, or

b uses the economic resources in exchange for funds, goods or services (whether by pledging them as security or otherwise).

7 The reference in paragraph (1) to funds or economic resources that are “owned, held or controlled” by a person—

a includes, in particular, a reference to—

i funds or economic resources in which the person has any legal or equitable interest, regardless of whether the interest is held jointly with any other person and regardless of whether any other person holds an interest in the funds or economic resources;

ii any tangible property (other than real property), or bearer security, that is comprised in funds or economic resources and is in the possession of the person;

b does not include funds or economic resources owned, held or controlled by a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

8 In this regulation—

“relevant account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person;
“relevant institution” has the same meaning that it has in regulation 43 (finance: exceptions from prohibitions).

9 For the avoidance of doubt the reference to a designated person in paragraph (4), and in the definition of “relevant account” in paragraph (8), includes P if P is a designated person.

^I1719 Making funds available to designated persons¶

1 A person (“P”) must not make relevant funds available directly or indirectly to a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes the prohibition in paragraph (1) commits an offence.

4 For the purposes of paragraph (1), “relevant funds” are—

a interest or other earnings due on funds held in a relevant account (within the meaning of regulation 18) which are frozen by virtue of regulation 18(1), and

b funds due to a designated person by virtue of an obligation which arose prior to the date on which the person became a designated person.

5 The reference in paragraph (1) to making funds available indirectly to a designated person includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

^I1820 Making funds available for benefit of designated persons¶

1 A person (“P”) must not make relevant funds available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes the prohibition in paragraph (1) commits an offence.

4 In paragraph (1), “relevant funds” has the same meaning as in regulation 19 (making funds available to designated persons).

5 For the purposes of paragraph (1)—

a funds are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and

b “financial benefit” includes the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.

CHAPTER 3 Circumvention¶

^I1921 Circumventing etc. prohibitions¶

1 A person must not intentionally participate in activities knowing that the object or effect of them is, whether directly or indirectly—

a to circumvent any of the prohibitions in regulations 12 to 16 (asset-freeze etc.) or regulations 18 to 20 (partial asset-freeze etc.), or

b to enable or facilitate the contravention of any such prohibition.

2 A person who contravenes a prohibition in paragraph (1) commits an offence.

PART 3A Director disqualification sanctions¶

21A Director disqualification sanctions¶

A person who is designated under regulation 5 (power to designate persons) for the purposes of this regulation is a person subject to director disqualification sanctions for the purposes of—

a section 11A of the Company Directors Disqualification Act 1986, and

b Article 15A of the Company Directors Disqualification (Northern Ireland) Order 2002.

PART 4 Immigration¶

^I5022 Immigration¶

A person who is designated under regulation 5 (power to designate persons) for the purposes of this regulation is an excluded person for the purposes of section 8B of the Immigration Act 1971 ^M11.

PART 5 Trade¶

CHAPTER 1 Trade prohibitions related to goods and technology¶

^I5123 Export of restricted goods¶

1 The export of restricted goods to, or for use in, Libya is prohibited.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

^I5224 Import of arms and related materiel and internal repression goods¶

1 The import of the following goods which are consigned from Libya is prohibited—

a arms and related materiel;

b internal repression goods.

2 The import of goods mentioned in paragraph (1) which originate in Libya, is prohibited.

3 Paragraphs (1) and (2) are subject to Part 8 (Exceptions and licences).

^I5325 Supply and delivery of certain goods¶

1 A person must not—

a directly or indirectly supply or deliver restricted goods from a third country to a place in Libya;

b directly or indirectly supply or deliver military goods or internal repression goods from a place in Libya to a third country.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes a prohibition in paragraph (1) commits an offence, but —

a it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the goods were destined (or ultimately destined) for Libya.

b it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Libya, whether directly or indirectly.

4 In this regulation “third country” means a country that is not the United Kingdom, the Isle of Man or Libya.

^I5426 Making available or acquiring certain goods and technology¶

1 A person must not—

a directly or indirectly make restricted goods or restricted technology available to a person connected with Libya;

b directly or indirectly make restricted goods or restricted technology available for use in Libya;

c directly or indirectly acquire military goods, internal repression goods or restricted technology from a person connected with Libya;

d directly or indirectly acquire military goods, internal repression goods or restricted technology which originate in Libya;

e directly or indirectly acquire military goods, internal repression goods or restricted technology located in Libya.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes a prohibition in paragraph (1) commits an offence, but—

a it is a defence for a person charged with the offence of contravening paragraph (1)(a) or (c) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Libya;

b it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were for use in Libya;

c it is a defence for a person charged with the offence of contravening paragraph (1)(d) to show that the person did not know and had no reasonable cause to suspect that the goods or technology originated in Libya;

d it is a defence for a person charged with the offence of contravening paragraph (1)(e) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were located in Libya.

^I5527 Transfer of restricted technology¶

1 A person must not—

a transfer restricted technology to a place in Libya;

b transfer restricted technology to a person connected with Libya;

c transfer restricted technology to persons outside the United Kingdom or to a place outside the United Kingdom, where the transfer is from a place in Libya.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes a prohibition in paragraph (1) commits an offence, but—

a it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the transfer was to a place in Libya;

b it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Libya;

c it is a defence for a person charged with the offence of contravening paragraph (1)(c) to show that the person did not know and had no reasonable cause to suspect that the transfer was from a place in Libya.

^I5628 Technical assistance relating to restricted goods and restricted technology¶

1 A person must not directly or indirectly provide technical assistance relating to restricted goods or restricted technology—

a to a person connected with Libya, or

b for use in Libya.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes a prohibition in paragraph (1) commits an offence, but—

a it is a defence for a person charged with the offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Libya;

^I5729 Financial services and funds relating to restricted goods and restricted technology¶

1 A person must not directly or indirectly provide, to a person connected with Libya, financial services in pursuance of or in connection with an arrangement whose object or effect is—

a the export of restricted goods,

b the direct or indirect supply or delivery of restricted goods,

c directly or indirectly making restricted goods or restricted technology available to a person,

d the transfer of restricted technology, or

e the direct or indirect provision of technical assistance relating to restricted goods or restricted technology.

2 A person must not directly or indirectly make funds available to a person connected with Libya in pursuance of or in connection with an arrangement mentioned in paragraph (1).

3 A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

a the export of restricted goods to, or for use in, Libya,

b the direct or indirect supply or delivery of restricted goods to a place in Libya,

c directly or indirectly making restricted goods or restricted technology available—

i to a person connected with Libya, or

ii for use in Libya,

d the transfer of restricted technology—

i to a person connected with Libya, or

ii to a place in Libya, or

e the direct or indirect provision of technical assistance relating to restricted goods or military technology—

i to a person connected with Libya, or

ii for use in Libya.

4 Paragraphs (1) to (3) are subject to Part 8 (Exceptions and licences).

5 A person who contravenes a prohibition in any of paragraphs (1) to (3) commits an offence, but—

a it is a defence for a person charged with the offence of contravening paragraph (1) or (2) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Libya;

b it is a defence for a person charged with the offence of contravening a prohibition in paragraph (3) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

^I5830 Brokering services: non-UK activity relating to restricted goods and restricted technology¶

1 A person must not directly or indirectly provide brokering services in relation to an arrangement (“arrangement A”) whose object or effect is—

a the direct or indirect supply or delivery of restricted goods from a third country to a place in Libya,

b directly or indirectly making restricted goods available in a third country for direct or indirect supply or delivery—

i to a person connected with Libya, or

ii to a place in Libya,

c directly or indirectly making restricted technology available in a third country for transfer—

i to a person connected with Libya, or

ii to a place in Libya,

d the transfer of restricted technology from a place in a third country—

i to a person connected with Libya, or

ii to a place in Libya,

e the direct or indirect provision, in a non-UK country, of technical assistance relating to restricted goods or restricted technology—

i to a person connected with Libya, or

ii for use in Libya,

f the direct or indirect provision, in a non-UK country, of financial services—

i to a person connected with Libya, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 29(1), or

ii where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 29(3),

g directly or indirectly making funds available, in a non-UK country, to a person connected with Libya, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 29(1), or

h the direct or indirect provision of funds from a non-UK country, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 29(3).

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.

4 In this regulation—

“non-UK country” means a country that is not the United Kingdom;
“third country” means—
1. for the purposes of paragraph (1)(a) and (b), a country that is not the United Kingdom, the Isle of Man or Libya,
2. for the purposes of any other provision of paragraph (1), a country that is not the United Kingdom or Libya.

CHAPTER 2 Enabling or facilitating the conduct of armed hostilities¶

^I5931 Enabling or facilitating the conduct of armed hostilities¶

1 A person must not directly or indirectly provide—

a technical assistance,

b armed personnel,

c financial services or funds, or

d brokering services in relation to an arrangement whose object or effect is to provide, in a non-UK country, anything mentioned in sub-paragraphs (a) to (c),

where such provision enables or facilitates the conduct of armed hostilities in Libya.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

3 A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the provision as mentioned in paragraph (1) would enable or facilitate the conduct of armed hostilities in Libya.

4 In this regulation—

“non-UK country” means a country that is not the United Kingdom;
“technical assistance” means the provision of technical support or any other technical service.

5 Nothing in this regulation is to be taken to limit the meaning of any of the prohibitions contained in Chapter 1.

CHAPTER 3 Interpretation, circumvention and defences¶

^I2032 Interpretation of this Part¶

1 In this Part—

“arms and related materiel” means—
1. military goods, and
2. any thing which is, or would be, classified under chapter 93 of the Goods Classification Table, other than military goods;
“brokering service” means any service to secure, or otherwise in relation to, an arrangement, including but not limited to—
1. the selection or introduction of persons as parties or potential parties to the arrangement,
2. the negotiation of the arrangement,
3. the facilitation of anything that enables the arrangement to be entered into, and
4. the provision of any assistance that in any way promotes or facilitates the arrangement;
“the Goods Classification Table” has the same meaning as it has in paragraph 1(3) in Part 1 of Schedule 3;
“goods which could be used for migrant smuggling and human trafficking” has the meaning given in paragraph 2 of Schedule 3;
“internal repression goods” means—
1. any thing specified in Schedule 2, other than—
  1. any thing which is internal repression technology, or
  2. any thing for the time being specified in—
  3. Schedule 2 to the Export Control Order 2008 ^M12, or
  4. Annex Ⅰ of Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items, and
2. any tangible storage medium on which internal repression technology is recorded or from which it can be derived;
“internal repression technology” means any thing which is described in Schedule 2 as software or technology, within the meaning of that Schedule;
“military goods” means—
1. any thing for the time being specified in Schedule 2 to the Export Control Order 2008, other than any thing which is military technology, and
2. any tangible storage medium on which military technology is recorded or from which it can be derived;
“military technology” means any thing for the time being specified in Schedule 2 to the Export Control Order 2008 which is described as software or technology;
“restricted goods” means—
1. goods which could be used for migrant smuggling and human trafficking,
2. internal repression goods, and
3. military goods;
“restricted technology” means—
1. internal repression technology, and
2. military technology;
“technical assistance”, in relation to goods or technology, means—
1. technical support relating to the repair, development, production, assembly, testing, use or maintenance of the goods or technology, or
2. any other technical service relating to the goods or technology;
“transfer” has the meaning given by paragraph 37 of Schedule 1 to the Act.

2 For the purpose of the definition of “arms and related materiel” in paragraph (1), paragraph 1(2) of Schedule 3 (rules of interpretation for the purpose of determining whether or not a thing is “classified”) applies.

3 Paragraphs 32 to 36 of Schedule 1 to the Act (trade sanctions) apply for the purpose of interpreting expressions in this Part.

4 In this Part, any reference to the United Kingdom includes a reference to the territorial sea.

5 For the purposes of this Part, a person is to be regarded as “connected with” Libya if the person is—

a an individual who is, or an association or combination of individuals who are, ordinarily resident in Libya,

b an individual who is, or an association or combination of individuals who are, located in Libya,

c a person, other than an individual, which is incorporated or constituted under the law of Libya, or

d a person, other than an individual, which is domiciled in Libya.

^I6033 Circumventing etc. prohibitions¶

1 A person must not intentionally participate in activities knowing that the object or effect of them is, whether directly or indirectly—

a to circumvent any of the prohibitions in Chapter 1 or 2 of this Part, or

b to enable or facilitate the contravention of any such prohibition.

2 A person who contravenes a prohibition in paragraph (1) commits an offence.

^I6134 Defences¶

1 Paragraph (2) applies where a person relies on a defence under Chapter 1 or 2 of this Part.

2 If evidence is adduced which is sufficient to raise an issue with respect to the defence, the court must assume that the defence is satisfied unless the prosecution proves beyond reasonable doubt that it is not.

PART 6 Trade, transport and finance measures related to UN designated ships¶

^I6235 Transporting etc. Libyan oil in relation to UN designated ships¶

1 A person must not cause or permit a designated ship—

a to transport Libyan oil, or

b to have Libyan oil loaded onto or discharged from it.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

4 For the purposes of paragraph (1), a “designated ship” means a ship for the time being designated by the Committee for the purpose of paragraph 10(a) of resolution 2146.

^I6336 Port access or entry for UN designated ships¶

1 A person must not provide a designated ship with access to a port in the United Kingdom, if the person knows, or has reasonable cause to suspect, that the ship is a designated ship.

2 The master or pilot of a designated ship must not cause or permit that ship to enter any port in the United Kingdom if the master or pilot knows, or has reasonable cause to suspect, that the ship is a designated ship.

3 Paragraphs (1) and (2) are subject to Part 8 (Exceptions and licences).

4 A person who contravenes a prohibition in paragraph (1) or (2) commits an offence.

5 In paragraphs (1) and (2), “designated ship” means a ship for the time being designated by the Committee for the purpose of paragraph 10(b) of resolution 2146.

^I6437 Bunkering or ship supply services¶

1 A person must not provide bunkering or ship supply services relating to a designated ship.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

4 In this regulation—

“bunkering or ship supply services” includes—
1. the supply of goods for use in a ship including fuel and spare parts, whether or not for immediate use, and
2. any other servicing of a ship;
“designated ship” means a ship for the time being designated by the Committee for the purpose of paragraph 10(c) of resolution 2146.

^I6538 Financial transactions in relation to Libyan oil aboard UN designated ships¶

1 A person must not enter into any financial transaction relating to Libyan oil aboard a designated ship.

2 Paragraph (1) is subject to Part 8 (Exceptions and licences).

4 In this regulation—

“designated ship” means a ship for the time being designated by the Committee for the purpose of paragraph 10(d) of resolution 2146; a “financial transaction relating to Libyan oil”—

includes its purchase or sale, its use as credit and the taking out of transport insurance in respect of it;
does not include the payment or receipt of any fees pursuant to the entry into port of a ship carrying that oil.

^I6639 Circumventing etc. prohibitions¶

1 A person must not intentionally participate in activities knowing that the object or effect of them is, whether directly or indirectly—

a to circumvent a prohibition in regulation 35 (transporting etc. Libyan oil in relation to UN designated ships) or 37 (bunkering or ship supply services), or

b to enable or facilitate the contravention of any such prohibition.

2 A person who contravenes a prohibition in paragraph (1) commits an offence.

3 A person must not intentionally participate in activities knowing that the object or effect of them is, whether directly or indirectly—

a to circumvent the prohibition in regulation 38 (financial transactions in relation to Libyan oil aboard UN designated ships), or

b to enable or facilitate the contravention of that prohibition.

4 A person who contravenes a prohibition in paragraph (3) commits an offence.

^I6740 Defences¶

1 Paragraph (2) applies where a person relies on a defence under this Part.

^I6841 Interpretation of Part 6¶

1 In this Part, “Libyan oil” means petroleum, including crude oil and refined petroleum products, originating from Libya.

2 For the purposes of paragraph (1)—

“crude oil” means anything which falls within the commodity code 2709;
“refined petroleum products” means anything which falls within any of the following commodity codes—
1. 2710;
2. 2712;
3. 2713.

3 For the purposes of paragraph (2), whether or not a thing “falls within” any of the “commodity codes” specified in that paragraph is to be determined in accordance with paragraph 1 in Part 1 of Schedule 3.

4 In regulations 35, 37 and 38 (transporting etc. Libyan oil in relation to UN designated ships, bunkering or ship supply services, and financial transactions in relation to Libyan oil aboard UN designated ships), “ship” includes every description of vessel (including a hovercraft) used in navigation.

5 In regulation 36 (port access or entry for UN designated ships), “ship” includes every description of vessel (including a hovercraft) used in navigation, except the naval, military or air-force ships of any country.

6 Any other expression used in this Part and in section 7 of the Act (shipping sanctions) has the same meaning in this Part as it has in that section.

PART 7 Aircraft¶

^I6942 Movement of aircraft¶

1 Paragraph (2) applies where an aircraft is being used to transport military goods or armed personnel (or both) to any place in Libya (directly or indirectly).

2 The operator or pilot in command of an aircraft to which this paragraph applies must not cause or permit the aircraft to—

a take off from the United Kingdom,

b overfly the United Kingdom, or

c land in the United Kingdom.

3 Where air traffic control knows or has reasonable grounds to suspect that an aircraft approaching UK airspace or which has already entered UK airspace is being used to transport military goods or armed personnel (or both) to any place in Libya (directly or indirectly), air traffic control must—

a refuse permission for the aircraft to enter UK airspace or to overfly the United Kingdom;

b require the aircraft to leave UK airspace.

