The Iran (Sanctions) (Human Rights) (EU Exit) Regulations 2019

Made: 29th January 2019

Laid before Parliament: 31st January 2019

Coming into force in accordance with regulation 1(2)

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PART 1 — General

Citation and commencement

1

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Interpretation

2

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Application of prohibitions and requirements outside the United Kingdom

3

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Purposes

4

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PART 2 — Designation of persons

Power to designate persons

5

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Designation criteria

6

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Meaning of “owned or controlled directly or indirectly”

7

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Notification and publicity where designation power used

8

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Confidential information in certain cases where designation power used

9

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PART 3 — Finance

Meaning of “designated person” in Part 3

10

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Asset-freeze in relation to designated persons

11

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Making funds available to designated person

12

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Making funds available for benefit of designated person

13

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Making economic resources available to designated person

14

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Making economic resources available for benefit of designated person

15

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Circumventing etc prohibitions

16

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PART 4 — Immigration

Immigration

17

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PART 5 — Trade

CHAPTER 1 — Interpretation

Definition of “restricted goods” and “restricted technology”

18

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Definition of “internal repression goods” and “internal repression technology”

19

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Definition of “interception and monitoring goods” and “interception and monitoring technology”

20

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Definition of “interception and monitoring services”

21

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Interpretation of other expressions used in this Part

22

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CHAPTER 2 — Restricted goods and restricted technology

Export of restricted goods

23

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Supply and delivery of restricted goods

24

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Making restricted goods and restricted technology available

25

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Transfer of restricted technology

26

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Technical assistance relating to restricted goods and restricted technology

27

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Financial services and funds relating to restricted goods and restricted technology

28

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

29

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CHAPTER 3 — Interception and monitoring services

Provision of interception and monitoring services

30

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CHAPTER 4 — Further provision

Circumventing etc prohibitions

31

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Defences

32

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PART 6 — Exceptions and licences

Finance: exceptions from prohibitions

33

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

34

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Treasury licences

35

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Trade licences

36

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Licences: general provisions

37

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Finance: licensing offences

38

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Trade: licensing offences

39

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Section 8B(1) to (3) of Immigration Act 1971: directions

40

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PART 7 — Information and records

Finance: reporting obligations

41

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“Relevant firm”

42

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Finance: powers to request information

43

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Finance: production of documents

44

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Finance: information offences

45

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Trade: application of information powers in CEMA

46

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General trade licences: records

47

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General trade licences: inspection of records

48

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Disclosure of information

49

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Part 7: supplementary

50

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PART 8 — Enforcement

Penalties for offences

51

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Liability of officers of bodies corporate etc

52

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Jurisdiction to try offences

53

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Procedure for offences by unincorporated bodies

54

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Time limit for proceedings for summary offences

55

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Trade enforcement: application of CEMA

56

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Trade offences in CEMA: modification of penalty

57

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Application of Chapter 1 of Part 2 of Serious Organised Crime and Police Act 2005

58

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Monetary penalties

59

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PART 9 — Maritime enforcement

Exercise of maritime enforcement powers

60

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Maritime enforcement officers

61

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Power to stop, board, search etc

62

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Seizure power

63

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Restrictions on exercise of maritime enforcement powers

64

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Interpretation of Part 9

65

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PART 10 — Supplementary and final provision

Notices

66

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Trade: overlapping offences

67

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Revocation of the Iran (Human Rights) Council Regulation

68

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Other revocations and amendments

69

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Transitional provision: Treasury licences

70

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Transitional provision: trade licences

71

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Transitional provision: pending applications for trade licences

72

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Transitional Provisions: prior obligations

73

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SCHEDULE 1 — Rules for interpretation of regulation 7(2)

Application of Schedule

1

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Joint interests

2

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Joint arrangements

3

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Calculating shareholdings

4

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Voting rights

5

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6

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Rights to appoint or remove members of the board

7

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8

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Shares or rights held “indirectly”

9

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Shares held by nominees

10

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Rights treated as held by person who controls their exercise

11

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12

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Rights exercisable only in certain circumstances etc

13

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Rights attached to shares held by way of security

14

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SCHEDULE 2 — List of internal repression goods and internal repression technology

Firearms and related goods

1

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2

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3

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Vehicles

4

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Explosive substances and related goods

5

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6

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7

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Other goods

8

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9

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10

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11

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12

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13

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Production equipment

14

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Software and technology

15

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16

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Interpretation

17

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SCHEDULE 3 — List of interception and monitoring goods and interception and monitoring technology

Interception and monitoring equipment

1

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2

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Other software and other technology

3

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Interpretation

4

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Acronyms and abbreviations used in this Schedule

5

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SCHEDULE 4 — Treasury licences: purposes

Interpretation

1

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Basic needs

2

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Legal services

3

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Maintenance of frozen funds and economic resources

4

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Extraordinary expenses

5

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Pre-existing judicial decisions etc

6

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Humanitarian assistance activities etc

7

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Diplomatic missions

8

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Extraordinary situation

9

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Prior obligations

10

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Signed

Alan Duncan — Minister of State — 2019-01-29

Explanatory note

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Footnotes

[^f00001]: 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.

[^f00002]: 2018 c.13.

[^f00003]: 1979 c.2. Amendments have been made to this Act and are cited, where relevant, in respect of the applicable regulations.

[^f00004]: OJ L 100 14.4.2011, p.1.

