Legalize / United Kingdom / Statutory-Instrument

The Syria (Sanctions) (EU Exit) Regulations 2019

Type Statutory-Instrument

Publication 2019-04-03

Last updated 2026-01-19

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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(6) In this regulation “specified” means specified in a direction.

PART 8 — Information and records

Finance: reporting obligations

69

(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) or regulation 65 (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 in accordance with regulation 55(4) (finance: exceptions from prohibitions), or

(b) transfers funds from a frozen account in accordance with regulation 55(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—

“designated person” has the same meaning as it has in Chapter 1 of Part 3 (Finance);

“frozen account” has the same meaning as it has in regulation 55;

“relevant firm” is to be read in accordance with regulation 70;

“relevant institution” has the same meaning as it has in regulation 55.

“Relevant firm”

70

(1) The following are relevant firms for the purposes of regulation 69—

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

(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;

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

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

(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) ;

(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 , 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

(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;

(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 69(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) ;

(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.

Finance: powers to request information

71

(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,

(b) funds or economic resources made available under the licence, or

(c) any matter to which a licence relates, where that licence authorises an act that would otherwise be prohibited under Chapter 2 of Part 3 (Investments, financial services and financial markets).

(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 Chapter 1 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 69 (finance: reporting obligations), or

(iii) any condition of a Treasury licence;

(c) detecting or obtaining evidence of the commission of an offence under Part 3 or regulation 65 (finance: licensing offences) or 69 (finance: reporting obligations).

(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.

Finance: production of documents

72

(1) A request under regulation 71 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” has the same meaning as it has in Chapter 1 of Part 3 (Finance).

Finance: information offences

73

(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 71 (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 71 (finance: powers to request information) or 72 (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 71 (finance: powers to request information) or 72 (finance: production of documents).

(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.

Trade: application of information powers in CEMA

74

(1) Section 77A 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 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;

(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 Chapters 2 to 5 of Part 5 (Trade), except any prohibition on imports or exports, or

(b) which would constitute a contravention of a prohibition in regulation 49 (circumventing etc prohibitions).

General trade licences: records

75

(1) This regulation applies in relation to a person (“P”) who does any act authorised by a general licence issued under regulation 62 (trade licences) (“the licence”).

(2) P must keep a register or record containing such details as may be necessary to allow the following information , where appropriate, 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;

(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.

General trade licences: inspection of records

76

(1) A person authorised by the Secretary of State or the Commissioners (an “official”) may at any reasonable hour enter premises notified under regulation 75(4) for the purposes of monitoring compliance with or detecting evasion of regulation 75(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 75, 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.

Disclosure of information

77

(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 7 (Exceptions and licences), this Part or Part 10 (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) or Part 5 (Trade), or

(ii) any exception or licence under Part 7 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) the exercise of functions under these Regulations;

(b) any purpose stated in regulation 4;

(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 in Chapter 2 or 4 of Part 5 on exports, or

(iii) in relation to a monetary penalty under section 146 of the Policing and Crime Act 2017 (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 ;

(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;

(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) the reference to a licence under Part 7 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 8: supplementary

78

(1) A disclosure of information under regulation 77 or 77A 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 77 and 77A 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 7.

(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 9 — Enforcement

Penalties for offences

79

(1) A person who commits an offence under any provision of Part 3 (Finance) ... or regulation 65 (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), ... 65A (director disqualification: licensing offences), 66 (trade: licensing offences), ... 75(6) or 76(5) (information 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 ... 69(6) (finance: reporting obligations) or 73 (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).