4 Air traffic control may issue instructions to the aircraft in connection with a refusal or requirement under paragraph (3).

5 Instructions issued to an aircraft pursuant to paragraph (4) may permit incursion into UK airspace by the aircraft only where it is necessary to do so in order to enable the aircraft to comply safely with an instruction to leave UK airspace.

6 Where an airport operator knows or has reasonable grounds to suspect that an aircraft at or approaching an airport is being used to transport military goods or armed personnel (or both) to any place in Libya (directly or indirectly) the airport operator must (as the case may be)—

a not permit the aircraft to take off from the airport;

b refuse permission to the aircraft to land at the airport.

7 Paragraphs (2) to (6) are subject to Part 8 (Exceptions and licences).

8 A person who contravenes a prohibition in paragraph (2) or (6) or fails to comply with a requirement in paragraph (6) commits an offence.

9 It is a defence for a person charged with the offence of breaching the prohibition in paragraph (2) to show that the person did not know and had no reasonable cause to suspect that the aircraft was being used to transport military goods or armed personnel to any place in Libya.

10 For the purposes of this regulation, an aircraft is being used to “transport” military goods if the aircraft contains military goods which have been, or are being, dealt with in contravention of a prohibition—

a in regulation 23 or 25 (trade prohibitions relating to restricted goods), or

b imposed by a condition of a trade licence in relation to a prohibition mentioned in sub-paragraph (a).

11 In this regulation, “UK airspace” means the airspace above the United Kingdom (and includes the airspace above the territorial sea of the United Kingdom).

12 Any expression used in this regulation and in section 6 of the Act (aircraft sanctions) has the same meaning in this regulation as it has in that section.

PART 8 Exceptions and licences¶

^I7043 Finance: exceptions from prohibitions¶

1 The prohibitions in regulation 12 and 18 (asset-freeze and partial asset-freeze in relation to designated persons) are not contravened by an independent person (“P”) transferring to another person a legal or equitable interest in funds or economic resources where, immediately before the transfer, the interest—

a is held by P, and

b is not held jointly with the designated person.

2 In paragraph (1) “independent person” means a person who—

a is not the designated person, and

b is not owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

3 The prohibitions in regulations 12 to 14 (asset-freeze in relation to, and making funds available to or for the benefit of, designated persons) and 18 to 20 (partial-asset freeze in relation to, and making funds available to, or for the benefit of, designated persons) are not contravened by a relevant institution crediting a frozen account or a relevant account with interest or other earnings due on the account.

4 The prohibitions in regulations 13 and 14 (making funds available to, or for the benefit of, designated persons) and 19 and 20 (making funds available to, or for the benefit of, designated persons in connection with a partial asset-freeze) are not contravened by a relevant institution crediting a frozen account or a relevant account where it receives funds transferred to that institution for crediting to that account.

5 The prohibitions in regulations 13, 14, 19 and 20 are not contravened by the transfer of funds to a relevant institution for crediting to an account held or controlled (directly or indirectly) by a designated person, where those funds are transferred in discharge (or partial discharge) of an obligation which arose before the date on which the person became a designated person.

6 The prohibitions in regulations 12 to 14, and regulations 18 to 20, are not contravened in relation to a designated person (“P”) by a transfer of funds from account A to account B, where—

a account A is with a relevant institution which carries on an excluded activity within the meaning of section 142D of the Financial Services and Markets Act 2000 ^M13,

b account B is with a ring-fenced body within the meaning of section 142A of the Financial Services and Markets Act 2000 ^M14, and

c accounts A and B are held or controlled (directly or indirectly) by P.

7 In this regulation—

“designated person” means a designated person within the meaning of regulation 11 or 17;
“frozen account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person within the meaning of regulation 11;
“relevant account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person within the meaning of regulation 17;
“relevant institution” means a person that has permission under Part 4A of the Financial Services and Markets Act 2000 ^M15 (permission to carry on regulated activity).

8 The definition of “relevant institution” in paragraph (7) is to be read with section 22 of the Financial Services and Markets Act 2000 ^M16, any relevant order under that section ^M17 and Schedule 2 to that Act ^M18.

9 For the purposes of paragraphs (1)(b), (5) and (6) and the definition of “frozen account” in paragraph (7), references to a designated person, in so far as they relate to a designated person within the meaning of regulation 11, are to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

10 When determining for the purposes of paragraph (5) when a person (“C”) who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (“D”) became a designated person, C is to be treated as having become a designated person at the same time as D.

43ZA Finance: exception from prohibitions for required payments¶

1 This regulation applies to required payments within the meaning of paragraph (2).

2 A required payment is a payment which—

a a non-UN designated person is required to make under or by virtue of any enactment to—

i the registrar of companies,

ii the Commissioners,

iii the Welsh Revenue Authority,

iv Revenue Scotland,

v the Financial Conduct Authority,

vi the Secretary of State,

vii the Welsh Ministers,

viii the Department of Finance in Northern Ireland, or

ix a local authority, and

b is not an excluded payment.

3 The prohibitions in regulations 12 (asset-freeze in relation to designated persons) and 14 (making funds available for benefit of designated persons) are not contravened by a person making a required payment.

4 Where a required payment is made by a person other than a non-UN designated person, the prohibition in regulation 12 is not contravened by the non-UN designated person making a reimbursement payment to that person.

5 The reference in paragraph (3) to a person making a required payment—

a does not include a UN designated person, and

b only includes a non-UN designated person where they are making a required payment on their own behalf.

6 The following payments are to be treated as payments which a non-UN designated person is required to make under or by virtue of an enactment for the purposes of this regulation, where made by a non-UN designated person on their own behalf or by a person, other than a designated person, on behalf of a non-UN designated person—

a a payment to the Financial Conduct Authority of a levy imposed by the scheme manager of the Financial Services Compensation Scheme by virtue of section 213 of the Financial Services and Markets Act 2000 (the compensation scheme);

b a payment to the Financial Conduct Authority which is collected by that Authority on behalf of the Financial Reporting Council Limited.

7 For the purposes of this regulation—

a references to a non-UN designated person are to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the non-UN designated person,

b the reference in paragraph (5) to a UN designated person, in so far as it relates to a designated person within the meaning of regulation 11, is to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the UN designated person, and

c the reference in paragraph (6) to a designated person, in so far as it relates to a designated person within the meaning of regulation 11, is to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

8 In this regulation—

“BID levy” means a levy that is imposed on those persons who are, in respect of particular business improvement district proposals, entitled to vote in accordance with section 39(3) of the Planning etc. (Scotland) Act 2006;
“business improvement district” has the meaning given in section 33 of the Planning etc. (Scotland) Act 2006;
“designated person” means a designated person within the meaning of regulation 11 (meaning of “designated person” in Chapter 1) or 17 (meaning of “designated person” in Chapter 2);
“enactment” has the meaning given in section 54(6) of the Act;
“excluded payment” means, in relation to—
1. the registrar of companies, a payment of fees for—
  1. the incorporation of a firm;
  2. the restoration of a firm to a register which is administered by the registrar;
2. the Financial Conduct Authority, a payment of fees for—
  1. an application for permission from, authorisation by, registration with or recognition from the Financial Conduct Authority which relates to the carrying on of any activity falling within any function of the Financial Conduct Authority;
  2. an application for a variation of such permission, authorisation, registration or recognition;
  3. an application for listing or for eligibility for listing;
  4. an application for review or approval of a document relating to listing;
  5. an application for approval as a sponsor or primary information provider;
  6. an application for review or approval of—
    a document under rules made by the Financial Conduct Authority by virtue of Part 3 of the Public Offers and Admissions to Trading Regulations 2024;
    listing particulars under section 79 of the Financial Services and Markets Act 2000 or supplementary listing particulars under section 81 of that Act;
3. the Secretary of State or the Welsh Ministers, a payment that a non-UN designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of Part 3 of the Local Government Finance Act 1988;
4. the Department of Finance in Northern Ireland, a payment that a non-UN designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of Part 2 of the Rates (Northern Ireland) Order 1977;
5. a local authority, a payment that a non-UN designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of—
  1. Part 1 of the Local Government (Scotland) Act 1975;
  2. Part 3 of the Local Government Finance Act 1988;
  3. Parts 1 and 2 of the Local Government Finance Act 1992;
  4. Part 4 of the Local Government Act 2003;
  5. Part 9 of the Planning etc. (Scotland) Act 2006;
  6. the Business Rate Supplements Act 2009;
  7. the Business Improvement Districts Act (Northern Ireland) 2013;
“firm” has the meaning given in section 1173(1) of the Companies Act 2006;
“listing” means being included in the official list maintained by the Financial Conduct Authority in accordance with Part 6 of the Financial Services and Markets Act 2000;
“local authority” means—
1. in relation to England—
  1. a district council;
  2. a county council for any area for which there is no district council;
  3. a London borough council;
  4. the Common Council of the City of London in its capacity as a local authority;
  5. the Council of the Isles of Scilly;
2. in relation to Wales, a county council or a county borough council;
3. in relation to Scotland, a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994;
“primary information provider” has the meaning given in section 89P(2) of the Financial Services and Markets Act 2000;
^F61...
^F61...
“registrar of companies” has the meaning given in section 1060 of the Companies Act 2006 (the registrar);
“reimbursement payment” means a repayment from the non-UN designated person to the person who made a required payment which is of the same amount as that required payment;
“scheme manager” has the meaning given in section 212 of the Financial Services and Markets Act 2000;
“sponsor” has the meaning given in section 88(2) of the Financial Services and Markets Act 2000;
“UN designated person” means—
1. a person who is a designated person for the purposes of regulations 12 to 16 or regulations 18 to 20 by reason of regulation 10 (designation of persons named by or under UN Security Council resolutions), or
2. a person who is designated under regulation 5 (power to designate persons) for the purposes of regulations 12 to 16 and whose designation is (in the opinion of the Secretary of State) required by paragraph 17 of resolution 1970 (read in accordance with regulation 4(4)).

43ZB Finance: exceptions relating to payment of Treasury debt¶

1 The prohibitions in regulations 12 to 14 (asset-freeze in relation to, and making funds available to, or for the benefit of, designated persons) and regulations 18 to 20 (partial asset-freeze and making funds available to or for benefit of designated persons) are not contravened by any act done by a person to transfer funds to—

a a UN designated person (“D”) in order to satisfy an obligation owed by the Treasury to D in respect of Treasury debt where the conditions in paragraph (2) are met; or

b a person (“B”) in respect of Treasury debt where the effect of the transfer is to make funds available to or for the benefit of D and the conditions in paragraph (3) are met.

2 The person (“P”) making the transfer of funds to D knows or has reasonable cause to suspect that the obligation referred to in paragraph (1) arose before the date on which D was designated and P takes reasonable steps to satisfy itself that the funds to be transferred to D are credited to a specified account.

3 The person (“P”) making the transfer of funds to B knows or has reasonable cause to suspect that the effect of such a transfer will be to enable the satisfaction of an obligation of any person to D in respect of Treasury debt and P takes reasonable steps to satisfy itself that such obligation arose before the date on which D was designated and the funds to be transferred to D are ultimately credited to a specified account.

4 The prohibitions in regulations 12 to 14 and regulations 18 to 20 are not contravened by any act done by a person (where that person is not P in paragraph (2) or (3)) to enable a transfer of funds to any person in respect of Treasury debt—

a in order to satisfy an obligation owed by the Treasury to D, or

b where the effect of the transfer will be to enable the satisfaction of an obligation of any person to D in respect of Treasury debt.

5 For the purposes of this regulation, references to a UN designated person, in so far as they relate to a designated person within the meaning of regulation 11 or 17, are to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the UN designated person.

6 In this regulation—

“corresponding non-UK country” means a non-UK country whose laws contain relevant—
1. prohibitions and exceptions corresponding to regulations 12 to 14, 18 to 20 and regulation 43 (finance: exceptions from prohibitions); and
2. grounds for licences to be issued that correspond to the purposes in Schedule 4 (Treasury licences: purposes);
“frozen account” has the meaning given in regulation 43(7);
“non-UK country” means a country that is not the United Kingdom;
“non-UK relevant institution” means—
1. a person, other than an individual, which would satisfy the threshold conditions for permission under Part 4A of the Financial Services and Markets Act 2000 if it had its registered office (or if it does not have one, its head office) in the United Kingdom, or
2. an undertaking which by way of business—
  1. operates a currency exchange office,
  2. transmits money (or any representation of monetary value) by any means, or
  3. cashes cheques that are made payable to customers;
“recognised CSD” has the meaning given in section 285(1)(e) of the Financial Services and Markets Act 2000;
“relevant account” has the meaning given in regulation 43(7);
“relevant money market instrument” means an instrument of a kind normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers, excluding instruments of payment;
“relevant transferable security” means a security, negotiable on the capital market, of any of the following kinds, but excluding instruments of payment—
1. shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares;
2. bonds or other forms of securitised debt, including depositary receipts in respect of such securities;
3. any other securities giving the right to purchase or sell any security of a kind mentioned in paragraph (a) or (b);
“specified account” means—
1. a frozen account or a relevant account of a person;
2. an account held by or for the benefit of a person with a recognised CSD;
3. an account held by or for the benefit of a person with a non-UK relevant institution in a corresponding non-UK country; or
4. an account held by or for the benefit of a person with a third country CSD in a corresponding non-UK country—
where the person referred to in (a) to (d) above is also D in paragraph (2) or (3);
“third country CSD” has the meaning given in section 285(1)(g) of the Financial Services and Markets Act 2000;
“Treasury debt” means any relevant transferable security, relevant money market instrument, loan or credit entered into or issued by, or on behalf of the Treasury in respect of funds borrowed by or on behalf of the Treasury;
“UN designated person” has the meaning given in regulation 43ZA(8).

43A Finance: humanitarian exception¶

1 The prohibitions in regulations 12 to 16 (asset-freeze etc.) and 18 to 20 (partial asset-freeze etc.) are not contravened by a person (“P”) carrying out a relevant activity which is necessary—

a to ensure the timely delivery of humanitarian assistance, or

b to support other activities that support basic human needs,

where Conditions A and B are met.

2 Condition A is that the humanitarian assistance or other activities mentioned in paragraph (1) are carried out by—

a the United Nations, including its—

i programmes and funds,

ii other entities and bodies, and

iii specialised agencies and related organisations,

b international organisations,

c humanitarian organisations having observer status with the United Nations General Assembly and members of those humanitarian organisations,

d bilaterally or multilaterally funded non-governmental organisations participating in the United Nations Humanitarian Response Plans, Refugee Response Plans, other United Nations appeals, or humanitarian clusters coordinated by the United Nations Office for the Coordination of Humanitarian Affairs,

e any grantee, subsidiary, or implementing partner of any organisation falling within sub-paragraphs (a) to (d) while and to the extent that they are acting in those capacities,

f any other persons authorised by the Committee for the purposes of resolution 2664.

3 Condition B is that P believes that carrying out the relevant activity is so necessary and there is no reasonable cause for P to suspect otherwise.

4 For the purposes of this regulation—

“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions in regulations 12 to 16 or 18 to 20;
“resolution 2664” means resolution 2664 (2022) adopted by the Security Council on 9th December 2022.

^I7144 Port access or entry for UN designated ships: exception from prohibitions¶

1 The prohibition in regulation 36(1) (port access or entry for UN designated ships) is not contravened by providing a ship with access to a port if the access is needed by the ship in a case of emergency.

2 The prohibition in regulation 36(2) is not contravened by the entry into port of a ship if the entry is needed by the ship in a case of emergency.

^I7245 Aircraft: exceptions¶

1 The prohibition in regulation 42(2)(c) (movement of aircraft) is not contravened by the landing of an aircraft in the United Kingdom if failing to land would endanger the lives of persons on board or the safety of the aircraft.

2 The prohibition in regulation 42(2)(b) is not contravened by the flight of an aircraft in UK airspace preparatory to a landing as mentioned in paragraph (1).

3 A prohibition or requirement in regulations 42(3) to (6) is not contravened by conduct necessary to—

a avoid endangering the lives of persons on board or the safety of the aircraft,

b protect the safety of another aircraft, or

c protect the safety of persons on the ground.

4 In paragraph (2) “UK airspace” has the same meaning as in regulation 42(11).

^I7346 Exception for authorised conduct in a relevant country¶

1 Where a person's conduct in a relevant country would, in the absence of this regulation, contravene a relevant prohibition, the relevant prohibition is not contravened if the conduct is authorised by a licence or other authorisation which is issued—

a under the law of the relevant country, and

b for the purpose of disapplying a prohibition in that jurisdiction which corresponds to the relevant prohibition.

2 In this regulation—

“relevant country” means—
1. any of the Channel Islands,
2. the Isle of Man, or
3. any British overseas territory;
“relevant prohibition” means a prohibition in any of—
1. regulations 12 to 16 (asset-freeze etc.),
2. regulations 18 to 20 (partial asset-freeze etc.),
3. Chapters 1 and 2 of Part 5 (Trade), or
4. regulations 35 (transporting etc. Libyan oil in relation to UN designated ships), 37 (bunkering or ship supply services), or 38 (financial transactions in relation to Libyan oil).

3 Nothing in this regulation affects the application of a prohibition in a case where it would be incompatible with a UN obligation for the prohibition not to apply.

