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The Iran (Sanctions) (Nuclear) (EU Exit) Regulations 2019

Type Statutory-Instrument

Publication 2019-03-05

Last updated 2026-01-19

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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(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) consider 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) the reference to a licence under Part 6 includes—

(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.

Part 7: supplementary

55

(1) A disclosure of information under regulation 54 or 54A 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 .

(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 54 and 54A 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 Treasury licence or a trade licence.

(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) ;

“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 8 — Enforcement

Penalties for offences

56

(1) A person who commits an offence under any provision of Part 3 (Finance) or regulation 43 (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) 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), 43A (director disqualification: licensing offences), 44 (Trade: licensing offences), 52(6) or 53(5) (offences in connection with 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 46(6) or 50 (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.

Liability of officers of bodies corporate etc

57

(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.

Jurisdiction to try offences

58

(1) Where an offence under regulation 9(6) (confidentiality), Part 3 (Finance), regulation 43 (finance: licensing offences) or regulation 46(6) or 50 (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) .

Procedure for offences by unincorporated bodies

59

(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 and Schedule 3 to the Magistrates' Courts Act 1980 ;

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

(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.

Time limit for proceedings for summary offences

60

(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.

Trade enforcement: application of CEMA

61

(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 .

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

(a) Part 5 (Trade),

(b) regulation 44 (trade: licensing offences),

(d) regulation 53(5) (general trade licences: inspection of records).

(3A) The Commissioners may not investigate the suspected commission of a relevant offence listed in paragraph (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 22(3) (supply and delivery of restricted goods from a third country to Iran) insofar as the offence does not relate to military goods, missile-list goods, nuclear-list goods, other restricted goods, graphite and relevant metals;

(b) regulation 23(3) (making available 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, to military goods and military technology, missile-list goods and missile-list technology, nuclear-list goods and nuclear-list technology, other restricted goods and other restricted technology, and graphite and relevant metals;

(c) regulation 25(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, to military goods and military technology, missile-list goods and missile-list technology, nuclear-list goods and nuclear list technology, other restricted goods and restricted technology, or graphite and relevant metals;

(d) regulation 26(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, to military goods and military technology, missile-list goods and missile-list technology, nuclear-list goods and nuclear-list technology, other restricted goods and restricted technology, or graphite and relevant metals;

(e) regulation 27(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, to military goods and military technology, missile-list goods and missile list technology, nuclear-list goods and nuclear-list technology, other restricted goods and restricted technology, or graphite and relevant metals.”.

(3C) Paragraph (3A) also applies to the suspected commission of a relevant offence under any of regulations 44(1) or (2), 52(6) and 53(5) insofar as—

(a) the suspected offence relates to a licence issued under regulation 41 (trade licences), and

(b) the 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 35(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 (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 , 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 (d);

(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 (d), 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 (legal proceedings).

(7) Any term in this regulation that is defined in regulation 34 (interpretation of Part 5: Trade) bears the same meaning as in that regulation.

Trade offences in CEMA: modification of penalty

62

(1) Paragraph (2) applies where a person is guilty of an offence under section 68(2) of CEMA in connection with a prohibition mentioned in regulation 28 (import of certain goods from Iran).

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

(3) Paragraph (4) applies where a person is guilty of an offence under section 170(2) of CEMA in connection with a prohibition mentioned in regulation 21(1)(export of restricted goods to, or for use in, Iran).

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

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

63

Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005 (investigatory powers) applies to any offence under Part 3 (Finance) or regulation 43 (finance: licensing offences).

Monetary penalties

64

The following provisions are to be regarded as not being financial sanctions legislation for the purposes of Part 8 of the Policing and Crime Act 2017 —

(a) regulation 23(1) (making restricted goods and restricted technology available);

(b) regulations 24(1) and 31(1) (transfer of certain technology);

(d) regulation 27(1) (brokering services relating to financial services and funds relating to restricted goods and restricted technology);

(e) regulation 32(1) (arrangements relating to uranium mining and certain restricted goods and technology).