(4A) A person who commits an offence under regulation 57(6) (exceptions relating to petroleum products: notification requirement) is liable—

(a) on summary conviction in England and Wales, to a fine;

(b) on summary conviction in Scotland, to a fine not exceeding level 5 on the standard scale;

(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

80

(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

81

(1) Where an offence under regulation 9(6) (confidentiality), Part 3 (Finance), ... regulation 65 (finance: licensing offences), ... 69(6) (finance: reporting obligations) or 73 (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

82

(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

83

(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

84

(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) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) regulation 75(6) (general trade licences: records), or

(e) regulation 76(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) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ba) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(g) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(h) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(j) regulation 42(5) (goods prohibitions relating to gold, precious metals or diamonds) insofar as the offence does not relate to the import or export of goods,

(k) regulation 43(3) (technical assistance relating to gold, precious metals or diamonds) insofar as the offence does not relate to the import or export of goods,

(l) regulation 44(5) (financial services and funds relating to gold, precious metals or diamonds) insofar as the offence does not relate to the import or export of goods,

(m) regulation 45(4) (brokering services: non-UK activity relating to gold, precious metals or diamonds) insofar as the offence does not relate to the import or export of goods,

(n) regulation 45(5) insofar as the offence does not relate to the import or export of goods,

(o) regulation 46(5) (luxury goods) insofar as the offence does not relate to the import or export of goods,

(p) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(q) regulation 48(3) (provision of interception and monitoring services).

(3C) Paragraph (3A) also applies to the suspected commission of a relevant offence under any of regulations 66(1) and (2), 75(6) and 76(5) insofar as—

(a) the suspected offence relates to a licence issued under regulation 62 (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 49(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 (e);

(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 (e), 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 Chapter 1 (Interpretation) of Part 5 (Trade) bears the same meaning as in that Chapter of that Part.

Trade offences in CEMA: modification of penalty

85

(1) Paragraph (2) applies where a person is guilty of an offence under section 50(2) of CEMA in connection with a prohibition mentioned in Chapter 3 or 4 of Part 5 (Trade) on imports.

(2) Where this paragraph applies, the reference to 7 years in section 50(4)(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 68(2) of CEMA in connection with a prohibition mentioned in Chapter 2 or 4 of Part 5 (Trade) on exports.

(4) 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.

(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 Chapters 2 to 4 of Part 5 (Trade) on exports or imports.

(6) 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 the Serious Organised Crime and Police Act 2005

86

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 65 (finance: licensing offences).

Monetary penalties

87

Each provision in Part 5 (Trade) which contains a prohibition imposed for a purpose 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) .

PART 10 — Maritime enforcement

Exercise of maritime enforcement powers

88

(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 29 to 32 (goods or technology prohibitions relating to export, supply, sale and transfer);

(b) a prohibition in any of regulations 36 to 39 (goods or technology prohibitions relating to import, purchase and transport and relating to the transfer of military technology);

(d) the prohibitions in regulation 42 (goods prohibitions relating to gold, precious metals or diamonds);

(e) the prohibitions in regulation 46 (luxury goods);

(f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(g) a prohibition imposed by a condition of a trade licence in relation to a prohibition mentioned in 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 90 and 91.

(5) This regulation is subject to regulation 92 (restrictions on exercise of maritime enforcement powers).

Maritime enforcement officers

89

(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

90

(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 91, 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

91

(1) This regulation applies if a maritime enforcement officer is lawfully on a relevant ship (whether in exercise of the powers conferred by regulation 90 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 90(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

92

(1) The authority of the Secretary of State is required before any maritime enforcement power is exercised in reliance on regulation 88 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 88(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 10

93

(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 88(2)(a) to (g).

PART 11 — Supplementary and final provision

Directions under Part 6

94

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

Notices

95

(1) This regulation applies in relation to a notice required by regulation 64 (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 its general affairs, andin 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

96

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

97

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 ... 66 (trade: licensing offences), 75(6) or 76(5) (information offences in connection with general trade licences).

Amendment to the Syria Council Regulation

98

(1) Council Regulation (EU) No 36/2012 of 18 January 2012, concerning restrictive measures in view of the situation in Syria and repealing Regulation (EU) No 442/2011 is amended as follows.

(2) Omit Articles 1 to 11b.

(3) Omit Articles 12 to 26a.