^I7447 Exception for acts done for purposes of national security or prevention of serious crime¶

1 Where an act would, in the absence of this paragraph, be prohibited by the prohibition in regulation 9(2) (confidentiality) or any prohibition in Part 3 (Finance), Part 5 (Trade), Part 6 (UN designated ships) or Part 7 (Aircraft), that prohibition does not apply to the act if the act is one which a responsible officer has determined would be in the interests of—

a national security, or

b the prevention or detection of serious crime in the United Kingdom or elsewhere.

2 Where, in the absence of this paragraph, a thing would be required to be done under or by virtue of a provision of Part 7, Part 9 (Information and records) or Part 11 (Maritime enforcement), that requirement does not apply if a responsible officer has determined that not doing the thing in question would be in the interests of—

a national security, or

b the prevention or detection of serious crime in the United Kingdom or elsewhere.

3 In this regulation “responsible officer” means a person in the service of the Crown or holding office under the Crown, acting in the course of that person's duty.

4 Nothing in this regulation affects the application of a prohibition or requirement in a case where it would be incompatible with a UN obligation for the prohibition or requirement not to apply.

^I7548 Treasury licences¶

1 The prohibitions in regulations 12 to 16 (asset-freeze etc.), 18 to 20 (partial asset-freeze etc.) and regulation 38 (financial transactions in relation to Libyan oil) do not apply to anything done under the authority of a licence issued by the Treasury under this paragraph.

2 Paragraphs (3) and (4) apply to the issuing of a licence which authorises acts which would otherwise be prohibited by regulations 12 to 16.

3 The Treasury may issue a licence which authorises acts by a particular person in relation to a non-UN designated person only where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Chapter 1 of Part 1, or in Part 3 of, Schedule 4.

4 The Treasury may issue a licence which authorises acts in relation to a UN designated person, other than the Libyan Investment Authority or the Libyan Africa Investment Portfolio, only where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Chapter 1 of Part 1, or in Part 2 of Schedule 4.

5 Paragraph (6) applies to the issuing of a licence which authorises acts which would otherwise be prohibited by regulations 18 to 20.

6 The Treasury may issue a licence which authorises acts in relation to the Libyan Investment Authority or the Libyan Africa Investment Portfolio only where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 1 or Part 2 of Schedule 4.

7 The Treasury may issue a licence which authorises acts which would otherwise be prohibited by regulation 38 only where the Treasury consider that it is appropriate to issue the licence in order to give effect to an exception made by the Committee to paragraph 10(d) of resolution 2146.

8 In paragraph (4) “UN designated person” means—

a a person who is a designated person for the purposes of regulations 12 to 16 or regulations 18 to 20 by reason of regulation 10 (designation of persons named by or under UN Security Council Resolutions), or

b a person who is designated under regulation 5 (power to designate persons) for the purposes of regulations 12 to 16 and whose designation is (in the opinion of the Secretary of State) required by paragraph 17 of resolution 1970 (read in accordance with regulation 4(4)).

9 The reference in paragraph (3) to a non-UN designated person is to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the non-UN designated person.

10 The reference in paragraph (4) to a UN designated person is to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the UN designated person.

48A Director disqualification licences¶

The Secretary of State may issue a licence in relation to any person who is designated under regulation 5 for the purposes of regulation 21A (director disqualification sanctions) providing that the prohibitions in—

a section 11A(1) of the Company Directors Disqualification Act 1986, and

b Article 15A(1) of the Company Directors Disqualification (Northern Ireland) Order 2002,

do not apply to anything done under the authority of that licence.

^I7649 Trade licences¶

The prohibitions in Chapters 1 and 2 of Part 5 (Trade), regulation 35 (transporting etc. Libyan oil in relation to UN designated ships) and regulation 37 (bunkering or ship supply services) do not apply to anything done under the authority of a licence issued by the Secretary of State under this regulation.

^I7750 Port licences¶

The prohibitions in regulation 36 (port access or entry for UN designated ships) do not apply to anything done under the authority of a licence issued by the Secretary of State under this regulation.

^I7851 Licences: general provisions¶

1 This regulation applies in relation to Treasury licences , director disqualification licences, trade licences and port licences.

2 A licence must specify the acts authorised by it.

3 A licence may be general or may authorise acts by a particular person or persons of a particular description.

4 A licence may—

a contain conditions;

b be of indefinite duration or a defined duration.

5 A person who issues a licence may vary, revoke or suspend it at any time.

6 A person who , on the application of a person (“P”), issues a licence which authorises acts by a particular person , or varies, revokes or suspends that licence, must give written notice to P of the issue, variation, revocation or suspension of the licence.

7 A person who issues, varies, revokes or suspends a general licence or a licence which authorises acts by persons of a particular description must take such steps as that person considers appropriate to publicise the issue, variation, revocation or suspension of the licence.

^I7952 Finance: licensing offences¶

1 A person (“P”) commits an offence if P knowingly or recklessly—

a provides information that is false in a material respect, or

b provides or produces a document that is not what it purports to be,

for the purpose of obtaining a Treasury licence (whether for P or anyone else).

2 A person who purports to act under the authority of a Treasury licence but who fails to comply with any condition of the licence commits an offence.

52A Director disqualification: licensing offences¶

1 A person (“P”) commits an offence if P knowingly or recklessly—

a provides information that is false in a material respect, or

b provides or produces a document that is not what it purports to be,

for the purpose of obtaining a director disqualification licence (whether for P or anyone else).

2 A person who purports to act under the authority of a director disqualification licence but who fails to comply with any condition of the licence commits an offence.

3 A licence in respect of which an offence under paragraph (1) has been committed is to be treated as void from the time at which it was issued.

^I8053 Trade: licensing offences¶

1 A person (“P”) commits an offence if P knowingly or recklessly—

a provides information that is false in a material respect, or

b provides or produces a document that is not what it purports to be,

for the purpose of obtaining a trade licence (whether for P or anyone else).

2 A person who purports to act under the authority of a trade licence but who fails to comply with any condition of the licence commits an offence.

3 A licence in respect of which an offence under paragraph (1) has been committed is to be treated as void from the time at which it was issued.

^I8154 Port access or entry for UN designated ships: licensing offences¶

1 A person (“P”) commits an offence if P knowingly or recklessly—

a provides information that is false in a material respect, or

b provides or produces a document that is not what it purports to be,

for the purpose of obtaining a port licence (whether for P or anyone else).

2 A person who purports to act under the authority of a port licence but who fails to comply with any condition of the licence commits an offence.

3 A licence in respect of which an offence under paragraph (1) has been committed is to be treated as void from the time at which it was issued.

^I3555 Section 8B(1) to (3) of the Immigration Act 1971: directions¶

1 The Secretary of State may direct that, in relation to any person within regulation 22 (immigration) whose name is specified, or who is of a specified description, section 8B(1) and (2) of the Immigration Act 1971, or section 8B(3) of that Act, have effect subject to specified exceptions.

2 A direction under this regulation—

a may contain conditions;

b must be of a defined duration (and that duration may be expressed in any way, including, for example, being expressed in a way such that the direction ceases to have effect on, or within a specified period after, the occurrence of a specified event).

3 The Secretary of State may vary, revoke or suspend a direction under this regulation at any time.

4 On the issue, variation, revocation or suspension of a direction under this regulation, the Secretary of State may take such steps as the Secretary of State considers appropriate to publicise the issue, variation, revocation or suspension of the direction.

5 In this regulation, “specified” means specified in a direction under this regulation.

PART 9 Information and records¶

^I8256 Finance: reporting obligations¶

1 A relevant firm must inform the Treasury as soon as practicable if—

a it knows, or has reasonable cause to suspect, that a person—

i is a designated person, or

ii has breached a prohibition or failed to comply with an obligation under any provision of Part 3 (Finance), regulation 38(3) (financial transactions in relation to Libyan oil) or regulation 52 (finance: licensing offences), and

b the information or other matter on which the knowledge or cause for suspicion is based came to it in the course of carrying on its business.

2 Where a relevant firm informs the Treasury under paragraph (1), it must state—

a the information or other matter on which the knowledge or suspicion is based, and

b any information it holds about the person by which the person can be identified.

3 Paragraph (4) applies if—

a a relevant firm informs the Treasury under paragraph (1) that it knows, or has reasonable cause to suspect, that a person is a designated person, and

b that person is a customer of the relevant firm.

4 The relevant firm must also state the nature and amount or quantity of any funds or economic resources held by it for the customer at the time when it first had the knowledge or suspicion.

4A Where a person (“P”) knows, or has reasonable cause to suspect, that P holds funds or economic resources owned, held or controlled by a designated person, P must by no later than 30th November in each calendar year provide a report to the Treasury as to the nature and amount or quantity of those funds or economic resources held by P as of 30th September in that calendar year.

4B Where a report has been provided further to paragraph (4A) but as of 30th September in the following calendar year P no longer holds funds or economic resources owned, held or controlled by the designated person, P must by no later than 30th November in that calendar year report this to the Treasury.

4C For the purposes of paragraphs (4A) and (4B), funds or economic resources are to be treated as owned, held or controlled by a designated person if they are owned, held or controlled by a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

5 A relevant institution must inform the Treasury without delay if that institution—

a credits a frozen account or a relevant account in accordance with regulation 43(4) (finance: exceptions from prohibitions), or

b transfers funds from a frozen account or a relevant account in accordance with regulation 43(6).

6 A person who fails to comply with a requirement in paragraph (1), (2) or (4) commits an offence.

6A A person commits an offence if that person, without reasonable excuse, fails to comply with a requirement in paragraph (4A) or (4B).

7 In this regulation, the following terms have the same meaning as they have in regulation 43—

“designated person”;
“frozen account”;
“relevant account”;
“relevant institution”.

8 For the purposes of this regulation, “relevant firm” is to be read in accordance with regulation 57.

56A Finance: reporting obligations for required payments¶

1 A non-UN designated person must inform the Treasury without delay if they make a required payment.

2 A person who makes a required payment on behalf of a non-UN designated person must inform the Treasury without delay that they have made the required payment.

3 A person must inform the Treasury without delay if they receive a reimbursement payment.

4 For the purposes of this regulation, references to a non-UN designated person are to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the non-UN designated person.

5 In this regulation—

“reimbursement payment” has the meaning given in regulation 43ZA(8) (finance: exception from prohibitions for required payments);
“required payment” has the meaning given in regulation 43ZA(2).

^I8357 “Relevant firm”¶

1 The following are relevant firms for the purposes of regulation 56 (finance: reporting obligations)—

a a person that has permission under Part 4A of the Financial Services and Markets Act 2000 (Permission to carry on regulated activities);

b an undertaking that by way of business—

i operates a currency exchange office,

ii transmits money (or any representation of monetary value) by any means, or

iii cashes cheques that are made payable to customers;

c a firm or sole practitioner that is—

i a statutory auditor within the meaning of Part 42 of the Companies Act 2006 (Statutory auditors) ^M19, or

ii a local auditor within the meaning of section 4(1) of the Local Audit and Accountability Act 2014 (general requirements for audit) ^M20;

d a firm or sole practitioner that provides to other persons, by way of business—

i accountancy services,

ii legal or notarial services,

iii advice about tax affairs, or

iv trust or company services within the meaning of paragraph (2);

e a firm or sole practitioner that carries out, or whose employees carry out, estate agency work;

f the holder of a casino operating licence within the meaning given by section 65(2)(a) of the Gambling Act 2005 (nature of a licence) ^M21;

g a person engaged in the business of making, supplying, selling (including selling by auction) or exchanging—

i articles made from gold, silver, platinum or palladium, or

ii precious stones or pearls.

h a cryptoasset exchange provider;

i a custodian wallet provider.

j a high value dealer;

k an art market participant;

l an insolvency practitioner;

m a firm or sole practitioner (“P”) that carries out, or whose employees carry out, letting agency work.

2 In paragraph (1) “trust or company services” means any of the following services—

a forming companies or other legal persons;

b acting, or arranging for another person to act—

i as a director or secretary of a company,

ii as a partner of a partnership, or

iii in a similar capacity in relation to other legal persons;

c providing a registered office, business address, correspondence or administrative address or other related services for a company, partnership or any other legal person or arrangement;

d acting, or arranging for another person to act, as—

i a trustee of an express trust or similar legal arrangement, or

ii a nominee shareholder for a person.

3 In paragraph (1)—

“estate agency work” is to be read in accordance with section 1 of the Estate Agents Act 1979 ^M22, but as if references in that section to disposing of or acquiring an interest in land included (despite anything in section 2 of that Act) references to disposing of or acquiring an estate or interest in land outside the United Kingdom where that estate or interest is capable of being owned or held as a separate interest;
“firm” means any entity that, whether or not a legal person, is not an individual, and includes a body corporate and a partnership or other unincorporated body.

3A In paragraph (1), a “cryptoasset exchange provider” means a firm or sole practitioner that by way of business provides one or more of the following services, including where the firm or sole practitioner does so as creator or issuer of any of the cryptoassets involved—

a exchanging, or arranging or making arrangements with a view to the exchange of, cryptoassets for money or money for cryptoassets,

b exchanging, or arranging or making arrangements with a view to the exchange of, one cryptoasset for another, or

c operating a machine which utilises automated processes to exchange cryptoassets for money or money for cryptoassets.

3B In paragraph (1), a “custodian wallet provider” means a firm or sole practitioner that by way of business provides services to safeguard, or to safeguard and administer—

a cryptoassets on behalf of its customers, or

b private cryptographic keys on behalf of its customers in order to hold, store and transfer cryptoassets.

3C For the purposes of this regulation—

a “cryptoasset” means a cryptographically secured digital representation of value or contractual rights that uses a form of distributed ledger technology and can be transferred, stored or traded electronically;

b “money” means—

i money in sterling,

ii money in any other currency, or

iii money in any other medium of exchange,

but does not include a cryptoasset; and

c in sub-paragraphs (a) to (c) of paragraph (3A), “cryptoasset” includes a right to, or interest in, the cryptoasset.

3D In paragraph (1), a “high value dealer” means a firm or sole trader that by way of business trades in goods (including an auctioneer dealing in goods), when the firm or sole trader makes or receives, in respect of any transaction, a payment or payments in cash of at least 10,000 euros in total, whether the transaction is executed in a single operation or in several operations which appear to be linked.

3E In paragraph (1), an “art market participant” means, subject to paragraph (3F), a firm or sole practitioner that is registered or required to register with the Commissioners as an art market participant under regulation 56(5) and (6) of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.

3F A firm or sole practitioner is not an art market participant for the purposes of paragraph (3E) in relation to the sale or storage of a work of art which is created by, or is attributable to, a member of the firm or the sole practitioner.

3G For the purposes of this regulation, “work of art” means anything which, in accordance with section 21(6) to (6B) of the Value Added Tax Act 1994 (value of imported goods), is a work of art for the purposes of section 21(5)(a) of that Act.

3H In paragraph (1), an “insolvency practitioner” means a firm or individual who acts as an insolvency practitioner within the meaning of section 388 of the Insolvency Act 1986 or Article 3 of the Insolvency (Northern Ireland) Order 1989.

3I In paragraph (1), “letting agency work” means work—

a consisting of things done in response to instructions received from—

i a person (a “prospective landlord”) seeking to find another person to whom to let land for a term of a month or more, or

ii a person (a “prospective tenant”) seeking to find land to rent for a term of a month or more, and

b done—

i in relation to a prospective landlord, from the point that the prospective landlord instructs P, or

ii otherwise in the course of concluding an agreement for the letting of land for a term of a month or more.

3J For the purposes of paragraph (3I)—

“land” includes part of a building and part of any other structure;
“letting agency work” does not include the things listed in paragraph (3K) when done by, or by employees of, a firm or sole practitioner if neither the firm or sole practitioner, nor any of their employees, does anything else within paragraph (3I).

3K Those things are—

a publishing advertisements or disseminating information;

b providing a means by which a prospective landlord or a prospective tenant can, in response to an advertisement or dissemination of information, make direct contact with a prospective tenant or a prospective landlord;

c providing a means by which a prospective landlord and a prospective tenant can communicate directly with each other;

d the provision of legal or notarial services by a barrister, advocate, solicitor or other legal representative communications with whom may be the subject of a claim to professional privilege or, in Scotland, protected from disclosure in legal proceedings on grounds of confidentiality of communications.

4 Paragraph (1)(a) and (b) is to be read with section 22 of the Financial Services and Markets Act 2000, any relevant order under that section and Schedule 2 to that Act.

5 For the purposes of regulation 56(1), information or another matter comes to a relevant firm “in the course of carrying on its business” if the information or other matter comes to the firm—

a in the case of a relevant firm within paragraph (1)(a), in the course of carrying on an activity in respect of which the permission mentioned in that provision is required;

b in the case of a relevant firm within paragraph (1)(c)(i), in the course of carrying out statutory audit work within the meaning of section 1210 of the Companies Act 2006 (meaning of statutory auditor) ^M23;

c in the case of a relevant firm within paragraph (1)(c)(ii), in the course of carrying out an audit required by the Local Audit and Accountability Act 2014;

d in the case of a relevant firm within paragraph (1)(f), in the course of carrying on an activity in respect of which the licence mentioned in that provision is required;

da in the case of a relevant firm within paragraph (1)(k)—

i in the course of trading, or acting as an intermediary in the sale or purchase of, works of art when the value of the transaction, or a series of linked transactions, amounts to 10,000 euros or more, or

ii in the course of storing works of art where the value of the works of art so stored for a person amounts to 10,000 euros or more;

e in the case of a relevant firm within any other provision of paragraph (1), in the course of carrying on an activity mentioned in that provision.