PART 9 — Maritime enforcement

Exercise of maritime enforcement powers

65

(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

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) a prohibition in any of regulations 21 to 24 (trade prohibitions relating to restricted goods and restricted technology);

(b) a prohibition in any of regulations 28 to 31 (import, supply, transfer etc of goods and technology from Iran);

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

(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 67 and 68.

(5) This regulation is subject to regulation 69 (restrictions on exercise of maritime enforcement powers).

Maritime enforcement officers

66

(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 );

(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 , 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 ,

(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 ;

(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 , or a person appointed to act as a constable under provision made by virtue of section 16 of the Harbours Act 1964 ;

(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) ;

(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 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.

Power to stop, board, search etc

67

(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 68, 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.

Seizure power

68

(1) This regulation applies if a maritime enforcement officer is lawfully on a relevant ship (whether in exercise of the powers conferred by regulation 65 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 67(3)(a)(ii).

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

Restrictions on exercise of maritime enforcement powers

69

(1) The authority of the Secretary of State is required before any maritime enforcement power is exercised in reliance on regulation 65 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 65(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 or a UN Security Council Resolution otherwise permits the exercise of the power in relation to the ship.

Interpretation of Part 9

70

(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 65(2).

PART 10 — Supplementary and final provision

Notices

71

(1) This regulation applies in relation to a notice required by regulation 42 (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

(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”— 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 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.

Article 20 of the Export Control Order 2008

72

Article 20 of the Export Control Order 2008 (embargoed destinations) is not to be taken to prohibit anything prohibited by Part 5 (Trade).

Trade: overlapping offences

73

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, and

(b) any provision of Part 5 (Trade) or regulation 44 (trade: licensing offences), 52(6) or 53(5) (offences in connection with record-keeping).

Revocations

74

(1) Council Regulation (EU) No 267/2012 of 23 March 2012 concerning restrictive measures against Iran and repealing Regulation (EU) No 961/2010 is revoked.

(2) The Iran (European Union Financial Sanctions) Regulations 2016 are revoked.

(3) The Export Control (Iran Sanctions) Order 2016 is revoked.

(4) The Iran (Financial Sanctions) Order 2007 is revoked.

Transitional provision: Treasury licences

75

(1) Paragraphs (2) to (4) apply to a licence which—

(a) was granted, or deemed to be granted, by the Treasury under regulation 9 of the 2016 Regulations ,

(b) was in effect immediately before the relevant date, and

(c) authorises conduct which would (on and after the relevant date, 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 the relevant date as if it had been issued by the Treasury under regulation 40(1) (Treasury licences).

(3) Any reference in an existing financial sanctions licence to the 2016 Regulations is to be treated on and after the relevant date as a reference to these Regulations.

(4) Any reference in an existing financial sanctions licence to a prohibition in—

(a) the 2016 Regulations, or

(b) the EU Iran Regulation,

is to be treated on and after the relevant date as a reference to the corresponding prohibition in Part 3.

(5) Paragraph (6) applies where—

(a) an application for a licence, or for the variation of a licence, under the 2016 Regulations was made before the relevant date,

(b) the application is for the authorisation of conduct which would (on and after the relevant date) be prohibited under Part 3, and

(6) The application is to be treated on and after the relevant date as an application for a licence, or for the variation of a licence (as the case may be), under regulation 40(1) (Treasury licences).

(7) In paragraphs (3) and (4), a reference to the 2016 Regulations is to be treated as including a reference to—

(a) the Iran (European Community Financial Sanctions) Regulations 2007 ,

(b) the Iran (European Union Financial Sanctions) Regulations 2010 , or

(8) In this regulation—

“the 2016 Regulations” means the Iran (European Union Financial Sanctions) Regulations 2016;

“the relevant date” means— where regulations under section 56 of the Act provide that Part 3 comes into force at a specified time on a day, that time on that day; otherwise, the date on which Part 3 comes into force.

Transitional provision: trade licences

76

(A1) Paragraph (B1) applies in relation to each licence or authorisation granted by the Secretary of State which—

(a) was in effect immediately before the relevant date, 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), or which requires an authorisation under or pursuant to the Dual-Use Regulation, and

(ii) which would (on or after the relevant date, and in the absence of paragraph (B1)) be prohibited by Part 5 (Trade),

and such a licence or authorisation is referred to in this regulation as an “existing trade licence”.