(4) In Article 27(1)—

(a) for “measures” substitute “ measure ”;

(b) omit point (a);

(5) In Article 27a, for “Articles 2a, 3, 3a, 4, 5, 6, 7a, 8, 9, 11, 11a, 11b, 11c, 12, 13, 14, 24, 25, 26 and 26a” substitute “ Article 11c ”.

(6) In Article 28, for “prohibitions” substitute “ prohibition ”.

(7) In Article 29(1)(a), omit the words “, such as accounts and amounts frozen in accordance with Article 14,”.

(8) Omit Article 36.

(9) Omit Annexes Ⅰa, ⅠⅠa, ⅠⅠⅠ, Ⅳ, Ⅴ, Ⅴa, Ⅴb, Ⅵ, Ⅶ, Ⅷ, Ⅸ and Ⅹ.

Other amendments and revocations

99

(1) The Syria (European Union Financial Sanctions) Regulations 2012 are revoked.

(2) The Export Control (Syria Sanctions) Order 2013 is amended as follows.

(3) Omit article 2.

(4) In article 3(1), omit all definitions except for the definitions of “the 1979 Act” and “the Syria Regulation”.

(5) Omit articles 4 to 12.

(6) Omit articles 13 to 16.

(7) In article 17—

(a) paragraphs (1) and (2) are omitted;

(b) in paragraph (3), for “articles 6(1)(b) to (c) or (3), 7(a)(ii) to (iv), 8, 8A(b), 9(b) or (c), 11(b) or (c), 12A, 13(b), 14, 15 or 16(2)” substitute “ article 12A ”;

(d) in paragraph (5), for “Articles 6(a), 11a(1)(b) or 11c(1)” substitute “ Article 11c(1) ”.

(8) Omit article 18(2).

(9) Omit article 19.

(10) Omit Schedules 1 and 2.

Transitional provision: Treasury licences

100

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

(a) was granted, or deemed to be granted, by the Treasury under regulation 10 of the 2012 Regulations,

(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 or authorisation 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 61(1) (Treasury licences).

(3) Any reference in an existing financial sanctions licence to the 2012 Regulations 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 2012 Regulations, or

(b) the EU Syria Regulation,

is to be treated on and after IP completion day as a reference to the corresponding prohibition in Part 3.

(5) Paragraph (6) applies where—

(a) an application for a licence or authorisation, or for the variation of a licence or authorisation, under the 2012 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

(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 61(1) (Treasury licences).

(7) In this regulation, “the 2012 Regulations” means the Syria (European Union Financial Sanctions) Regulations 2012.

(8) In paragraphs (3) and (4), a reference to the 2012 Regulations includes a reference to the Syria (Asset-Freezing) Regulations 2011 .

Transitional provision: trade licences

101

(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) or which requires an authorisation under or pursuant to the Dual-Use Regulation, 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 62 (trade licences)—

(a) disapplying every provision of Part 5 (Trade) 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, ...

(aa) is not an existing trade licence, and

(b) authorises an act—

(i) which would otherwise be prohibited by the EU Syria 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 (Trade),

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 62 (trade licences).

(5) Any reference in an existing trade sanctions licence to a provision of 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 Syria Regulation is to be treated on and after IP completion day as a reference to the corresponding prohibition in Part 5 (Trade).

Transitional provision: pending applications for trade licences

102

(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 or the Dual-Use 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 IP completion day as including an application for a licence under regulation 62 (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 (Syria Sanctions) Order 2013 or the EU Syria Regulation,

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

(4) The application is to be treated on and after IP completion day as an application for a licence under regulation 62 (trade licences).

Transitional Provisions: prior obligations

103

(1) Where—

(a) a person was named in Annex ⅠⅠ or ⅠⅠa of the EU Syria 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 (2) to the date on which a person became a designated person is a reference to the original listing date.