^I8458 Finance: powers to request information¶

1 The Treasury may request a designated person to provide information about—

a funds or economic resources owned, held or controlled by or on behalf of the designated person, or

b any disposal of such funds or economic resources.

2 The Treasury may request a designated person to provide such information as the Treasury may reasonably require about expenditure—

a by the designated person, or

b for the benefit of the designated person.

3 For the purposes of paragraph (2), expenditure for the benefit of a designated person includes expenditure on the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.

4 The power in paragraph (1) or (2) is exercisable only where the Treasury believe that it is necessary for the purpose of monitoring compliance with or detecting evasion of any provision of Part 3 (Finance).

5 The Treasury may request a person acting under a Treasury licence to provide information about—

a funds or economic resources dealt with under the licence, or

b funds or economic resources made available under the licence.

6 The Treasury may request a person to provide information within paragraph (7) if the Treasury believe that the person may be able to provide the information.

7 Information within this paragraph is such information as the Treasury may reasonably require for the purpose of—

a establishing for the purposes of any provision of Part 3 (Finance)—

i the nature and amount or quantity of any funds or economic resources owned, held or controlled by or on behalf of a designated person,

ii the nature and amount or quantity of any funds or economic resources made available directly or indirectly to, or for the benefit of, a designated person, or

iii the nature of any financial transactions entered into by a designated person;

b monitoring compliance with or detecting evasion of—

i any provision of Part 3,

ii regulation 38 (financial transactions in relation to Libyan oil aboard UN designated ships);

iii regulation 56 (finance: reporting obligations), or

iv any condition of a Treasury licence;

c detecting or obtaining evidence of the commission of an offence under Part 3, regulation 38(3), regulation 52 (finance: licensing offences) or regulation 56.

8 The Treasury may specify the way in which, and the period within which, information is to be provided.

9 If no such period is specified, the information which has been requested must be provided within a reasonable time.

10 A request may include a continuing obligation to keep the Treasury informed as circumstances change, or on such regular basis as the Treasury may specify.

11 Information requested under this regulation may relate to any period of time during which a person is, or was, a designated person.

12 Information requested by virtue of paragraph (1)(b), (2) or (7)(a)(iii) may relate to any period before a person became a designated person (as well as, or instead of, any subsequent period).

13 Expressions used in this regulation have the same meaning as they have in Part 3.

^I8559 Finance: production of documents¶

1 A request under regulation 58 (finance: powers to request information) may include a request to produce specified documents or documents of a specified description.

2 Where the Treasury request that documents be produced, the Treasury may—

a take copies of or extracts from any document so produced,

b request any person producing a document to give an explanation of it, and

c where that person is a body corporate, partnership or unincorporated body other than a partnership, request any person who is—

i in the case of a partnership, a present or past partner or employee of the partnership, or

ii in any other case, a present or past officer or employee of the body concerned,

to give such an explanation.

3 Where the Treasury request a designated person or a person acting under a Treasury licence to produce documents, that person must—

a take reasonable steps to obtain the documents (if they are not already in the person's possession or control);

b keep the documents under the person's possession or control (except for the purpose of providing them to the Treasury or as the Treasury may otherwise permit).

4 In this regulation “designated person” means a designated person within the meaning of regulation 11 or 17.

^I8660 Finance: information offences¶

1 A person commits an offence if that person—

a without reasonable excuse, refuses or fails within the time and in the manner specified (or, if no time has been specified, within a reasonable time) to comply with any request under regulation 58 (finance: powers to request information);

b knowingly or recklessly gives any information, or produces any document, which is false in a material particular in response to such a request;

c with intent to evade any provision of regulation 58 or 59 (finance: production of documents), destroys, mutilates, defaces, conceals or removes any document;

d otherwise intentionally obstructs the Treasury in the exercise of their powers under regulation 58 or 59.

2 Where a person is convicted of an offence under this regulation, the court may make an order requiring that person, within such period as may be specified in the order, to comply with the request.

^I3661 Trade: application of information powers in CEMA¶

1 Section 77A ^M24 of CEMA applies in relation to a person carrying on a relevant activity as it applies in relation to a person concerned in the importation or exportation of goods but as if—

a in subsection (1), the reference to a person concerned in the importation or exportation of goods for which for that purpose an entry is required by regulation 5 of the Customs Controls on Importation of Goods Regulations 1991 ^M25 or an entry or specification is required by or under CEMA were to a person carrying on a relevant activity;

b any other reference to importation or exportation were to a relevant activity;

c any reference to goods were to the goods, technology, services or funds to which the relevant activity relates.

2 For the purposes of paragraph (1), a “relevant activity” means an activity—

a which would, unless done under the authority of a trade licence, constitute a contravention of any prohibition in—

i Chapter 1 or 2 of Part 5 (Trade) except the prohibitions in regulations 23 and 24 (exports and imports), or

ii regulation 35 (transporting etc. Libyan oil in relation to UN designated ships) or 37 (bunkering or ship supply services), or

b which would constitute a contravention of a prohibition in regulation 33 and 39(1) (circumventing etc. prohibitions).

^I8762 General trade licences: records¶

1 This regulation applies in relation to a person (“P”) who does any act authorised by a general licence issued under regulation 49 (trade licences) (“the licence”).

2 P must keep a register or record containing such details as may be necessary to allow the following information to be identified in relation to each act done under the authority of the licence—

a a description of the act;

b a description of any goods, technology, services or funds to which the act relates;

c the date of the act or the dates between which the act took place;

d the quantity of any goods or funds to which the act relates;

e P's name and address;

f the name and address of any consignee of goods to which the act relates or any recipient of technology, services or funds to which the act relates;

g in so far as it is known to P, the name and address of the end-user of the goods, technology, services or funds to which the act relates;

h if different from P, the name and address of the supplier of any goods to which the act relates;

i any further information required by the licence.

3 The register or record relating to an act must be kept until the end of the calendar year in which the register or record is created and for a further period of 4 years from the end of that calendar year.

4 P must notify the Secretary of State in writing of P's name and the address at which the register or record may be inspected, and must make a further such notification if those details change.

5 A notification under paragraph (4) must be given no later than 30 days after—

a P first does any act authorised by the licence, or

b there is any change to the details previously notified.

6 A person who fails to comply with a requirement in paragraph (2), (3) or (4) commits an offence.

^I8863 General trade licences: inspection of records¶

1 A person authorised by the Secretary of State or the Commissioners (an “official”) may at any reasonable hour enter premises notified under regulation 62(4) (general trade licences: records) for the purposes of monitoring compliance with, or detecting evasion of, regulation 62(2) or (3).

2 An official may require any person on the premises to produce any register or record required to be kept under regulation 62, or any document included in such a register or record, that is in the person's possession or control.

3 An official may inspect and copy any such register, record or document.

4 An official must, if requested to do so, produce documentary evidence that he or she is authorised to exercise a power conferred by this regulation.

5 A person commits an offence if, without reasonable excuse, the person—

a intentionally obstructs an official in the performance of any of the official's functions under this regulation, or

b fails to produce a register, record or document when reasonably required to do so by an official under this regulation.

^I8964 Disclosure of information¶

1 The Secretary of State, the Treasury or the Commissioners may, in accordance with this regulation, disclose—

a any information obtained under or by virtue of Part 8 (Exceptions and licences), this Part or Part 11 (Maritime enforcement), or

b any information held in connection with—

i anything done under or by virtue of Part 2 (Designation of persons), Part 3 (Finance), Part 3A (Director disqualification sanctions), Part 5 (Trade), Part 6 (UN designated Ships) or Part 7 (Aircraft), or

ii any exception or licence under Part 8 or anything done in accordance with such an exception or under the authority of such a licence.

2 Information referred to in paragraph (1) may be disclosed for, or in connection with, any of the following purposes—

a any purpose stated in regulation 4 (purposes);

b the exercise of functions under these Regulations;

c facilitating, monitoring or ensuring compliance with these Regulations;

d taking any action with a view to instituting, or otherwise for the purposes of, any proceedings in the United Kingdom—

i for an offence under any provision of these Regulations,

ii for an offence under CEMA in connection with a prohibition mentioned in regulation 23 or 24 (exports or imports), or

iii in relation to a monetary penalty under section 146 of the Policing and Crime Act 2017 ^M26 (breach of financial sanctions legislation);

e taking any action with a view to instituting, or otherwise for the purposes of, any proceedings in any of the Channel Islands, the Isle of Man or any British overseas territory for an offence—

i under a provision in any such jurisdiction that is similar to a provision of these Regulations, or

ii in connection with a prohibition in any such jurisdiction that is similar to a prohibition referred to in sub-paragraph (d)(ii);

f compliance with an international obligation ^M27;

g facilitating the exercise by an authority outside the United Kingdom or by an international organisation of functions which correspond to functions under these Regulations.

3 Information referred to in paragraph (1) may be disclosed to the following persons—

a a police officer;

b any person holding or acting in any office under or in the service of—

i the Crown in right of the Government of the United Kingdom,

ii the Crown in right of the Scottish Government, the Northern Ireland Executive or the Welsh Government,

iii the States of Jersey, Guernsey or Alderney or the Chief Pleas of Sark,

iv the Government of the Isle of Man, or

v the Government of any British overseas territory;

c any law officer of the Crown for Jersey, Guernsey or the Isle of Man;

d the Scottish Legal Aid Board;

e the Financial Conduct Authority, the Prudential Regulation Authority, the Bank of England, the Jersey Financial Services Commission, the Guernsey Financial Services Commission or the Isle of Man Financial Services Authority;

f any other regulatory body (whether or not in the United Kingdom);

g any organ of the United Nations;

h the Council of the European Union, the European Commission or the European External Action Service;

i the Government of any country;

j any other person, where the Secretary of State, the Treasury or the Commissioners (as the case may be) considers that it is appropriate to disclose the information.

4 Information referred to in paragraph (1) may be disclosed to any person with the consent of a person who, in their own right, is entitled to the information.

5 In paragraph (4) “in their own right” means not merely in the capacity as a servant or agent of another person.

6 In paragraph (1)(b)—

a the reference to information includes information obtained at a time when any provision of these Regulations is not in force, and

b references to a licence under Part 8 include—

i a licence or authorisation which is treated as if it were a licence which had been issued under that Part, and

ii a licence which is deemed to have been issued under that Part.

64A Finance: disclosure to the Treasury¶

1 A relevant public authority may disclose information to the Treasury if the disclosure is made for the purpose of enabling or assisting the Treasury to discharge any of its functions in connection with any sanctions regulations contained in these Regulations.

2 In this regulation—

“relevant public authority” means—
1. any person holding or acting in any office under or in the service of—
  1. the Crown in right of the Government of the United Kingdom,
  2. the Crown in right of the Scottish Government, the Northern Ireland Executive or the Welsh Government,
2. any local authority,
3. any police officer,
4. the Financial Conduct Authority, the Prudential Regulation Authority, the Bank of England or any other regulatory body in the United Kingdom, or
5. any other person exercising functions of a public nature;
“local authority” means—
1. in relation to England—
  1. a county council,
  2. a district council,
  3. a London Borough council,
  4. the Common Council of the City of London in its capacity as a local authority,
  5. the Council of the Isles of Scilly, or
  6. an eligible parish council within the meaning of section 1(2) of the Local Government Act 2000,
2. in relation to Wales, a county council, a county borough council or a community council,
3. in relation to Scotland, a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994, or
4. in relation to Northern Ireland, a district council.

^I9065 Part 9: supplementary¶

1 A disclosure of information under regulation 64 (disclosure of information) or 64A (finance: disclosure to the Treasury) does not breach any restriction on such disclosure imposed by statute or otherwise.

2 But nothing in those regulations authorises a disclosure that—

a contravenes the data protection legislation, or

b is prohibited by any of Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016 ^M28.

3 Nothing in this Part is to be read as requiring a person who has acted or is acting as counsel or solicitor for any person to disclose any privileged information in their possession in that capacity.

4 Regulations 64 and 64A do not limit the circumstances in which information may be disclosed apart from those regulations.

5 Nothing in this Part limits any conditions which may be contained in a licence under Part 8.

6 In this regulation—

“the data protection legislation” has the same meaning as in the Data Protection Act 2018 (see section 3 of that Act) ^M29;
“privileged information” means information with respect to which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings.

PART 10 Enforcement¶

^I9166 Penalties for offences¶

1 A person who commits an offence under any provision of Part 3 (Finance), regulation 36 (port access or entry for UN designated ships), regulation 38(3) (financial transactions in relation to Libyan oil aboard UN designated ships), regulation 39(4) (circumvention of regulation 38), regulation 42 (movement of aircraft), or regulation 52 (finance: licensing offences) is liable—

a on summary conviction in England and Wales, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine (or both);

b on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);

c on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);

d on conviction on indictment, to imprisonment for a term not exceeding 7 years or a fine (or both).

2 A person who commits an offence under any provision of Part 5 (Trade), regulation 35 (transporting etc. Libyan oil in relation to UN designated ships), regulation 37 (bunkering or ship supply services) or regulation 39(2) (circumvention of regulations 35 and 37) is liable—

a on summary conviction in England and Wales, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine (or both);

b on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);

c on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);

d on conviction on indictment, to imprisonment for a term not exceeding 10 years or a fine (or both).

3 A person who commits an offence under regulation 9(6) (confidentiality), 52A (director disqualification: licensing offences), regulation 53 (trade: licensing offences), regulation 54 (port access or entry for UN designated ships: licensing offences), or regulation 62(6) or 63(5) (information offences in connection with general trade licences) is liable—

a on summary conviction in England and Wales, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine (or both);

b on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);

c on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);

d on conviction on indictment, to imprisonment for a term not exceeding 2 years or a fine (or both).

4 A person who commits an offence under regulation 56(6) (finance: reporting obligations) or 60 (information offences in connection with Part 3) is liable—

a on summary conviction in England and Wales, to imprisonment for a term not exceeding 6 months or a fine (or both);

b on summary conviction in Scotland, to imprisonment for a term not exceeding 6 months or a fine not exceeding level 5 on the standard scale (or both);

c on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding level 5 on the standard scale (or both).

5 In relation to an offence committed before 2nd May 2022, the reference in each of paragraphs (1)(a), (2)(a) and (3)(a) to the general limit in a magistrates’ court is to be read as a reference to 6 months.

^I3767 Liability of officers of bodies corporate etc.¶

1 Where an offence under these Regulations, committed by a body corporate—

a is committed with the consent or connivance of any director, manager, secretary or other similar officer of the body corporate, or any person who was purporting to act in any such capacity, or

b is attributable to any neglect on the part of any such person,

that person as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.

2 In paragraph (1) “director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body corporate.

3 Paragraph (1) also applies in relation to a body that is not a body corporate, with the substitution for the reference to a director of the body of a reference—

a in the case of a partnership, to a partner;

b in the case of an unincorporated body other than a partnership—

i where the body's affairs are managed by its members, to a member of the body;

ii in any other case, to a member of the governing body.

4 Section 171(4) of CEMA (which is a provision similar to this regulation) does not apply to any offence under these Regulations to which that provision would, in the absence of this paragraph, apply.

^I9268 Jurisdiction to try offences¶

1 Where an offence under Part 3 (Finance), Part 7 (Aircraft), or regulation 9(6) (confidentiality), regulation 36 (port access or entry for UN designated ships), regulation 38(3) (financial transactions relating in relation to Libyan oil aboard UN designated ships), 39(4) (circumvention of regulation 38), regulation 52 (finance: licensing offences), regulation 54 (port access or entry for UN designated ships: licensing offences), regulation 56(6) (finance: reporting obligations) or regulation 60 (information offences in connection with Part 3) is committed in the United Kingdom—

a proceedings for the offence may be taken at any place in the United Kingdom, and

b the offence may for all incidental purposes be treated as having been committed at any such place.

2 Where an offence under these Regulations is committed outside the United Kingdom—

a proceedings for the offence may be taken at any place in the United Kingdom, and

b the offence may for all incidental purposes be treated as having been committed at any such place.

3 In the application of paragraph (2) to Scotland, any such proceedings against a person may be taken—

a in any sheriff court district in which the person is apprehended or is in custody, or

b in such sheriff court district as the Lord Advocate may determine.

4 In paragraph (3) “sheriff court district” is to be read in accordance with the Criminal Procedure (Scotland) Act 1995 (see section 307(1) of that Act) ^M30.

^I4069 Procedure for offences by unincorporated bodies¶

1 Paragraphs (2) and (3) apply if it is alleged that an offence under these Regulations has been committed by an unincorporated body (as opposed to by a member of the body).

2 Proceedings in England and Wales or Northern Ireland for such an offence must be brought against the body in its own name.

3 For the purposes of proceedings for such an offence brought against an unincorporated body—

a rules of court relating to the service of documents have effect as if the body were a body corporate;

b the following provisions apply as they apply in relation to a body corporate—

i section 33 of the Criminal Justice Act 1925 ^M31 and Schedule 3 to the Magistrates' Courts Act 1980 ^M32;

ii section 18 of the Criminal Justice Act (Northern Ireland) 1945 ^M33 and Article 166 of, and Schedule 4 to, the Magistrates' Courts (Northern Ireland) Order 1981 ^M34.

4 A fine imposed on an unincorporated body on its conviction of an offence under these Regulations is to be paid out of the funds of the body.

^I4170 Time limit for proceedings for summary offences¶

1 Proceedings for an offence under these Regulations which is triable only summarily may be brought within the period of 12 months beginning with the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the prosecutor's knowledge.