(B1) A licence is deemed to have been issued by the Secretary of State at the beginning of the relevant date under regulation 41 (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.

(1) Paragraphs (2) to (4) apply to a licence or authorisation granted by the Secretary of State which—

(a) was in effect immediately before the relevant date,

(b) is not an existing trade licence, and

(i) which would otherwise be prohibited by either—

(aa) the EU Iran Regulation, or

(bb) the Iran (United Nations Sanctions) Order 2009, and

(ii) which would (on and after the relevant date, and in the absence of paragraphs (2) to (4)) be prohibited by Part 5 (Trade),

and such a licence or authorisation is referred to in this regulation as “an existing trade sanctions licence”.

(2) An existing trade sanctions licence has effect on and after the relevant date as if it were a licence which had been issued by the Secretary of State under regulation 41 (trade licences).

(3) Any reference in an existing trade sanctions licence to a provision of the Export Control (Iran Sanctions) Order 2016 , the Iran (United Nations Sanctions) Order 2009 or the Export Control Order 2008 is to be treated on and after the relevant date as a reference to the corresponding provision of these Regulations (if any).

(4) Any reference in an existing trade sanctions licence to a prohibition in the EU Iran Regulation is to be treated on and after the relevant date as a reference to the corresponding prohibition in Part 5 (Trade).

(5) In this regulation, “the relevant date” means—

(a) where regulations under section 56 of the Act provide that Part 5 comes into force at a specified time on a day, that time on that day;

(b) otherwise, the date on which Part 5 comes into force.

Transitional provision: pending applications for trade licences

77

(1) Paragraph (2) applies where—

(a) an application was made before the relevant date for a licence or authorisation under the Export Control (Iran Sanctions) Order 2016 or the EU Iran Regulation,

(b) the application is for authorisation of an act prohibited by Part 5 (Trade), and

(2) The application is to be treated on and after the relevant date as an application for a licence under regulation 41 (trade licences).

(3) In this regulation, “the relevant date” means—

(a) where regulations under section 56 of the Act provide that Part 5 comes into force at a specified time on a day, that time on that day;

(b) otherwise, the date on which Part 5 comes into force.

Transitional Provisions: prior obligations

78

(1) Where—

(a) a person was named in Annex ⅠX of the EU Iran Regulation immediately before the relevant date, and

(b) the person is a designated person immediately before the relevant date,

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 date on which the person was named in that Annex.

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The provision referred to in paragraph (1) is—

(a) regulation 37(5) (finance: exceptions from prohibitions), ...

(ab) regulation 37ZZB (finance: exceptions relating to payment of Treasury debt), and

(b) paragraphs 7A(b)(i) and 6(1)(a) of Schedule 2 (Treasury licences: purposes).

(4) In paragraph (1), the reference to the date on which a person was named in Annex IX of the EU Iran Regulation—

(a) if the person had previously been named in Annex V of the 2007 EU Iran Regulation, is to be read as the date on which the person was named in that Annex;

(b) if the person had previously been named in Annex VIII of the 2010 EU Iran Regulation but not in Annex V of the 2007 EU Iran Regulation, is to be read as the date on which the person was named in Annex VIII of the 2010 EU Iran Regulation.

(5) In this regulation—

“the 2007 EU Iran Regulation” means Council Regulation (EC) No 423/2007 of 19 April 2007 concerning restrictive measures against Iran ;

“the 2010 EU Iran Regulation” means Council Regulation (EU) No 961/2010 of 25 October 2010 on restrictive measures against Iran and repealing Regulation (EC) No 423/2007 ;

“designated person” has the same meaning as it has in Part 3 (Finance);

“the relevant date” means—where regulations under section 56 of the Act provide that Part 3 comes into force at a specified time on a day, that time on that day;otherwise, the date on which Part 3 comes into force.

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

Application of Schedule

1

(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.

Joint interests

2

If two or more persons each hold a share or right jointly, each of them is treated as holding that share or right.

Joint arrangements

3

(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.

Calculating shareholdings

4

(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.

Voting rights

5

(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.

6

In 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.

Rights to appoint or remove members of the board

7

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.