[^f00005]: 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 Act, section 59 and Schedule 3, Part 1.

[^f00006]: 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; and S.I. 2018/939. There are other instruments which amend other parts of the Order, which are not relevant to these Regulations.

[^f00007]: 2006 c.36.

[^f00008]: 2000 c.8. Section 142D was inserted by the Financial Services (Banking Reform) Act 2013 (c.33), section 4(1).

[^f00009]: Section 142A was inserted by the Financial Services (Banking Reform) Act 2013, section 4(1).

[^f00010]: Part 4A was inserted by the Financial Services Act 2012 (c.21), section 11(2) and amended by S.I. 2018/135.

[^f00011]: Section 22 was amended by the Financial Guidance and Claims Act 2018 (c.10), section 27(4); the Financial Services Act 2012, section 7(1); and S.I. 2018/135.

[^f00012]: S.I. 2001/544 as most recently amended by S.I. 2018/1288 and prospectively amended by S.I. 2018/1403.

[^f00013]: Schedule 2 was amended by the Regulation of Financial Services (Land Transactions) Act 2003 (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; and S.I. 2013/1881; and it is prospectively amended by S.I. 2018/135.

[^f00014]: 2006 c.46.

[^f00015]: 2014 c.2.

[^f00016]: 2005 c.19.

[^f00017]: 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 Enterprise and Regulatory Reform Act 2013 (c.24), section 70; S.I. 1991/2684; S.I. 2000/121 and S.I. 2001/1283.

[^f00018]: Section 1210 was amended by S.I. 2008/565; S.I. 2008/567; 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.

[^f00019]: Section 77A was inserted by the Finance Act 1987 (c.16), section 10 and amended by S.I. 1992/3095.

[^f00020]: 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.

[^f00021]: 2017 c.3.

[^f00022]: 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.

[^f00023]: 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; S.I. 2018/652 and S.I. 2018/1123. Saving provisions are made by S.I. 2017/859.

[^f00024]: 2018 c.12. There are amendments to this Act that are not relevant to these Regulations.

[^f00025]: 2003 c.44. Amendments have been made to sections 154(1) and 281(5), but none are relevant to these Regulations.

[^f00026]: 1995 c.46.

[^f00027]: 1925 c.86 as 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.

[^f00028]: 1980 c.43. Amendments have been made to Schedule 3 that are not relevant to these Regulations.

[^f00029]: 1945 c.15 (N.I.).

[^f00030]: S.I. 1981/1675 (N.I. 26).

[^f00031]: 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).

[^f00032]: 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 and Organised Crime and Police Act 2005 (c.15), Schedule 7, paragraph 54; S.I 1989/1341; and S.I. 2007/288.

[^f00033]: “The customs and excise Acts” is defined in section 1 of CEMA.

[^f00034]: 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, Schedule 4, paragraph 23(a); and S.I. 2014/834. Section 147 was amended by the Criminal Justice Act 1982 (c. 48), Schedule 14, paragraph 42; the Finance Act 1989, section 16(2); and the Criminal Justice Act 2003, Schedule 3, paragraph 50. Section 152 was amended by the Commissioners for Revenue and Customs Act 2005, Schedule 4, paragraph 26, and Schedule 5. Section 155 was amended by the Commissioners for Revenue and Customs Act 2005, Schedule, 4, paragraph 27, and Schedule 5.

[^f00035]: The words “7 years” were inserted in section 68(3)(b) of CEMA by the Finance Act 1988, section 12.

[^f00036]: The words “7 years” were inserted in section 170(3)(b) of CEMA by the Finance Act 1988, section 12.

[^f00037]: 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 17(4) and Schedule 8, paragraphs 157 and 159; the Criminal Finances Act 2017 (c.22), section 51(1); the Act, section 59(4) and Schedule 3, paragraph 4; and S.I. 2014/823.

[^f00038]: See section 143(4)(f) and (4A), as inserted by the Act, Schedule 3, paragraph 8(1) and (3).

[^f00039]: 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 (Northern Ireland) Act 2000 (c.32), section 78(2); the Police Reform Act 2002 (c.30), section 79(3); and S.I. 2013/602.

[^f00040]: 2012 asp.8.

[^f00041]: 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, paragraphs 22 and 26.

[^f00042]: 1847 c.27.

[^f00043]: 2013 c.23.

[^f00044]: 1964 c.40. Section 16 has been amended by various instruments but none are relevant to these Regulations.

[^f00045]: 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.

[^f00046]: Cmnd 8941.

[^f00047]: S.I. 2011/1129 as amended by S.I. 2013/472; S.I. 2013/534; S.I. 2017/560; S.I. 2017/754; S.I. 2018/682 and S.I. 2018/1149.

[^f00048]: S.I. 2016/503. No amendments have been made to the articles omitted by this paragraph.

[^f00049]: 1986 c.45.

[^f00050]: S.I. 1989/2405 (N.I. 19).

[^f00051]: United Nations Treaty Series, vol. 596, p. 261.

[^f00052]: United Nations Treaty Series, vol. 500, p. 95.

Editorial notes

Exception for authorised conduct in a relevant country

33A

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

Treasury licences

Trade licences

Licences: general provisions

Finance: licensing offences

Trade: licensing offences

Section 8B(1) to (3) of Immigration Act 1971: directions

Finance: disclosure to the Treasury

49A

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Part 7: supplementary