2 But such proceedings may not be brought by virtue of paragraph (1) more than 3 years after the commission of the offence.

3 A certificate signed by the prosecutor as to the date on which the evidence in question came to the prosecutor's knowledge is conclusive evidence of the date on which it did so; and a certificate to that effect and purporting to be so signed is to be treated as being so signed unless the contrary is proved.

4 In relation to proceedings in Scotland—

a section 136(3) of the Criminal Procedure (Scotland) Act 1995 (date of commencement of summary proceedings) applies for the purposes of this regulation as it applies for the purposes of that section, and

b references in this regulation to the prosecutor are to be treated as references to the Lord Advocate.

^I3871 Trade enforcement: application of CEMA¶

1 Where the Commissioners investigate or propose to investigate any matter with a view to determining—

a whether there are grounds for believing that a relevant offence has been committed, or

b whether a person should be prosecuted for such an offence,

the matter is to be treated as an assigned matter.

2 In paragraph (1) “assigned matter” has the meaning given by section 1(1) of CEMA ^M35.

3 In this regulation a “relevant offence” means an offence under—

a Part 5 (Trade),

b regulation 35 (transporting etc. Libyan oil in relation to UN designated ships),

c regulation 37 (bunkering or ship supply services),

d regulation 39(2) (circumventing etc. prohibitions),

e regulation 53 (trade: licensing offences),

f regulation 62(6) (general trade licences: records), or

g regulation 63(5) (general trade licences: inspection of records).

3A The Commissioners may not investigate the suspected commission of a relevant offence listed in paragraphs (3B), (3C) or (3D), unless the suspected offence has been the subject of—

a a referral to the Commissioners by the Secretary of State, or

b a decision by the Commissioners to treat the suspected offence as if it had been referred to them under sub-paragraph (a).

3B Paragraph (3A) applies to the suspected commission of an offence under any of the following provisions—

a regulation 25(3) (supply and delivery of certain goods) insofar as the offence does not relate to internal repression goods or military goods;

b regulation 26(3) (making available or acquiring certain goods and technology) insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the UK, or does not relate to internal repression goods or internal repression technology, military goods or military technology;

c regulation 28(3) (technical assistance relating to restricted goods and restricted technology) insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the UK, or does not relate to internal repression goods and internal repression technology, military goods and military technology;

d regulation 29(5) (financial services and funds relating to restricted goods and restricted technology) insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the UK, or does not relate to internal repression goods and internal repression technology, military goods and military technology;

e regulation 30(3) (brokering services: non-UK activity relating to restricted goods and restricted technology) insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the UK, or does not relate to internal repression goods and internal repression technology, military goods and military technology;

f regulation 31(3) (enabling or facilitating the conduct of armed hostilities);

g regulation 35(3) (transporting etc. Libyan oil in relation to UN designated ships) insofar as the offence does not relate to the import or export of goods;

h regulation 37(3) (bunkering or ship supply services).

3C Paragraph (3A) also applies to the suspected commission of a relevant offence under any of regulations 53(1), 53(2), 62(6) and 63(5) insofar as—

a the suspected offence relates to a licence issued under regulation 49 (trade licences), and

b the prohibited activity authorised by that licence would, if no licence had been issued, amount to an offence specified in paragraph (3B).

3D Paragraph (3A) also applies to the suspected commission of a relevant offence under regulation 33(2) (circumventing etc. prohibitions) or regulation 39(2) (circumventing etc. prohibitions), insofar as the prohibited activity to which the suspected offence relates is the circumvention of, or enabling or facilitation of a contravention of, a prohibition in relation to an offence specified in paragraph (3B).

4 Section 138 of CEMA ^M36 (arrest of persons) applies to a person who has committed, or whom there are reasonable grounds to suspect of having committed, a relevant offence as it applies to a person who has committed, or whom there are reasonable grounds to suspect of having committed, an offence for which the person is liable to be arrested under the customs and excise Acts ^M37, but as if—

a any reference to an offence under, or for which a person is liable to be arrested under, the customs and excise Acts were to a relevant offence;

b in subsection (2), the reference to any person so liable were to a person who has committed, or whom there are reasonable grounds to suspect of having committed, a relevant offence.

5 The provisions of CEMA mentioned in paragraph (6) apply in relation to proceedings for a relevant offence as they apply in relation to proceedings for an offence under the customs and excise Acts, but as if—

a any reference to the customs and excise Acts were to any of the provisions mentioned in paragraph (3)(a) to (g);

b in section 145(6), the reference to an offence for which a person is liable to be arrested under the customs and excise Acts were to a relevant offence;

c in section 151, the reference to any penalty imposed under the customs and excise Acts were to any penalty imposed under these Regulations in relation to a relevant offence;

d in section 154(2)—

i the reference to proceedings relating to customs or excise were to proceedings under any of the provisions mentioned in paragraph (3)(a) to (g), and

ii the reference to the place from which any goods have been brought included a reference to the place to which goods have been exported, supplied or delivered or the place to or from which technology has been transferred.

6 The provisions of CEMA are sections 145, 146, 147, 148(1), 150, 151, 152, 154 and 155 ^M38 (legal proceedings).

7 Any term in this regulation that is defined in Chapter 3 of Part 5 (Trade) bears the same meaning as in that Chapter of that Part.

^I3972 Trade offences in CEMA: modification of penalty¶

1 Paragraph (2) applies where a person is guilty of an offence under section 50(2) or (3) of CEMA in connection with a prohibition mentioned in regulation 24 (import of arms and related materiel and internal repression goods).

2 Where this paragraph applies, the reference to 7 years in section 50(4)(b) of CEMA ^M39 is to be read as a reference to 10 years.

3 Paragraph (4) applies where a person is guilty of an offence under section 68(2) of CEMA in connection with a prohibition mentioned in regulation 23(1) (export of restricted goods).

4 Where this paragraph applies, the reference to 7 years in section 68(3)(b) of CEMA ^M40 is to be read as a reference to 10 years.

5 Paragraph (6) applies where a person is guilty of an offence under section 170(2) of CEMA in connection with a prohibition mentioned in regulation 23(1) or 24 (exports and imports).

6 Where this paragraph applies, the reference to 7 years in section 170(3)(b) of CEMA ^M41 is to be read as a reference to 10 years.

^I4273 Application of Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005¶

Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005 (investigatory powers) ^M42 applies to an offence under Part 3 (Finance), regulation 38 (financial transactions relating to Libyan oil) or regulation 52 (finance: licensing offences).

^I4374 Monetary penalties¶

Each provision in Part 5 (Trade) which contains a prohibition imposed for a purpose mentioned in section 3(1) or (2) of the Act is to be regarded as not being financial sanctions legislation for the purposes of Part 8 of the Policing and Crime Act 2017 (monetary penalties) ^M43.

PART 11 Maritime enforcement¶

^I9375 Exercise of maritime enforcement powers¶

1 A maritime enforcement officer may, for a purpose mentioned in paragraph (2) or (3), exercise any of the maritime enforcement powers in relation to—

a a British ship in foreign waters or international waters,

b a ship without nationality in international waters, or

c a foreign ship in international waters,

and a ship within sub-paragraph (a), (b) or (c) is referred to in this Part as “a relevant ship”.

2 The maritime enforcement powers may be exercised for the purpose of enforcing any of the following—

a the prohibition in regulation 23(1) (export of restricted goods);

b a prohibition in regulation 24 (import of arms and related materiel etc.);

c a prohibition in regulation 25(1) (supply and delivery of certain goods);

d a prohibition in regulation 26(1) (making available or acquiring certain goods and technology);

e a prohibition in regulation 27(1) (transfer of restricted technology);

f a prohibition in relation 35 (transporting etc. Libyan oil in relation to UN designated ships);

g a prohibition imposed by a condition of a trade licence in relation to a prohibition mentioned in any of sub-paragraphs (a) to (f).

3 The maritime enforcement powers may also be exercised in relation to a relevant ship for the purpose of—

a investigating the suspected carriage of relevant goods on the ship, or

b preventing the continued carriage on the ship of goods suspected to be relevant goods.

4 In this Part, “the maritime enforcement powers” are the powers conferred by regulations 77 (power to stop, search, board etc.) and 78 (seizure power).

5 This regulation is subject to regulation 79 (restrictions on exercise of maritime enforcement powers).

^I9476 Maritime enforcement officers¶

1 The following persons are “maritime enforcement officers” for the purposes of this Part—

a a commissioned officer of any of Her Majesty's ships;

b a member of the Ministry of Defence Police (within the meaning of section 1 of the Ministry of Defence Police Act 1987 ^M44);

c a constable—

i who is a member of a police force in England and Wales,

ii within the meaning of section 99 of the Police and Fire Reform (Scotland) Act 2012 ^M45, or

iii who is a member of the Police Service of Northern Ireland or the Police Service of Northern Ireland Reserve;

d a special constable—

i appointed under section 27 of the Police Act 1996 ^M46,

ii appointed under section 9 of the Police and Fire Reform (Scotland) Act 2012, or

iii in Northern Ireland, appointed by virtue of provision incorporating section 79 of the Harbours, Docks, and Piers Clauses Act 1847 ^M47;

e a constable who is a member of the British Transport Police Force;

f a port constable, within the meaning of section 7 of the Marine Navigation Act 2013 ^M48, or a person appointed to act as a constable under provision made by virtue of section 16 of the Harbours Act 1964 ^M49;

g a designated customs official within the meaning of Part 1 of the Borders, Citizenship and Immigration Act 2009 (see section 14(6) of that Act) ^M50;

h a designated NCA officer who is authorised by the Director General of the National Crime Agency (whether generally or specifically) to exercise the powers of a maritime enforcement officer under this Part.

2 In this regulation, “a designated NCA officer” means a National Crime Agency officer who is either or both of the following—

a an officer designated under section 10 of the Crime and Courts Act 2013 ^M51 as having the powers and privileges of a constable;

b an officer designated under that section as having the powers of a general customs official.

^I9577 Power to stop, board, search etc.¶

1 This regulation applies if a maritime enforcement officer has reasonable grounds to suspect that a relevant ship is carrying prohibited goods or relevant goods.

2 The officer may—

a stop the ship;

b board the ship;

c for the purpose of exercising a power conferred by paragraph (3) or regulation 78 (seizure power), require the ship to be taken to, and remain in, a port or anchorage in the United Kingdom or any other country willing to receive it.

3 Where the officer boards a ship by virtue of this regulation, the officer may—

a stop any person found on the ship and search that person for—

i prohibited goods or relevant goods, or

ii any thing that might be used to cause physical injury or damage to property or to endanger the safety of any ship;

b search the ship, or any thing found on the ship (including cargo) for prohibited goods or relevant goods.

4 The officer may—

a require a person found on a ship boarded by virtue of this regulation to provide information or produce documents;

b inspect and copy such information or documents.

5 The officer may exercise a power conferred by paragraph (3)(a)(i) or (b) only to the extent reasonably required for the purpose of discovering prohibited goods or relevant goods.

6 The officer may exercise the power conferred by paragraph (3)(a)(ii) in relation to a person only where the officer has reasonable grounds to believe that the person might use a thing to cause physical injury or damage to property or to endanger the safety of any ship.

7 The officer may use reasonable force, if necessary, in the exercise of any power conferred by this regulation.

^I9678 Seizure power¶

1 This regulation applies if a maritime enforcement officer is lawfully on a relevant ship (whether in exercise of the powers conferred by regulation 77 (power to stop, board, search etc.) or otherwise).

2 The officer may seize any of the following which are found on the ship, in any thing found on the ship, or on any person found on the ship—

a goods which the officer has reasonable grounds to suspect are prohibited goods or relevant goods, or

b things within regulation 77(3)(a)(ii).

3 The officer may use reasonable force, if necessary, in the exercise of any power conferred by this regulation.

^I9779 Restrictions on exercise of maritime enforcement powers¶

1 The authority of the Secretary of State is required before any maritime enforcement power is exercised in reliance on regulation 75 (exercise of maritime enforcement powers) in relation to—

a a British ship in foreign waters, or

b a foreign ship in international waters.

2 In relation to a British ship in foreign waters other than the sea and other waters within the seaward limits of the territorial sea adjacent to any relevant British possession, the Secretary of State may give authority under paragraph (1) only if the State in whose waters the power would be exercised consents to the exercise of the power.

3 In relation to a foreign ship in international waters, the Secretary of State may give authority under paragraph (1) only if—

a the home state has requested the assistance of the United Kingdom for a purpose mentioned in regulation 75(2) or (3),

b the home state has authorised the United Kingdom to act for such a purpose, or

c the United Nations Convention on the Law of the Sea 1982 ^M52 or a UN Security Council Resolution otherwise permits the exercise of the power in relation to the ship.

^I9880 Interpretation of Part 11¶

1 Subject to paragraph (2), any expression used in this Part and in section 19 or 20 of the Act has the same meaning in this Part as it has in section 19 or (as the case may be) section 20 of the Act.

2 For the purpose of interpreting any reference to “prohibited goods” or “relevant goods” in this Part, any reference in section 19 or 20 of the Act to a “relevant prohibition or requirement” is to be read as a reference to any prohibition specified in regulation 75(2)(a) to (g) (exercise of maritime enforcement powers).

PART 12 Supplementary and final provision¶

^I9981 Notices¶

1 This regulation applies in relation to a notice required by regulation 51 (licences: general provisions) to be given to a person.

2 The notice may be given to an individual—

a by delivering it to the individual,

b by sending it to the individual by post addressed to the individual at his or her usual or last-known place of residence or business, or

c by leaving it for the individual at that place.

3 The notice may be given to a person other than an individual—

a by sending it by post to the proper officer of the body at its principal office, or

b by addressing it to the proper officer of the body and leaving it at that office.

4 The notice may be given to the person by other means, including by electronic means, with the person's consent.

5 In this regulation, the reference in paragraph (3) to a “principal office”—

a in relation to a registered company, is to be read as a reference to the company's registered office;

b in relation to a body incorporated or constituted under the law of a country other than the United Kingdom, includes a reference to the body's principal office in the United Kingdom (if any).

6 In this regulation—

“proper officer”—
1. in relation to a body other than a partnership, means the secretary or other executive officer charged with the conduct of the body's general affairs, and
2. in relation to a partnership, means a partner or a person who has the control or management of the partnership business;
“registered company” means a company registered under the enactments relating to companies for the time being in force in the United Kingdom.

^I4482 Article 20 of the Export Control Order 2008¶

Article 20 of the Export Control Order 2008 (embargoed destinations) is not to be taken to prohibit anything prohibited by Part 5 (Trade).

^I4583 Trade: overlapping offences¶

A person is not to be taken to commit an offence under the Export Control Order 2008 if the person would, in the absence of this regulation, commit an offence under both—

a article 34, 35, 37 or 38 of that Order ^M53, and

b any provision of Part 5 (Trade) or regulation 37 (bunkering or ship supply services), regulation 53 (trade: licensing offences), 62(6) or 63(5) (information offences in connection with general trade licences).

^I4684 Amendment of the United Nations and European Union Financial Sanctions (Linking) Regulations 2017¶

In the Schedule to the United Nations and European Union Financial Sanctions (Linking) Regulations 2017 ^M54, omit the following row from the table—

^I4785 Revocations¶

1 Council Regulation (EU) 2016/44 of 18 January 2016 concerning restrictive measures in view of the situation in Libya and repealing Regulation (EU) No 204/2011 is revoked.

2 The Libya (European Union Financial Sanctions) Regulations 2016 ^M55 are revoked.

3 The Libya (Financial Sanctions) Order 2011 ^M56 is revoked.

4 The Export Control (Libya Sanctions) Order 2016 ^M57 is revoked.

^I10086 Transitional provision: Treasury licences¶

1 Paragraphs (2) to (4) apply to a licence which—

a was granted, or deemed to be granted, by the Treasury under—

i article 9 of the 2011 Order, or

ii regulation 9 of the 2016 Regulations, and

b was in effect immediately before IP completion day, and

c authorises conduct which would (on and after IP completion day, and in the absence of paragraphs (2) to (4)) be prohibited under Part 3 (Finance),

and such a licence is referred to in this regulation as “an existing financial sanctions licence”.

2 An existing financial sanctions licence which authorises an act which would otherwise be prohibited has effect on and after IP completion day as if it had been issued by the Treasury under regulation 48(1) (Treasury licences).

3 Any reference in an existing financial sanctions licence to—

a the 2011 Order,

b the 2016 Regulations ,or

c the EU Libya Regulation,

is to be treated on and after IP completion day as a reference to these Regulations.

4 Any reference in an existing financial sanctions licence to a prohibition in—

a the 2011 Order,

b the 2016 Regulations,

c the EU Libya Regulation, or

d Council Regulation (EU) No 204/2011 ^M58,

is to be treated on and after IP completion day as a reference to the corresponding prohibition in Part 3 (Finance).

5 Paragraph (6) applies where—

a an application for a licence, or for the variation of a licence, under the 2011 Order or 2016 Regulations was made before IP completion day,

b the application is for the authorisation of conduct which would (on and after IP completion day) be prohibited under Part 3, and

c a decision to grant or refuse the application has not been made before that date.

6 The application is to be treated on and after IP completion day as an application for a licence, or for the variation of a licence (as the case may be), under regulation 48(1).

7 In this regulation—

“the 2011 Order” means the Libya (Financial Sanctions) Order 2011;
“the 2016 Regulations” means the Libya (European Union Financial Sanctions) Regulations 2016.