(2) The provisions referred to in paragraph (1) are—

(a) regulation 55(5) (asset-freeze etc: exceptions from prohibitions), and

(b) in Schedule 6 (Treasury licences: purposes)—

(i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ii) paragraph 15(a);

(iii) paragraph 16(3);

(iv) paragraph 16(5)(b).

(3) In this regulation—

“designated person” has the same meaning as it has in Chapter 1 of Part 3 (Finance);

“original listing date” means the earlier of—the date on which the person was named in Annex ⅠⅠ or Annex ⅠⅠa of the EU Syria Regulation, andif the person was also named in Annex ⅠⅠ of Council Regulation (EU) No 442/2011 of 9 May 2011, concerning restrictive measures in view of the situation in Syria , the date on which the person was named in that Annex.

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 — Definitions of goods subject to certain trade prohibitions

PART 1 — General

Definitions

1

(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 re-issued from time to time , including by any document published under regulations made under section 8(1) of the Taxation (Cross-border Trade) Act 2018 replacing the same in whole or in part.

PART 2 — Goods subject to certain trade prohibitions

Aviation fuel and aviation fuel additives

2

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

Crude oil and petroleum products

3

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

4

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

Goods relating to electricity production

5

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

Gold, precious metals or diamonds

6

For the purposes of regulation 25(1), “gold, precious metals or diamonds” means any thing falling which falls within the following commodity codes—

(a) 7102;

(b) 7106;

(d) 7109;

(e) 7110;

(f) 7111;

(g) 7112.

Luxury goods

7

For the purposes of regulation 25(1), “luxury goods” means—

(a) pure-bred horses, meaning any thing which falls within commodity code 0101 21 00;

(b) caviar and caviar substitutes, meaning any thing which falls within the following commodity codes, provided that the sales price for caviar substitutes exceeds £15 per 100 grams—

(i) ex 1604 31 00;

(ii) ex 1604 32;

(d) wines (including sparkling wines), spirits and spirituous beverages, meaning any thing which falls within the following commodity codes, provided that the sales price exceeds £40 per litre—

(i) ex 2204 21 to 2204 29;

(ii) ex 2205;

(iii) ex 2208;

(e) cigars or cigarillos, meaning any thing which falls within commodity code ex 2402 10 00, provided that the sales price per item exceeds £10;

(f) perfumes and toilet waters, meaning anything which falls within the following commodity codes, provided that the sales price exceeds £60 per 50ml—

(i) ex 3303 00 10;

(ii) ex 3303 00 90;

(g) cosmetics, including beauty and make-up products, meaning anything which falls within the following commodity codes provided that the sales price per item exceeds £60—

(i) ex 3304;

(ii) ex 3307;

(iii) ex 3401;

(h) leather, saddlery, travel goods, handbags or similar articles, meaning anything which falls within the following commodity codes provided that the sales price per item exceeds £175—

(i) ex 4201;

(ii) ex 4202;

(iii) ex 4205 00 90;

(i) garments, clothing accessories or shoes, meaning anything which falls within the following commodity codes or chapters, provided that the sales price per item exceeds exceed a sales price of £525—

(i) ex 4203;

(ii) ex 4303;

(iii) ex chapter 61;

(iv) ex chapter 62;

(v) ex 6401 to ex 6405;

(vi) ex 6504 00 00;

(vii) ex 6505;

(viii) ex 6506 99;

(ix) ex 6601 91 00;

(x) ex 6601 99;

(xi) ex 6602;

(j) tableware of porcelain, china, stoneware, earthenware or of fine pottery, meaning anything which falls within the following commodity codes, provided that the sales price per item exceeds £450—

(i) ex 6911 10;

(ii) ex 6912 00 23;

(iii) ex 6912 00 25;

(k) pearls, precious and semi-precious stones, articles of pearls, jewellery, gold or silversmith articles, meaning anything which falls within the following commodity codes—

(i) 7101 to 7103;

(ii) 7104 20 00;

(iii) 7104 90 00;