8

A 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.

Shares or rights held “indirectly”

9

(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.

Shares held by nominees

10

A share held by a person as nominee for another is to be treated as held by the other (and not by the nominee).

Rights treated as held by person who controls their exercise

11

(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

12

“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.

Rights exercisable only in certain circumstances etc.

13

(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 ,

(b) administration within the meaning of the Insolvency (Northern Ireland) Order 1989 , 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.

Rights attached to shares held by way of security

14

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 — Treasury licences: purposes

PART 1 — Designated Persons

Basic needs

1

(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;

(d) payment of tax;

(e) rent or mortgage payments;

(f) utility payments.

(4) In sub-paragraph (1)—

“dependent” means financially dependent;

“family member” includes—the wife or husband of the designated person;the civil partner of the designated person;any parent or other ascendant of the designated person;any child or other descendant of the designated person;any person who is a brother or sister of the designated person, or a child or other descendant of such a person.

Legal services

2

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.

Maintenance of frozen funds and economic resources

3

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.

Extraordinary expenses

4

To enable an extraordinary expense of a designated person to be met.

Pre-existing judicial decisions etc

5

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Prior obligations

6

(1) 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 at a time when the person was not a designated person;

(b) the obligation is not related to any of the prohibited items, materials, equipment, goods, technologies, assistance, training, financial assistance, investment, brokering or services referred to in paragraphs 3, 4 and 6 of resolution 1737; ...

(d) where sub-paragraph (2) applies, the activities contemplated under, and execution of, such obligations are consistent with—

(i) the Joint Comprehensive Plan of Action, and

(ii) the provisions of resolutions 1696, 1737, 1747, 1803, 1835, 1929 and 2231.

(2) This sub-paragraph applies where the obligation concerned arose at a time when the person concerned ceased to be a designated person pursuant to paragraph 7 of resolution 2231.

7

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PART 2 — Non-UN designated persons

Humanitarian assistance activities

8

(1) To enable anything to be done in connection with the performance of any humanitarian assistance activity.

(2) In sub-paragraph (1) “humanitarian assistance activity” includes the work of international and non-governmental organisations carrying out relief activities in Iran for the benefit of the civilian population there.

Diplomatic missions etc

9

(1) To enable anything to be done in order that the functions of a diplomatic mission or consular post, or of an international organisation enjoying immunities in accordance with international law, may be carried out.

(2) In sub-paragraph (1)—

“consular post” has the same meaning as in the Vienna Convention on Consular Relations done at Vienna on 24 April 1963 , and any reference to the functions of a consular post is to be read in accordance with that Convention;

“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 .

Extraordinary situation

10

To enable anything to be done to deal with an extraordinary situation.

PART 3 — Interpretation

11

(1) In this Schedule—

“designated person” has the same meaning as it has in Part 3 (Finance);

“frozen account” has the meaning given in regulation 37(7);

“frozen funds or economic resources” means funds or economic resources frozen by virtue of regulation 12, 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 purposes of that regulation.

(2) For the purposes of this Schedule, references to a designated person 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 6 or 7A when C became a designated person, C is to be treated as having become a designated person at the same time as P.

Signed

Alan Duncan — Minister of State — 2019-03-05

Explanatory note

(This note is not part of the Regulations)

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 088 24.3.2012, p. 1

[^f00005]: “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.

[^f00006]: “financial services” is defined in section 61 of the Act.

[^f00007]: “funds” and “economic resources” are defined in section 60 of the Act.

[^f00008]: 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 regulations 12 to 17), the regulations must provide for those persons to be designated persons for the purposes of that provision. In the case of regulations 12 to 17, those persons include any person in relation to whom the measures set out in paragraph 6(c) of Annex B to resolution 2231 are required to be taken (see section 62(2) of the Act).

[^f00009]: 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.

[^f00010]: United Nations Treaty Series, vol. 1503, p.3.

[^f00011]: S.I. 2008/3231. Schedule 2 was substituted by S.I. 2017/85 and subsequently amended by S.I. 2017/697 and S.I. 2018/165. There are other instruments which amend other parts of the Order.