^I10187 Transitional provision: trade licences¶

1 Paragraph (2) applies in relation to each licence or authorisation granted by the Secretary of State which—

a was in effect immediately before IP completion day, and

b authorises an act—

i which would otherwise be prohibited by any provision of the Export Control Order 2008 except article 20 of that Order (embargoed destinations), and

ii which would (on and after IP completion day, and in the absence of paragraph (2)) be prohibited by Part 5 (Trade),

and such a licence or authorisation is referred to in this regulation as an “existing trade licence”.

2 A licence is deemed to have been issued by the Secretary of State on IP completion day under regulation 49 (trade licences)—

a disapplying every provision of Part 5 which would, in the absence of this paragraph, prohibit any act authorised by the existing trade licence, and

b otherwise in the same terms as the existing trade licence.

3 Paragraphs (4) to (6) apply to a licence or authorisation granted by the Secretary of State which—

a was in effect immediately before IP completion day,

b is not an existing trade licence, and

c authorises an act—

i which would otherwise be prohibited by the EU Libya Regulation, and

ii which would (on and after IP completion day, and in the absence of paragraphs (4) to (6)) be prohibited by Part 5,

and such a licence or authorisation is referred to in this regulation as “an existing trade sanctions licence”.

4 An existing trade sanctions licence has effect on and after IP completion day as if it were a licence which had been issued by the Secretary of State under regulation 49.

5 Any reference in an existing trade sanctions licence to a provision of the Export Control (Libya Sanctions) Order 2016 or the Export Control Order 2008 is to be treated on and after IP completion day as a reference to the corresponding provision of these Regulations (if any).

6 Any reference in an existing trade sanctions licence to a prohibition in the EU Libya Regulation is to be treated on and after IP completion day as a reference to the corresponding prohibition in Part 5.

^I10288 Transitional provision: pending applications for trade licences¶

1 Paragraph (2) applies where—

a an application was made before IP completion day for a licence or authorisation under or pursuant to the Export Control Order 2008,

b the application is for authorisation of an act prohibited by Part 5 (Trade), and

c a decision to grant or refuse the application has not been made before IP completion day.

2 The application is to be treated on and after IP completion day as including an application for a licence under regulation 49 (trade licences).

3 Paragraph (4) applies where—

a an application was made before IP completion day for a licence or authorisation under the Export Control (Libya Sanctions) Order 2016 or the EU Libya Regulation,

b the application is for authorisation of an act prohibited by Part 5, and

c a decision to grant or refuse the application has not been made before IP completion day.

4 The application is to be treated on and after IP completion day as an application for a licence under regulation 49.

^I10389 Transitional provision: prior obligations etc.¶

1 Where—

a a person was named in Annex II, III or VI of the EU Libya Regulation immediately before IP completion day, and

b the person is a designated person immediately before IP completion day,

any reference in a provision mentioned in paragraph (3) to the date on which a person became a designated person is to be read as a reference to the original listing date.

2 Where, immediately before IP completion day, a person was named for the purposes of paragraph 17 of resolution 1970 by the Security Council or the Committee, the reference in each of the provisions mentioned in paragraph (3) to the date on which a person became a designated person is a reference to the date on which the person was so named.

3 The provisions referred to in paragraphs (1) and (2) are—

a regulation 19(4)(b) (partial asset-freeze prohibition in relation to making funds available to designated persons),

b regulation 43(5) (finance: exceptions from prohibitions), ^F60...

ba regulation 43ZB (finance: exceptions relating to payment of Treasury debt), and

c paragraphs 11(a), 11A(b)(i) and 12(a) of Schedule 4 (Treasury licences: purposes).

4 In this regulation—

“designated person” means a designated person within the meaning of regulation 11 or 17;
“original listing date” means—
1. where the person was named in Annex II, III or VI of Council Regulation (EU) No 204/2011 of 2 March 2011 concerning restrictive measures in view of the situation in Libya immediately before the repeal of that Regulation, the date on which that person was named in Annex II, III or VI of that Regulation;
2. otherwise, the date on which the person was named in Annex II, III or VI of the EU Libya Regulation.

SCHEDULES

SCHEDULE 1 ¶

Rules for interpretation of regulation 7(2)

Regulation 7(3)

^I211 Application of Schedule¶

1 The rules set out in the following paragraphs of this Schedule apply for the purpose of interpreting regulation 7(2).

2 They also apply for the purpose of interpreting this Schedule.

^I222 Joint interests¶

If two or more persons each hold a share or right jointly, each of them is treated as holding that share or right.

^I233 Joint arrangements¶

1 If shares or rights held by a person and shares or rights held by another person are the subject of a joint arrangement between those persons, each of them is treated as holding the combined shares or rights of both of them.

2 A “joint arrangement” is an arrangement between the holders of shares or rights that they will exercise all or substantially all the rights conferred by their respective shares or rights jointly in a way that is pre-determined by the arrangement.

3 “Arrangement” has the meaning given by paragraph 12.

^I244 Calculating shareholdings¶

1 In relation to a person who has a share capital, a reference to holding “more than 50% of the shares” in that person is to holding shares comprised in the issued share capital of that person of a nominal value exceeding (in aggregate) 50% of that share capital.

2 In relation to a person who does not have a share capital—

a a reference to holding shares in that person is to holding a right or rights to share in the capital or, as the case may be, profits of that person;

b a reference to holding “more than 50% of the shares” in that person is to holding a right or rights to share in more than 50% of the capital or, as the case may be, profits of that person.

^I255 Voting rights¶

1 A reference to the voting rights in a person is to the rights conferred on shareholders in respect of their shares (or, in the case of a person not having a share capital, on members) to vote at general meetings of the person on all or substantially all matters.

2 In relation to a person that does not have general meetings at which matters are decided by the exercise of voting rights—

a a reference to holding voting rights in the person is to be read as a reference to holding rights in relation to the person that are equivalent to those of a person entitled to exercise voting rights in a company;

b a reference to holding “more than 50% of the voting rights” in the person is to be read as a reference to holding the right under the constitution of the person to block changes to the overall policy of the person or to the terms of its constitution.

^I266In applying regulation 7(2) and this Schedule, the voting rights in a person are to be reduced by any rights held by the person itself.

^I277 Rights to appoint or remove members of the board¶

A reference to the right to appoint or remove a majority of the board of directors of a person is to the right to appoint or remove directors holding a majority of the voting rights at meetings of the board on all or substantially all matters.

^I288A reference to a board of directors, in the case of a person who does not have such a board, is to be read as a reference to the equivalent management body of that person.

^I299 Shares or rights held “indirectly”¶

1 A person holds a share “indirectly” if the person has a majority stake in another person and that other person—

a holds the share in question, or

b is part of a chain of persons—

i each of whom (other than the last) has a majority stake in the person immediately below it in the chain, and

ii the last of whom holds the share.

2 A person holds a right “indirectly” if the person has a majority stake in another person and that other person—

a holds that right, or

b is part of a chain of persons—

i each of whom (other than the last) has a majority stake in the person immediately below it in the chain, and

ii the last of whom holds that right.

3 For these purposes, a person (“A”) has a “majority stake” in another person (“B”) if—

a A holds a majority of the voting rights in B,

b A is a member of B and has the right to appoint or remove a majority of the board of directors of B,

c A is a member of B and controls alone, pursuant to an agreement with other shareholders or members, a majority of the voting rights in B, or

d A has the right to exercise, or actually exercises, dominant influence or control over B.

4 In the application of this paragraph to the right to appoint or remove a majority of the board of directors, a person (“A”) is to be treated as having the right to appoint a director if—

a any person's appointment as director follows necessarily from that person's appointment as director of A, or

b the directorship is held by A itself.

^I3010 Shares held by nominees¶

A share held by a person as nominee for another is to be treated as held by the other (and not by the nominee).

^I3111 Rights treated as held by person who controls their exercise¶

1 Where a person controls a right, the right is to be treated as held by that person (and not by the person who in fact holds the right, unless that person also controls it).

2 A person “controls” a right if, by virtue of any arrangement between that person and others, the right is exercisable only—

a by that person,

b in accordance with that person's directions or instructions, or

c with that person's consent or concurrence.

^I3212“Arrangement” includes—

a any scheme, agreement or understanding, whether or not it is legally enforceable, and

b any convention, custom or practice of any kind.

^I3313 Rights exercisable only in certain circumstances etc.¶

1 Rights that are exercisable only in certain circumstances are to be taken into account only—

a when the circumstances have arisen, and for so long as they continue to obtain, or

b when the circumstances are within the control of the person having the rights.

2 But rights that are exercisable by an administrator or by creditors while a person is subject to relevant insolvency proceedings are not to be taken into account while the person is subject to those proceedings.

3 “Relevant insolvency proceedings” means—

a administration within the meaning of the Insolvency Act 1986 ^M59,

b administration within the meaning of the Insolvency (Northern Ireland) Order 1989 ^M60, or

c proceedings under the insolvency law of another country during which a person's assets and affairs are subject to the control or supervision of a third party or creditor.

4 Rights that are normally exercisable but are temporarily incapable of exercise are to continue to be taken into account.

^I3414 Rights attached to shares held by way of security¶

Rights attached to shares held by way of security provided by a person are to be treated for the purposes of this Schedule as held by that person—

a where apart from the right to exercise them for the purpose of preserving the value of the security, or of realising it, the rights are exercisable only in accordance with that person's instructions, and

b where the shares are held in connection with the granting of loans as part of normal business activities and apart from the right to exercise them for the purpose of preserving the value of the security, or of realising it, the rights are exercisable only in that person's interests.

SCHEDULE 2 ¶

Internal repression goods and internal repression technology

Regulation 32(1)

^I1041 Firearms and related goods¶

Firearms, ammunition and related accessories, as follows—

a firearms;

b ammunition specially designed for firearms;

c weapon-sights.

^I1052Simulators for training persons to use firearms.

^I1063Bombs and grenades.

^I1074 Vehicles¶

1 Subject to sub-paragraph (3), the following types of vehicles—

a vehicles equipped with a water cannon, specially designed or modified for the purpose of riot control;

b vehicles specially designed or modified to be electrified to repel boarders;

c vehicles specially designed or modified to remove barricades, including construction equipment with ballistic protection;

d vehicles specially designed for the transport or transfer of prisoners or detainees;

e vehicles specially designed to deploy mobile barriers.

2 Components for the vehicles specified in sub-paragraph (1)(a) to (e) that have been designed for the purposes of riot control.

3 Vehicles that might otherwise fall within sub-paragraph (1)(a) to (e) are not internal repression goods if they are specially designed for the purposes of fire-fighting.

4 For the purposes of this paragraph, “vehicle” includes a trailer.

^I1085 Explosive substances and related goods¶

1 Subject to sub-paragraph (3), equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including—

a firing sets;

b detonators;

c igniters;

d boosters;

e detonating cord.

2 Subject to sub-paragraph (3), components that have been specially designed for any thing mentioned in sub-paragraph (1).

3 Sub-paragraphs (1) and (2) do not apply to any thing that has been specially designed for a specific commercial use.

4 For the purpose of sub-paragraph (3), a “specific commercial use” means the actuation or operation by explosive means of other equipment or devices the function of which is not the creation of explosions, including—

a car air-bag inflaters;

b electric-surge arresters;

c fire sprinkler actuators.

^I1096Linear cutting explosive charges.

^I1107The following explosives and related substances—

a amatol;

b nitrocellulose (containing more than 12.5 % nitrogen);

c nitroglycol;

d pentaerythritol tetranitrate (PETN);

e picryl chloride;

f 2,4,6-trinitrotoluene (TNT).

^I1118 Other goods¶

1 Subject to sub-paragraph (2), the following equipment designed for the protection of a person—

a body armour providing ballistic or stabbing protection or both;

b helmets providing ballistic or fragmentation protection, or both, including anti-riot helmets;

c anti-riot shields and ballistic shields.

2 Sub-paragraph (1) does not apply to—

a any thing that is specially designed to protect persons for the following purposes—

i participation in competitive sport;

ii ensuring safety at work;

b any thing mentioned in sub-paragraph (1)(a) or (b) when accompanying a person for that person's own protection.

^I1129Night vision equipment.

^I11310Thermal imaging equipment.

^I11411Image intensifier tubes.

^I11512Razor barbed wire.

^I11613The following types of knives—

a knives that are designed for use by military personnel (military knives);

b knives that are designed for use as a weapon for inflicting injury (combat knives);

c bayonets with blade lengths in excess of 10 cm.

^I11714 Production equipment¶

Any equipment which is specially designed or modified for the development or for one or more of the production phases of any item mentioned in paragraphs 1 to 13.

^I11815 Software and technology¶

Any software which is specially designed for the simulators mentioned in paragraph 2.

^I11916Any technology which is specially designed for the development, production or use of any item mentioned in paragraphs 1 to 13.

^I12017 Interpretation¶

1 In this Schedule, “firearm” means any portable barrelled weapon that expels, is designed to expel or may be converted to expel, a shot, bullet or projectile by the action of a combustible propellant.

2 For the purposes of this Schedule, the following terms have the meaning given to them in the Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items—

“development”;
“production”;
“software”;
“technology”;
“use”.

SCHEDULE 3 ¶

Definitions used in Part 5 (Trade)

Regulation 32

PART 1 General¶

^I1211 Definitions¶

1 For the purposes of this Schedule—

a a thing “falls within” a commodity code if it is, or would be, classified under that commodity code, as set out in the Goods Classification Table;

b a thing “falls within” a chapter if it is, or would be, classified under that chapter, as set out in the Goods Classification Table;

c where a commodity code or chapter is preceded by “ex”, the goods specified in this Schedule constitute only a part of the scope of the commodity code or chapter and must fall within both the description given to that code or chapter in this Schedule and the scope of the code or chapter in the Goods Classification Table.

2 For the purposes of determining whether or not a thing is, or would be, “classified” in accordance with sub-paragraph (1), the rules of interpretation contained in the following have effect—

a Part Two (Goods Classification Table Rules of Interpretation) of the Tariff of the United Kingdom;

b notes to a section or chapter of the Goods Classification Table.

3 For the purposes of this paragraph—

“commodity code” includes a code denoting a heading or sub-heading;
“the Goods Classification Table” means the table so named in Annex Ⅰ in Part Three of the Tariff of the United Kingdom;
“the Tariff of the United Kingdom” means the document containing the legal classification and import rate for products being imported into the United Kingdom, entitled “The Tariff of the United Kingdom” as revised or reissued from time to time ^M61, including by any document published under regulations made under section 8(1) of the Taxation (Cross-border Trade) Act 2018 ^M62 replacing the same in whole or in part.

PART 2 Goods which could be used for migrant smuggling and human trafficking subject to trade prohibitions¶

^I1222For the purposes of regulation 32, “goods which could be used for migrant smuggling and human trafficking” means any thing which falls within the following commodity codes—

a 8407 21;

b ex 8408 10, provided that it is an outboard motor for marine propulsion with a compression ignition;

c ex 8501 31, provided that it is an electrical outboard motor for marine propulsion of an output not exceeding 750 W;

d ex 8501 32, provided that it is an electrical outboard motor for marine propulsion of an output exceeding 750 W but not exceeding 75 kW;

e ex 8903 10, provided that it is an inflatable vessel for pleasure or sports;

f ex 8903 99, provided that it is an outboard motor boat.

SCHEDULE 4 ¶

Treasury licences: purposes

Regulation 48

PART 1 Designated Persons¶

CHAPTER 1 General purposes¶

^I1231 Basic needs¶

1 To enable the basic needs of a designated person, or (in the case of an individual) any dependent family member of such a person, to be met.

2 In the case of an individual, in sub-paragraph (1), “basic needs” includes—

a medical needs;

b needs for—

i food;

ii payment of insurance premiums;

iii payment of tax;

iv rent or mortgage payments;

v utility payments.

3 In the case of a person other than an individual, in sub-paragraph (1), “basic needs” includes needs for—

a payment of insurance premiums;

b payment of reasonable fees for the provision of property management services;

c payment of remuneration, allowances or pensions of employees;

d payment of tax;

e rent or mortgage payments;

f utility payments.

4 In sub-paragraph (1)—

“dependent” means financially dependent;
“family member” includes—
1. the wife or husband of the designated person;
2. the civil partner of the designated person;
3. any parent or other ascendant of the designated person;
4. any child or other descendant of the designated person;
5. any person who is a brother or sister of the designated person, or a child or other descendant of such a person.

^I1242 Legal services¶

To enable the payment of—

a reasonable professional fees for the provision of legal services, or

b reasonable expenses associated with the provision of legal services.

^I1253 Maintenance of frozen funds and economic resources¶

To enable the payment of—

a reasonable fees, or

b reasonable service charges,

arising from the routine holding or maintenance of frozen funds or economic resources.

^I1264 Extraordinary expenses¶

To enable an extraordinary expense of a designated person to be met.

^F445 Pre-existing judicial decisions etc.¶

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CHAPTER 2 Additional purposes: Libyan Investment Authority and Libyan Africa Investment Portfolio¶

^I1276 Humanitarian assistance activity¶

To enable anything to be done in connection with the performance of any humanitarian assistance activity.

^I1287 Provision of fuel etc. for civilian uses¶

To enable the provision of fuel, electricity and water for strictly civilian uses.

^I1298 Hydrocarbons¶

To enable the resumption of Libyan production and sale of hydrocarbons.