(iv) 7105 to 7111;

(v) 7113 to 7116;

(l) coins or bank notes, meaning anything which falls within the following commodity codes, provided that such items are not legal tender—

(i) ex 4907;

(ii) 7118 10;

(iii) ex 7118 90;

(m) any item of cutlery which falls within the following commodity codes, provided such items are comprised of precious metal, or plated or clad with precious metal—

(i) ex 8211;

(ii) ex 8214;

(iii) ex 8215;

(iv) ex 9307;

(n) lead crystal glassware, meaning anything which falls within the following commodity codes, provided that the sales price per item exceeds £175—

(i) ex 7009 91;

(ii) ex 7009 92 00;

(iii) ex 7010;

(iv) ex 7013 22;

(v) ex 7013 33;

(vi) ex 7013 41;

(vii) ex 7013 91;

(viii) ex 7018 10;

(ix) ex 7018 90;

(x) ex 7020 00 80;

(xi) ex 9405 10 50;

(xii) ex 9405 20 50;

(xiii) ex 9405 50;

(xiv) ex 9405 91;

(o) luxury vehicles and their accessories, meaning anything which falls within the following commodity codes, provided that, in the case of a new vehicle, the sales price of the vehicle exceeds £22,000, in the case of a used vehicle, the sales price exceeds £13,000 and in the case of a vehicle-accessory, the sales price of the vehicle to which the vehicle-accessory relates exceeds either £22,000 (new vehicles) or £13,000 (used vehicles)—

(i) ex 8603;

(ii) ex 8605 00 00;

(iii) ex 8702 and ex 8703;

(iv) ex 8711 and ex 8712;

(v) ex 8716 10;

(vi) ex 8716 40 00;

(vii) ex 8716 80 00;

(viii) ex 8716 90;

(ix) ex 8801 00;

(x) ex 8802 11 00 and ex 8802 12 00;

(xi) ex 8802 20 00 to ex 8802 40 00;

(xii) ex 8805 10;

(xiii) ex 8901 10;

(xiv) ex 8903;

(p) clocks or wristwatches and their parts, meaning anything which falls within the following commodity codes, provided that in the case of a clock or wristwatch the sales price per item exceeds £450 or, in the case of a part for any such item, the clock or wristwatch to which the part relates exceeds a sales price of £450—

(i) ex 9101 to ex 9105;

(ii) ex 9108 to ex 9114;

(q) any item for skiing, golf or water sports, meaning anything which falls within the following commodity codes, provided that the sales price per item exceeds £450—

(i) ex 4015 19 00 and ex 4015 90 00;

(ii) ex 6112 20 00 to ex 6114;

(iii) ex 6210 20 to ex 6211 20;

(iv) ex 6211 32 90;

(v) ex 6211 33 90;

(vi) ex 6211 39;

(vii) ex 6211 42 90;

(viii) ex 6211 43 90;

(ix) ex 6211 49 00;

(x) ex 6402 12;

(xi) ex 6403 12 00;

(xii) ex 6404 11 00;

(xiii) ex 6404 19 90;

(xiv) ex 9004 90;

(xv) ex 9020;

(xvi) ex 9506 11 to ex 9506 19;

(xvii) ex 9506 21 00;

(xviii) ex 9506 29 00;

(xix) ex 9506 31 00 to ex 9506 39;

(xx) ex 9507;

(r) any item for billiards, other games operated by coins, bank notes, bank cards, tokens or by any other means of payment, meaning anything which falls within the following commodity codes or chapter, provided that the sales price exceeds £450 per item—

(i) ex 9504 20 to ex 9504 40;

(ii) ex 9504 90 80;

(s) works of art, collectors' pieces and antiques, meaning anything which falls within chapter 97.