[^f00012]: 2000 c.8. Section 142D was inserted by the Financial Services (Banking Reform) Act 2013 (c.33), section 4(1).

[^f00013]: Section 142A was inserted by the Financial Services (Banking Reform) Act 2013, section 4(1).

[^f00014]: Part 4A was inserted by the Financial Services Act 2012 (c.21), section 11(2) and amended by S.I. 2018/135.

[^f00015]: 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.

[^f00016]: S.I. 2001/544 amended by S.I. 2018/1288 and prospectively amended by S.I. 2018/1403.

[^f00017]: 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; and S.I. 2013/1881; and it is prospectively amended by S.I. 2018/135.

[^f00018]: 2006 c.46.

[^f00019]: 2014 c.2.

[^f00020]: 2005 c.19.

[^f00021]: 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.

[^f00022]: 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.

[^f00023]: c.2. Section 77A was inserted by the Finance Act 1987 (c.16), section 10 and amended by S.I. 1992/3095.

[^f00024]: 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.

[^f00025]: 2017 c.3.

[^f00026]: 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.

[^f00027]: 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.

[^f00028]: 2018 c.12. There are amendments to this Act that are not relevant to these Regulations.

[^f00029]: 2003 c.44. Amendments have been made to sections 154(1), but none are relevant to these Regulations.

[^f00030]: 1995 c.46.

[^f00031]: 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.

[^f00032]: 1980 c.43. Amendments have been made to Schedule 3 that are not relevant to these Regulations.

[^f00033]: c.15 (N.I.).

[^f00034]: S.I. 1981/1675 (N.I. 26).

[^f00035]: 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).

[^f00036]: 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; and S.I. 2007/288.

[^f00037]: “The customs and excise Acts” is defined in section 1 of CEMA.

[^f00038]: 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.

[^f00039]: The words “7 years” were inserted in section 68(3)(b) of CEMA by the Finance Act 1988, section 12.

[^f00040]: The words “7 years” were inserted in section 170(3)(b) of CEMA by the Finance Act 1988, section 12.

[^f00041]: 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.

[^f00042]: See section 143(4)(f) and (4A), as inserted by the Act, Schedule 3, paragraph 8(1) and (3).

[^f00043]: 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.

[^f00045]: 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.

[^f00048]: c.40. Section 16 has been amended by various instruments but none are relevant to these Regulations.

[^f00049]: 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.

[^f00050]: Command 8941.

[^f00051]: S.I. 2016/36.

[^f00052]: S.I. 2016/503.

[^f00053]: S.I. 2007/281

[^f00054]: Regulation 21 of the 2016 Regulations saved licences granted under certain instruments revoked by the 2016 Regulations.

[^f00055]: S.I. 2007/1374. These Regulations were revoked by S.I. 2010/2937

[^f00056]: S.I. 2010/2937. These Regulations were revoked by S.I. 2012/925.

[^f00057]: S.I. 2012/925. These Regulations were revoked by S.I. 2016/36.

[^f00058]: OJ L 103, 20.4.2007, p. 1.

[^f00059]: OJ L 281, 27.10.2010, p. 1.

[^f00060]: 1986 c.45.

[^f00061]: S.I. 1989/2405 (N.I. 19).

[^f00062]: United Nations Treaty Series, vol. 596, p.261.

[^f00063]: United Nations Treaty Series, vol. 500, p.95.

Editorial notes

[^c23621801]: 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.

[^c23621811]: 2018 c.13.

[^c23621821]: 1979 c.2. Amendments have been made to this Act and are cited, where relevant, in respect of the applicable regulations.

[^c23621831]: OJ L 088 24.3.2012, p. 1

[^c23621841]: “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.

[^c23621851]: “financial services” is defined in section 61 of the Act.

[^c23621861]: “funds” and “economic resources” are defined in section 60 of the Act.

[^c23621881]: 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.

[^c23621901]: S.I. 2008/3231. Schedule 2 was substituted by S.I. 2017/85 and subsequently amended by S.I. 2017/697 and S.I. 2018/165. There are other instruments which amend other parts of the Order.

[^c23621911]: 2000 c.8. Section 142D was inserted by the Financial Services (Banking Reform) Act 2013 (c.33), section 4(1).