^I1309 Civilian government and public infrastructure¶

To enable the establishment, operation, or strengthening of institutions of civilian government and civilian public infrastructure.

^I13110 Banking sector operations etc.¶

To enable the resumption of banking sector operations, including for the support or facilitation of international trade with Libya.

PART 2 Purposes relating only to UN designated persons¶

^I13211 Prior obligations¶

To enable by the use of a designated person's frozen funds or economic resources, the satisfaction of an obligation of that person arising under a contract, provided that—

a the obligation arose before the date on which the person became a designated person, and

b no payments are made to another designated person, whether directly or indirectly.

11A Pre-existing judicial decisions etc.¶

To enable, by the use of a designated person's frozen funds or economic resources, the implementation or satisfaction (in whole or in part) of a judicial, administrative or arbitral decision or lien, provided that—

a the funds or economic resources so used are the subject of the decision or lien,

b the decision or lien—

i was made or established before the date on which the person became a designated person, and

ii is enforceable in the United Kingdom, and

c the use of the frozen funds or economic resources does not directly or indirectly benefit any other designated person.

PART 3 Purposes relating only to non-UN designated persons¶

^I13312 Prior obligations¶

To enable, by the use of a designated person's frozen funds or economic resources, the satisfaction of an obligation of that person (whether arising under a contract, other agreement or otherwise), provided that—

a the obligation arose before the date on which the person became a designated person, and

b no payments are made to another designated person, whether directly or indirectly.

^I13413 Humanitarian assistance activity¶

To enable anything to be done in connection with the performance of any humanitarian assistance activity.

^I13514 Diplomatic missions etc.¶

To enable anything to be done in order that the functions of a diplomatic mission or consular post in Libya, or of an international organisation enjoying immunities in accordance with international law, may be carried out.

^I13615 Extraordinary situation¶

To enable anything to be done to deal with an extraordinary situation.

15A Insolvency¶

1 To enable anything to be done in connection with—

a any insolvency and restructuring proceedings relating to an insolvent person,

b any other relevant proceedings relating to a person other than an individual, or

c proceedings under the insolvency law of a country other than the United Kingdom that correspond to the proceedings in paragraph (a) or (b),

provided that any payments made directly or indirectly to a designated person are credited to a frozen account.

2 In this paragraph—

“enactment” has the meaning given in section 54(6) of the Act;
“insolvency and restructuring proceedings” includes—
1. the regimes and proceedings set out in Parts A1 to 6 of the Insolvency Act 1986, Parts 1A to 7 of the Insolvency (Northern Ireland) Order 1989 and so much of Part 1 of that Order as applies for the purposes of those Parts, but excluding—
  1. proceedings under Chapter 3 of Part 4 (members’ voluntary winding up) of the Insolvency Act 1986, and
  2. proceedings under Chapter 3 of Part 5 (members’ voluntary winding up) of the Insolvency (Northern Ireland) Order 1989;
2. arrangements and reconstructions under Part 26 of the Companies Act 2006;
3. arrangements and reconstructions for companies in financial difficulty under Part 26A of the Companies Act 2006;
4. the proceedings and arrangements set out in the Bankruptcy (Scotland) Act 2016;
“insolvent person” means a person (“P”), other than an individual, where—
1. P is unable to pay its debts as they fall due, or
2. the value of P’s assets is less than the amount of its liabilities, taking into account its contingent and prospective liabilities;
“other relevant proceedings” means—
1. the regimes and proceedings set out in—
  1. sections 367 and 377A to 377J of, or Schedule 19C to, the Financial Services and Markets Act 2000;
  2. the Insurers (Reorganisation and Winding Up) (Lloyd’s) Regulations 2005;
  3. Parts 1 to 3 of the Banking Act 2009 (including Parts 2 and 3 as applied to building societies by section 90C of the Building Societies Act 1986);
  4. the Investment Bank Special Administration Regulations 2011;
  5. Part 6 of the Financial Services (Banking Reform) Act 2013;
  6. the Payment and Electronic Money Institution Insolvency Regulations 2021;
  7. Schedule 11 to the Financial Services and Markets Act 2023;
2. proceedings under any other special administration regime;
“special administration regime” means provision made by an enactment for an insolvency procedure that—
1. is similar or corresponds to the ordinary administration procedure provided for by Schedule B1 to the Insolvency Act 1986 or Schedule B1 to the Insolvency (Northern Ireland) Order 1989, and
2. provides for the administrator to have one or more special objectives instead of or in addition to the objectives of ordinary administration.

15B Judicial decisions etc.¶

To enable the implementation or satisfaction (in whole or in part) of a judicial, administrative or arbitral decision or lien which is enforceable in the United Kingdom (the “judicial decision”), provided that—

a where funds or economic resources are made available to a designated person, they are credited to a frozen account or otherwise frozen by virtue of regulation 12;

b where funds or economic resources are made available by a person (including a designated person) to a designated person to enable the implementation or satisfaction of the judicial decision, no other designated person benefits, directly or indirectly.

PART 4 Interpretation¶

^I13716

1 In this Schedule—

“consular post” has the same meaning as in the Vienna Convention on Consular Relations done at Vienna on 24 April 1963 ^M63, and any reference to the functions of a consular post is to be read in accordance with that Convention;
“designated person” means a designated person within the meaning of regulation 11 or 17;
“diplomatic mission” and any reference to the functions of a diplomatic mission, is to be read in accordance with the Vienna Convention on Diplomatic Relations done at Vienna on 18 April 1961 ^M64;
“frozen account” has the meaning given in regulation 43(7);
“frozen funds or economic resources” means funds or economic resources frozen by virtue of regulation 12 or 18, and any reference to a person's frozen funds or economic resources is to funds or economic resources frozen as a consequence of the designation of that person for the purpose of that regulation;
“humanitarian assistance activity” includes the work of international and non-governmental organisations carrying out relief activities in Libya for the benefit of the civilian population there.

2 For the purposes of this Schedule, references to a designated person, in so far as they relate to a designated person within the meaning of regulation 11, are to be read as including a person (“C”) who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (“P”).

3 When determining for the purposes of paragraph 11, 11A or 12 when C became a designated person, C is to be treated as having become a designated person at the same time as P.

Explanatory Note¶

(This note is not part of the Regulations)

These Regulations are made under the Sanctions and Anti-Money Laundering Act 2018 (c.13) to establish a sanctions regime in relation to Libya. The Regulations are made for the purposes of complying with obligations the United Kingdom has by virtue of United Nations Security Council resolutions relating to Libya, and for the purposes of promoting respect for human rights in Libya, promoting the peace, stability and security of Libya, promoting the successful completion of Libya's political transition, and preventing migrant smuggling and human trafficking in relation to Libya.

Following the UK's withdrawal from the European Union these Regulations will replace the EU sanctions regime in relation to Libya. That EU regime is currently implemented via an EU Council Decision and Regulation.

These Regulations provide that persons who are listed by the UN are designated persons in the UK. The Regulations also confer a power on the Secretary of State to designate further persons who are, or have been, involved in certain specified activities in Libya. Designated persons may be excluded from the United Kingdom and/or may be made subject to financial sanctions, including having their funds or economic resources frozen. There are also specific financial sanctions giving effect to a partial asset-freeze imposed by the United Nations in respect of two entities named in Annex II of resolution 1973 adopted by the UN Security Council on 17 March 2011. These Regulations also impose trade restrictions in relation to military goods, items which could be used to repress the civilian population of Libya (as specified in Schedule 2 to the Regulations) and on certain goods which could be used for human trafficking or the smuggling of migrants (as specified in Schedule 3 to the Regulations). The Regulations also impose restrictions in relation to certain aircraft and ships, and certain activities which enable or facilitate the conduct of armed hostilities in Libya.

The Regulations provide for exceptions to this sanctions regime, in particular in relation to financial sanctions (for example to allow for frozen accounts to be credited with interest or other earnings) and also acts done for the purpose of national security or the prevention of serious crime. The Regulations also confer powers on the Secretary of State and the Treasury to issue licences in respect of activities that would otherwise be prohibited under certain sanctions. Schedule 4 to these Regulations sets out the purposes pursuant to which the Treasury may issue licences in certain cases in respect of the financial sanctions measures.

The Regulations make it a criminal offence to contravene, or circumvent, any of the prohibitions in these Regulations and prescribe the mode of trial and penalties that apply to such offences. The Regulations also confer powers on specified maritime enforcement officers to stop and search ships in international and foreign waters for the purpose of enforcing specified trade sanctions and to seize goods found on board ships which are being, or have been, dealt with in contravention, or deemed contravention, of those prohibitions. The Regulations prescribe powers for the provision and sharing of information to enable the effective implementation and enforcement of the sanctions regime.

These Regulations revoke Council Regulation (EU) 2016/44 (concerning restrictive measures in view of the situation in Libya and repealing Regulation (EU) No 204/2011). These Regulations also revoke the Libya (European Union Financial Sanctions) Regulations 2016, the Libya (Financial Sanctions) Order 2011 and the Export Control (Libya Sanctions) Order 2016.

An Impact Assessment has not been produced for these Regulations, as they are intended to ensure existing sanctions remain in place following the United Kingdom's withdrawal from the European Union. These Regulations are intended to deliver substantially the same policy effects as the existing European Union sanctions. An Impact Assessment was, however, produced for the Sanctions and Anti-Money Laundering Act 2018 and can be found at: https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/653271/Sanctions_and_Anti-Money_Laundering_Bill_Impact_Assessment_18102017.pdf.