SCHEDULE 3 — Goods and technology relating to chemical and biological weapons

PART 1 — Certain dual-use goods and dual-use technology

Dual-use goods

1

Any thing which is specified in or by the following Dual-Use Codes—

(a) 1A004;

(b) 1C350;

(d) 1C353;

(e) 1C354;

(f) 1C450;

(g) 2B350;

(h) 2B351;

(i) 2B352;

(j) 9A012;

(k) 9A350.

Software

2

Any software which is specified in or by the following Dual-Use Codes—

(a) 1D003;

(b) 2D351;

(c) 9D001, provided that it is specially designed or modified for the development of any goods or technology specified in or by Dual-Use Code 9A012 (paragraph 1(j));

(d) 9D002, provided that it is specially designed or modified for the production of any thing specified in or by Dual-Use Code 9A012 (paragraph 1(j)).

Technology

3

(1) Any technology which is specified in or by the following Dual-Use Codes—

(a) 1E001, provided that it is for the development or production of any thing specified in or by any of the following Dual-Use Codes—

(i) 1A004 (paragraph 1(a));

(ii) 1C350 to 1C354 (paragraph 1(b) to (e));

(iii) 1C450 (paragraph 1(f));

(b) 2E001, provided that it is for the development of any thing specified in or by any of the following Dual-Use Codes—

(i) 2B350 (paragraph 1(g));

(ii) 2B351 (paragraph 1(h));

(iii) 2B352 (paragraph 1(i));

(iv) 2D351 (paragraph 2(a));

(i) 2B350 (paragraph 1(g));

(ii) 2B351 (paragraph 1(h));

(iii) 2B352 (paragraph 1(i));

(d) 2E301;

(e) 9E001, provided that it is for the development of any thing specified in or by either of the following Dual-Use Codes—

(i) 9A012 (paragraph 1(j));

(ii) 9A350 (paragraph 1(k));

(f) 9E002, provided that it is for the production of any thing specified in or by Dual-Use Code 9A350;

(g) 9E101(b), provided that it is for the production of UAVs with a range exceeding 300km specified in or by Dual-Use Code 9A012;

(h) 9E102, provided that it is for the production of UAVs with a range exceeding 300km specified in or by Dual-Use Code 9A012.

(2) For the purposes of sub-paragraph (2), “UAV” means unmanned aerial vehicle systems.

Chemicals

4

Any of the following chemicals at 95% concentration or greater—

(a) Aluminium chloride (CAS No 7446-70-0);

(b) Arsenic (CAS No 7440-38-2);

(d) Bis(2-chloroethyl)ethylamine hydrochloride (CAS No 3590-07-6);

(e) Bis(2-chloroethyl)methylamine hydrochloride (CAS No 55-86-7);

(f) Ethylene dichloride (CAS No 107-06-2);

(g) Picric acid (CAS No 88-89-1);

(h) Nitromethane (CAS No 75-52-5);

(i) Tris(2-chloroethyl)amine hydrochloride (CAS No 817-09-4).

Software and technology

5

Any technology or software required for the development, production or use of any of the chemicals listed in paragraph 4.

Chemicals

6

Any of the following chemicals at 95% concentration or greater—

(a) Benzil (CAS No 134-81-6);

(b) Butyrylcholinesterase;

(d) Dichloromethane (CAS No 75-09-3);

(e) Diethylamine (CAS No 109-89-7);

(f) Diethylenetriamine (CAS No 111-40-0);

(g) Diethyl ether (CAS No 60-29-7);

(h) Dimethylanaline (CAS No 121-69-7);

(i) Dimethyl ether (CAS No 115-10-6);

(j) Dimethylaminoethanol (CAS No 108-01-0);

(k) Ethyl bromide (CAS No 74-96-4);

(l) Ethyl chloride (CAS No 75-00-3);

(m) Ethylamine (CAS No 75-04-7);

(n) Hexamine (CAS No 100-97-0);

(o) Isocyanatomethane (CAS No 624-83-9);

(p) Isopropanol (CAS No 67-63-0);

(q) Isopropyl bromide (CAS No 75-26-3);

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