[^c23621921]: Section 142A was inserted by the Financial Services (Banking Reform) Act 2013, section 4(1).

[^c23621931]: Part 4A was inserted by the Financial Services Act 2012 (c.21), section 11(2) and amended by S.I. 2018/135.

[^c23621941]: 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.

[^c23621951]: S.I. 2001/544 amended by S.I. 2018/1288 and prospectively amended by S.I. 2018/1403.

[^c23621961]: 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; and S.I. 2013/1881; and it is prospectively amended by S.I. 2018/135.

[^c23621971]: 2006 c.46.

[^c23621981]: 2014 c.2.

[^c23621991]: 2005 c.19.

[^c23622001]: 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.

[^c23622011]: 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.

[^c23622021]: c.2. Section 77A was inserted by the Finance Act 1987 (c.16), section 10 and amended by S.I. 1992/3095.

[^c23622031]: 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.

[^c23622041]: 2017 c.3.

[^c23622051]: 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.

[^c23622061]: 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.

[^c23622071]: 2018 c.12. There are amendments to this Act that are not relevant to these Regulations.

[^c23622091]: 1995 c.46.

[^c23622101]: 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.

[^c23622111]: 1980 c.43. Amendments have been made to Schedule 3 that are not relevant to these Regulations.

[^c23622121]: c.15 (N.I.).

[^c23622131]: S.I. 1981/1675 (N.I. 26).

[^c23622141]: 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).

[^c23622151]: 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; and S.I. 2007/288.

[^c23622161]: “The customs and excise Acts” is defined in section 1 of CEMA.

[^c23622171]: 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.

[^c23622181]: The words “7 years” were inserted in section 68(3)(b) of CEMA by the Finance Act 1988, section 12.

[^c23622191]: The words “7 years” were inserted in section 170(3)(b) of CEMA by the Finance Act 1988, section 12.

[^c23622201]: 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.

[^c23622211]: See section 143(4)(f) and (4A), as inserted by the Act, Schedule 3, paragraph 8(1) and (3).

[^c23622221]: 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.

[^c23622241]: 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.

[^c23622271]: c.40. Section 16 has been amended by various instruments but none are relevant to these Regulations.

[^c23622281]: 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.

[^c23622291]: Command 8941.

[^c23622301]: S.I. 2016/36.

[^c23622311]: S.I. 2016/503.

[^c23622321]: S.I. 2007/281

[^c23622331]: Regulation 21 of the 2016 Regulations saved licences granted under certain instruments revoked by the 2016 Regulations.

[^c23622341]: S.I. 2007/1374. These Regulations were revoked by S.I. 2010/2937

[^c23622351]: S.I. 2010/2937. These Regulations were revoked by S.I. 2012/925.

[^c23622361]: S.I. 2012/925. These Regulations were revoked by S.I. 2016/36.

[^c23622371]: OJ L 103, 20.4.2007, p. 1.

[^c23622381]: OJ L 281, 27.10.2010, p. 1.

[^c23622391]: 1986 c.45.

[^c23622401]: S.I. 1989/2405 (N.I. 19).

[^c23622411]: United Nations Treaty Series, vol. 596, p.261.

[^c23622421]: United Nations Treaty Series, vol. 500, p.95.

[^key-08263bfd300a2386a8b1904c5e793307]: Reg. 1 not in force at made date, see reg. 1(2)

[^key-363f9c74a8fe071a3ed28dfd8b7f169f]: Reg. 2 not in force at made date, see reg. 1(2)

[^key-1f1ac563019121418736a325d7aeb2ac]: Reg. 3 not in force at made date, see reg. 1(2)

[^key-9ce9b2edf471ccb7289d9e7f4dc96800]: Reg. 4 not in force at made date, see reg. 1(2)

[^key-3346a642554c1e7f8f8c1750fde78454]: Reg. 5 not in force at made date, see reg. 1(2)

[^key-a321abaf073a0bda013a4ab7989c16c8]: Reg. 6 not in force at made date, see reg. 1(2)

[^key-295f1dd5f67eaff12e356fdbe9894e69]: Reg. 7 not in force at made date, see reg. 1(2)

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