Footnotes

M1
The power to make regulations under Part 1 of the Sanctions and Anti-Money Laundering Act 2018 is conferred on an appropriate Minister. Section 1(9)(a) of the Act defines an “appropriate Minister” as including the Secretary of State.
M2
2018 c.13. Section 17(5)(b)(i) (enforcement) is prospectively amended by the Sentencing Act 2020 (c. 17) Schedule 24, paragraph 443(1).
M3
Schedule 1 to the Interpretation Act 1978 (c.30) provides that “IP completion day” has the same meaning as in the European Union (Withdrawal Agreement) Act 2020 (c.1) (see section 39(1) to (5) of that Act).
M4
1979 c.2. Amendments have been made to this Act and are cited, where relevant, in respect of the applicable regulations.
M5
OJ No. L 012, 19.1.2016, p. 1.
M6
“Person” is defined by section 9(5) of the Sanctions and Anti-Money Laundering Act 2018 to include (in addition to an individual and a body of persons corporate or unincorporate) any organisation and any association or combination of persons.
M7
The measures in relation to designated ships provided for in paragraph 10 of resolution 2146 have been renewed by paragraph 14 of resolution 2213 (2015) adopted by the Security Council on 27 March 2015, paragraph 1 of resolution 2278 (2016) adopted by the Security Council on 31 March 2016, paragraph 2 of resolution 2362 (2017) adopted by the Security Council on 29 June 2017, paragraph 2 of resolution 2441 (2018) adopted by the Security Council on 5 November 2018 and paragraph 2 of resolution 2509 (2020) adopted by the Security Council on 11 February 2020.
M8
“Financial services” is defined in section 61 of the Act.
M9
“Funds” and “economic resources” are defined in section 60 of the Act.
M10
Section 13 of the Act requires that where the purposes of a provision of regulations under section 1 include compliance with a UN obligation to take particular measures in relation to UN-named persons (which is the case with the regulations mentioned in regulation 10), the regulations must provide for those persons to be designated persons for the purposes of that provision.
M11
1971 c.77. Section 8B was inserted by the Immigration and Asylum Act 1999 (c.33), section 8 and amended by the Immigration Act 2016 (c.19), section 76; and the Sanctions and Anti-Money Laundering Act 2018, section 59 and Schedule 3, Part 1.
M12
S.I. 2008/3231. Schedule 2 was substituted by S.I. 2017/85 and subsequently amended by S.I. 2017/697; S.I. 2018/165; S.I. 2018/939; S.I. 2019/137; and S.I. 2019/989. There are other instruments which amend other parts of the Order, which are not relevant to these Regulations.
M13
2000 c.8. Section 142D was inserted by the Financial Services (Banking Reform) Act 2013 (c.33), section 4(1).
M14
Section 142A was inserted by the Financial Services (Banking Reform) Act 2013, section 4(1).
M15
Part 4A was inserted by the Financial Services Act 2012 (c.21), section 11(2) and most recently amended by S.I. 2018/546; it is prospectively amended by S.I. 2019/632.
M16
Section 22 was amended by the Financial Guidance and Claims Act 2018 (c.10), section 27(4); the Financial Services Act 2012 (c.21), section 7(1); and S.I. 2018/135.
M17
S.I. 2001/544 as most recently amended by S.I. 2019/679; S.I. 2020/117; and S.I. 2020/480; and it is prospectively amended by S.I. 2018/1149; S.I. 2108/1403; S.I. 2019/632; S.I. 2019/660; S.I. 2019/710; S.I. 2019/1361.
M18
Schedule 2 was amended by the Regulation of Financial Services (Land Transactions) Act 2005 (c.24), section 1; the Dormant Bank and Building Society Accounts Act 2008 (c.31), section 15 and Schedule 2, paragraph 1; the Financial Services Act 2012, sections 7(2) to (5) and 8; the Financial Guidance and Claims Act 2018, section 27(13); S.I. 2013/1881; S.I. 2018/135; and it is prospectively amended by S.I. 2019/632.
M19
2006 c.46.
M20
2014 c.2.
M21
2005 c.19.
M22
1979 c.38. Section 1 was amended by the Law Reform (Miscellaneous Provisions) (Scotland) Act 1985 (c.73), Schedule 1, paragraph 40; the Planning (Consequential Provisions) Act 1990 (c.11), Schedule 2, paragraph 42; the Planning (Consequential Provisions) (Scotland) Act 1997 (c.11), Schedule 2, paragraph 28; the Planning Act (Northern Ireland) 2011 (c.25), Schedule 6, paragraph 21; the Enterprise and Regulatory Reform Act 2013 (c.24), section 70; S.I. 1991/1220; S.I. 1991/2684; S.S.I. 2000/121 and S.I. 2001/1283.
M23
Section 1210 was amended by S.I. 2008/565; S.I. 2008/1950; S.I. 2011/99; S.I. 2012/1809; S.I. 2013/3115; S.I. 2017/516; and S.I. 2017/1164; and it is prospectively amended by S.I. 2019/177.
M24
Section 77A was inserted by the Finance Act 1987 (c.16), section 10 and amended by S.I. 1992/3095.
M25
S.I. 1991/2724 is amended by S.I. 1992/3095; S.I. 1993/3014; and S.I. 2011/1043 and is prospectively revoked by S.I. 2018/1247.
M26
2017 c.3.
M27
Section 1(8) of the Act defines an “international obligation” as an obligation of the United Kingdom created or arising by or under any international agreement.
M28
2016 c.25. Amendments have been made by the Policing and Crime Act 2017, Schedule 9, paragraph 74; the Data Protection Act 2018 (c.12), Schedule 19, paragraphs 198-203; the Counter-Terrorism and Border Security Act 2019 (c. 3) Schedule 4, paragraph 33; the Sanctions and Anti-Money Laundering Act 2018, section 59(4), Schedule 3, paragraph 7; the Crime (Overseas Production Orders) Act 2019 (c. 5) section 16; S.I. 2018/378; S.I. 2018/652; S.I. 2018/905; S.I. 2018/1123; S.I. 2019/419; S.I. 2019/742; S.I. 2019/ 939; and S.I. 2020/661. Saving provisions are made by S.I. 2017/859.
M29
2018 c.12. There are amendments to this Act but none are relevant to these Regulations.
M30
1995 c.46.
M31
1925 c.86. Section 33 was amended by the Statute Law (Repeals) Act 2004 (c.14), section 1(1) and Schedule 1, Part 17. Other amendments have been made to section 33 that are not relevant to these Regulations.
M32
1980 c.43. Amendments have been made to Schedule 3 that are not relevant to these Regulations.
M33
1945 c. 15 (N.I.).
M34
S.I. 1981/1675 (N.I. 26).
M35
The definition of “assigned matter” in section 1(1) of CEMA was amended by the Commissioners for Revenue and Customs Act 2005 (c.11), Schedule 4, paragraph 22(a); the Scotland Act 2012 (c.11), section 24(7); and the Wales Act 2014 (c.29), section 7(1).
M36
Section 138 of CEMA was amended by the Police and Criminal Evidence Act 1984 (c.60), section 114(1), Schedule 6, paragraph 37, and Schedule 7, Part 1; the Finance Act 1988 (c.39), section 11; the Serious Organised Crime and Police Act 2005 (c.15), Schedule 7, paragraph 54; S.I. 1989/1341 (N.I. 12); and S.I. 2007/288.
M37
“the customs and excise Acts” is defined in section 1 of CEMA.
M38
Section 145 of CEMA was amended by the Police and Criminal Evidence Act 1984, section 114(1); the Commissioners for Revenue and Customs Act 2005 (c.11), Schedule 4, paragraph 23(a); and S.I. 2014/834. Section 147 was amended by the Magistrates Courts Act 1980 (c.43), section 154 and Schedule 7, paragraph 176; the Criminal Justice Act 1982 (c.48), section 77, Schedule 14, paragraph 42; the Finance Act 1989 (c.26), section 16(2); and the Criminal Justice Act 2003 (c.44), section 41, Schedule 3, paragraph 50. Section 152 was amended by the Commissioners for Revenue and Customs Act 2005, section 50, Schedule 4, paragraph 26, and section 52, Schedule 5. Section 155 was amended by the Commissioners for Revenue and Customs Act 2005, section 50, Schedule 4, paragraph 27, and section 52, Schedule 5.
M39
The words “7 years” were inserted in section 50(4)(b) of CEMA by the Finance Act 1988, section 12.
M40
The words “7 years” were inserted in section 68(3)(b) of CEMA by the Finance Act 1988, section 12.
M41
The words “7 years” were inserted in section 170(3)(b) of CEMA by the Finance Act 1988, section 12.
M42
2005 c.15. Chapter 1 of Part 2 has been amended by the Terrorism Act 2006 (c.11), section 33(3) and (4); the Northern Ireland (Miscellaneous Provisions) Act 2006 (c.33), sections 26(2) and 30(2) and Schedules 3 and 5; the Bribery Act 2010 (c.23), section 17(2) and Schedule 1; the Criminal Justice and Licensing (Scotland) Act 2010 (asp.13), section 203 and Schedule 7, paragraph 77; the Crime and Courts Act 2013 (c.22), section 15 and Schedule 8, paragraph 157 and 159; the Criminal Finances Act 2017 (c.22), section 51(1); the Sanctions and Anti-Money Laundering Act 2018, section 59(4) and Schedule 3, paragraph 4; S.I. 2006/1629; and S.I. 2014/834.
M43
See section 143(4)(f) and (4A), as inserted by the Sanctions and Anti Money Laundering Act 2018, Schedule 3, paragraph 8(1) and (3).
M44
1987 c.4. Section 1 was amended by the Police Act 1996 (c.16), Schedule 7, paragraph 41; the Police (Northern Ireland) Act 1998 (c.32), Schedule 4, paragraph 16; the Police Reform Act 2002 (c.30), section 79(3); and S.I. 2013/602.
M45
2012 asp 8.
M46
1996 c.16. Section 27 was amended by the Police and Justice Act 2006 (c.48), Schedule 2, paragraph 23; the Policing and Crime Act 2009 (c.26), Schedule 7, paragraphs 1 and 6; and the Police Reform and Social Responsibility Act 2011 (c.13), Schedule 16, paragraph 26.
M47
1847 c.27. Section 79 was amended by S.I. 2006/2167.
M48
2013 c.23.
M49
1964 c.40. Section 16 was amended by section 29(2) of the Wales Act 2017 (c.4); S.I. 1970/1681; and S.I. 1999/672. Other amendments have been made to section 16 that are not relevant to these Regulations.
M50
2009 c.11. Designated customs officials are designated, as either a general customs official or a customs revenue official, under sections 3 and 11 of this Act respectively.
M51
2013 c.22.
M52
Command 8941.
M53
Articles 37 and 38 are prospectively amended by S.I. 2019/137. Article 37 has been amended by S.I. 2012/1910. Article 38 has been amended by S.I. 2017/85.
M54
S.I. 2017/478, to which there are amendments not relevant to these Regulations.
M55
S.I. 2016/45 as amended by S.I. 2017/560, S.I. 2017/754 and S.I. 2018/682 and prospectively amended by S.I. 2018/1149.
M56
S.I. 2011/548, as amended by S.I. 2011/605 (revoked by S.I. 2016/45), S.I. 2013/472, S.I. 2013/534, S.I. 2018/682 and S.I. 2018/1149.
M57
S.I. 2016/787 as amended by S.I. 2017/1311.
M58
OJ L 058, 3.3.2011, p.1
M59
1986 c.45.
M60
S.I. 1989/2405 (N.I. 19).
M61
The Tariff of the United Kingdom, Version 1.0 dated 8 December 2020 is available electronically from:
https://www.gov.uk/government/publications/reference-document-for-the-customs-tariff-establishment-eu-exit-regulations-2020
. A hard copy is available for inspection free of charge at the offices of HMRC at 100 Parliament Street, London, SW1A 2BQ.
M62
2018 ch.22.
M63
United Nations Treaty Series, vol. 596, p.261.
M64
United Nations Treaty Series, vol. 500, p.95.
I1
Reg. 1 in force at 30.12.2020, see reg. 1(2)(a)
I2
Reg. 2 in force at 30.12.2020, see reg. 1(2)(b)
I3
Reg. 4 in force at 30.12.2020, see reg. 1(2)(c)
I4
Reg. 5 in force at 30.12.2020, see reg. 1(2)(d)
I5
Reg. 6 in force at 30.12.2020, see reg. 1(2)(e)
I6
Reg. 7 in force at 30.12.2020, see reg. 1(2)(f)
I7
Reg. 8 in force at 30.12.2020, see reg. 1(2)(g)
I8
Reg. 10 in force at 30.12.2020, see reg. 1(2)(h)
I9
Reg. 11 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I10
Reg. 12 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I11
Reg. 13 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I12
Reg. 14 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I13
Reg. 15 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I14
Reg. 16 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I15
Reg. 17 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I16
Reg. 18 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I17
Reg. 19 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I18
Reg. 20 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I19
Reg. 21 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I20
Reg. 32 in force at 30.12.2020, see reg. 1(2)(i)
I21
Sch. 1 para. 1 in force at 30.12.2020, see reg. 1(2)(j)
I22
Sch. 1 para. 2 in force at 30.12.2020, see reg. 1(2)(j)
I23
Sch. 1 para. 3 in force at 30.12.2020, see reg. 1(2)(j)
I24
Sch. 1 para. 4 in force at 30.12.2020, see reg. 1(2)(j)
I25
Sch. 1 para. 5 in force at 30.12.2020, see reg. 1(2)(j)
I26
Sch. 1 para. 6 in force at 30.12.2020, see reg. 1(2)(j)
I27
Sch. 1 para. 7 in force at 30.12.2020, see reg. 1(2)(j)
I28
Sch. 1 para. 8 in force at 30.12.2020, see reg. 1(2)(j)
I29
Sch. 1 para. 9 in force at 30.12.2020, see reg. 1(2)(j)
I30
Sch. 1 para. 10 in force at 30.12.2020, see reg. 1(2)(j)
I31
Sch. 1 para. 11 in force at 30.12.2020, see reg. 1(2)(j)
I32
Sch. 1 para. 12 in force at 30.12.2020, see reg. 1(2)(j)
I33
Sch. 1 para. 13 in force at 30.12.2020, see reg. 1(2)(j)
I34
Sch. 1 para. 14 in force at 30.12.2020, see reg. 1(2)(j)
I35
Reg. 55 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I36
Reg. 61 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I37
Reg. 67 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I38
Reg. 71 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I39
Reg. 72 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I40
Reg. 69 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I41
Reg. 70 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I42
Reg. 73 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I43
Reg. 74 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I44
Reg. 82 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I45
Reg. 83 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I46
Reg. 84 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I47
Reg. 85 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I48
Reg. 3 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I49
Reg. 9 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I50
Reg. 22 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I51
Reg. 23 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I52
Reg. 24 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I53
Reg. 25 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I54
Reg. 26 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I55
Reg. 27 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I56
Reg. 28 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I57
Reg. 29 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I58
Reg. 30 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I59
Reg. 31 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I60
Reg. 33 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I61
Reg. 34 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I62
Reg. 35 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I63
Reg. 36 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I64
Reg. 37 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I65
Reg. 38 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I66
Reg. 39 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I67
Reg. 40 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I68
Reg. 41 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I69
Reg. 42 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I70
Reg. 43 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I71
Reg. 44 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I72
Reg. 45 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I73
Reg. 46 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I74
Reg. 47 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I75
Reg. 48 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I76
Reg. 49 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I77
Reg. 50 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I78
Reg. 51 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I79
Reg. 52 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I80
Reg. 53 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I81
Reg. 54 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I82
Reg. 56 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I83
Reg. 57 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I84
Reg. 58 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I85
Reg. 59 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I86
Reg. 60 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I87
Reg. 62 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I88
Reg. 63 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I89
Reg. 64 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I90
Reg. 65 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I91
Reg. 66 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I92
Reg. 68 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I93
Reg. 75 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I94
Reg. 76 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I95
Reg. 77 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I96
Reg. 78 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I97
Reg. 79 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I98
Reg. 80 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I99
Reg. 81 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I100
Reg. 86 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I101
Reg. 87 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I102
Reg. 88 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I103
Reg. 89 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I104
Sch. 2 para. 1 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I105
Sch. 2 para. 2 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I106
Sch. 2 para. 3 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I107
Sch. 2 para. 4 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I108
Sch. 2 para. 5 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I109
Sch. 2 para. 6 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I110
Sch. 2 para. 7 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I111
Sch. 2 para. 8 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I112
Sch. 2 para. 9 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I113
Sch. 2 para. 10 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I114
Sch. 2 para. 11 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I115
Sch. 2 para. 12 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I116
Sch. 2 para. 13 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I117
Sch. 2 para. 14 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I118
Sch. 2 para. 15 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I119
Sch. 2 para. 16 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I120
Sch. 2 para. 17 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I121
Sch. 3 para. 1 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I122
Sch. 3 para. 2 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I123
Sch. 4 para. 1 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I124
Sch. 4 para. 2 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I125
Sch. 4 para. 3 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I126
Sch. 4 para. 4 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I127
Sch. 4 para. 6 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I128
Sch. 4 para. 7 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I129
Sch. 4 para. 8 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I130
Sch. 4 para. 9 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I131
Sch. 4 para. 10 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I132
Sch. 4 para. 11 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I133
Sch. 4 para. 12 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I134
Sch. 4 para. 13 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I135
Sch. 4 para. 14 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I136
Sch. 4 para. 15 in force at 31.12.2020 on IP completion day, see reg. 1(3)
I137
Sch. 4 para. 16 in force at 31.12.2020 on IP completion day, see reg. 1(3)
F1
Words in reg. 66(5) substituted (28.4.2022) by The Criminal Justice Act 2003 (Commencement No. 33) and Sentencing Act 2020 (Commencement No. 2) Regulations 2022 (S.I. 2022/500), regs. 1(2), 5(2), Sch. Pt. 2
F2
Reg. 64A inserted (9.8.2022) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2022 (S.I. 2022/819), regs. 1(2), 17(5)
F3
Words in reg. 65(1) inserted (9.8.2022) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2022 (S.I. 2022/819), regs. 1(2), 17(6)(a)
F4
Words in reg. 65(2) substituted (9.8.2022) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2022 (S.I. 2022/819), regs. 1(2), 17(6)(b)
F5
Words in reg. 65(4) substituted (9.8.2022) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2022 (S.I. 2022/819), regs. 1(2), 17(6)(c)(i)
F6
Words in reg. 65(4) substituted (9.8.2022) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2022 (S.I. 2022/819), regs. 1(2), 17(6)(c)(ii)
F7
Words in reg. 48(6) inserted (9.8.2022) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2022 (S.I. 2022/819), regs. 1(2), 17(3)
F8
Words in reg. 43(3) substituted (9.8.2022) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2022 (S.I. 2022/819), regs. 1(2), 17(2)
F9
Reg. 57(3A)-(3C) inserted (30.8.2022) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2022 (S.I. 2022/819), regs. 1(3)(p), 17(4)(b)
F10
Reg. 57(1)(h)(i) inserted (30.8.2022) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2022 (S.I. 2022/819), regs. 1(3)(p), 17(4)(a)
F11
Words in reg. 66(1)(a) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022 (Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 2(2), Sch. Pt. 2
F12
Words in reg. 66(2)(a) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022 (Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 2(2), Sch. Pt. 2
F13
Words in reg. 66(3)(a) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022 (Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 2(2), Sch. Pt. 2
F14
Words in reg. 66(5) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022 (Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 2(2), Sch. Pt. 2
F15
Reg. 43A inserted (9.2.2023) by The Sanctions (Humanitarian Exception) (Amendment) Regulations 2023 (S.I. 2023/121), regs. 1(2), 14(2)
F16
Pt. 3A inserted (5.6.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2024 (S.I. 2024/644), regs. 1(2), 17(4)
F17
Reg. 48A inserted (5.6.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2024 (S.I. 2024/644), regs. 1(2), 17(5)
F18
Reg. 52A inserted (5.6.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2024 (S.I. 2024/644), regs. 1(2), 17(7)
F19
Words in reg. 2 inserted (5.6.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2024 (S.I. 2024/644), regs. 1(2), 17(2)
F20
Reg. 5(1)(aa) inserted (5.6.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2024 (S.I. 2024/644), regs. 1(2), 17(3)
F21
Words in reg. 51 inserted (5.6.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2024 (S.I. 2024/644), regs. 1(2), 17(6)
F22
Words in reg. 64(1)(b)(i) inserted (5.6.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2024 (S.I. 2024/644), regs. 1(2), 17(8)
F23
Words in reg. 66(3) inserted (5.6.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2024 (S.I. 2024/644), regs. 1(2), 17(9)
F24
Reg. 71(3A)-(3D) inserted (5.6.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2024 (S.I. 2024/644), regs. 1(2), 17(10)(a)
F25
Reg. 71(7) inserted (5.6.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2024 (S.I. 2024/644), regs. 1(2), 17(10)(b)
F26
Reg. 43ZA inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(6)
F27
Reg. 56A inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(10)
F28
Sch. 4 para. 11A and inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(14)(b)
F29
Sch. 4 paras. 15A, 15B inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(14)(c)
F30
Words in reg. 2 inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(2)
F31
Reg. 14(3A) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(3)
F32
Reg. 16(3A) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(4)
F33
Reg. 43(9)(10) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(5)
F34
Reg. 48(9)(10) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(7)
F35
Words in reg. 51(6) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(8)(a)
F36
Word in reg. 51(6) substituted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(8)(b)
F37
Words in reg. 51(6) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(8)(c)
F38
Word in reg. 51(6) substituted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(8)(d)
F39
Reg. 56(4A)-(4C) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(9)(b)
F40
Reg. 56(6A) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(9)(c)
F41
Words in reg. 56(1)(a)(ii) substituted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(9)(a)
F42
Words in reg. 64A(1) substituted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(12)
F43
Words in reg. 89(3)(c) substituted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(13)
F44
Sch. 4 para. 5 omitted (5.12.2024) by virtue of The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(14)(a)
F45
Sch. 4 para. 16 renumbered as Sch. 4 para. 16(1) (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(14)(d)(i)
F46
Words in Sch. 4 para. 16(1) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(14)(d)(ii)
F47
Sch. 4 para. 16(2)(3) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 31(14)(d)(iii)
F48
Reg. 5A inserted (18.4.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2025 (S.I. 2025/394), regs. 1(2), 26(3)
F49
Words in reg. 5(1) inserted (18.4.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2025 (S.I. 2025/394), regs. 1(2), 26(2)
F50
Reg. 6 heading substituted (18.4.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2025 (S.I. 2025/394), regs. 1(2), 26(4)(a)
F51
Reg. 6(1) omitted (18.4.2025) by virtue of The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2025 (S.I. 2025/394), regs. 1(2), 26(4)(b)
F52
Words in reg. 6(2) substituted (18.4.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2025 (S.I. 2025/394), regs. 1(2), 26(4)(c)
F53
Reg. 8(3)(3A) substituted for reg. 8(3) (18.4.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2025 (S.I. 2025/394), regs. 1(2), 26(5)(a)
F54
Reg. 8(4) substituted (18.4.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) Regulations 2025 (S.I. 2025/394), regs. 1(2), 26(5)(b)
F55
Reg. 57(3D)-(3K) inserted (14.5.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2)(z3), 31(11)(b)
F56
Reg. 57(1)(j)-(m) inserted (14.5.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2)(z3), 31(11)(a)
F57
Reg. 57(5)(da) inserted (14.5.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2)(z3), 31(11)(c)
F58
Reg. 43ZB inserted (10.7.2025) by The Sanctions (EU Exit) (Treasury Debt) Regulations 2025 (S.I. 2025/712), regs. 1(1), 5(2)
F59
Reg. 89(3)(ba) inserted (10.7.2025) by The Sanctions (EU Exit) (Treasury Debt) Regulations 2025 (S.I. 2025/712), regs. 1(1), 5(3)(b)
F60
Word in reg. 89(3)(b) omitted (10.7.2025) by virtue of The Sanctions (EU Exit) (Treasury Debt) Regulations 2025 (S.I. 2025/712), regs. 1(1), 5(3)(a)
F61
Words in reg. 43ZA(8) omitted (19.1.2026) by virtue of The Public Offers and Admissions to Trading (Amendment and Consequential and Transitional Provisions) Regulations 2025 (S.I. 2025/1076), reg. 1(3), Sch. para. 36(b); S.I. 2025/1078, reg. 5(b)
F62
Words in reg. 43ZA(8) substituted (19.1.2026) by The Public Offers and Admissions to Trading (Amendment and Consequential and Transitional Provisions) Regulations 2025 (S.I. 2025/1076), reg. 1(3), Sch. para. 36(a); S.I. 2025/1078, reg. 5(b)
C1
Regulations extended (British overseas territories) (with modifications) (15.1.2021) by The Libya (Sanctions) (Overseas Territories) Order 2021 (S.I. 2021/37), regs. 1(1), 2, Schs. 1, 2 (as amended (15.6.2023) by The Libya (Sanctions) (Overseas Territories) (Amendment) Order 2023 (S.I. 2023/656), regs. 1(1), 3; and (11.12.2025) by The Sanctions (Miscellaneous Amendments) (Overseas Territories) Order 2025 (S.I. 2025/1307), art. 1(1), Sch. 30)