Legalize / United Kingdom / Statutory-Instrument

The Russia (Sanctions) (EU Exit) Regulations 2019

Type Statutory-Instrument

Publication 2019-04-10

Last updated 2026-01-19

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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Trade: exceptions in relation to aircraft and vessels

Trade: exception relating to the safety of aircraft and ships

Trade: exceptions in relation to maritime goods and maritime technology

Trade: exceptions in relation to banknotes

Trade: exception in relation to certain revenue generating goods consigned from Russia

Trade: exception for emergencies in certain cases

Trade: exception for humanitarian assistance activity in non-government controlled areas of the Donetsk and Luhansk oblasts

Ships: exceptions from prohibition on port entry

Aircraft: exceptions from prohibitions

Exception relating to trade restrictions in relation to non-government controlled Ukrainian territory

Exception for authorised conduct in a relevant country

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

Treasury licences

Trade licences

Aircraft licences

Licences: general provisions

Finance: licensing offences

Trade: licensing offences

Aircraft: licensing offences

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

PART 3 — Investments in relation to Russia

Extraordinary situation

14

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

Humanitarian assistance activity

15

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

Medical goods or services

16

(1) To enable anything to be done in connection with the provision of medical goods or services for the benefit of the civilian population of a country.

(2) To enable the import, export or use of medical goods.

Food

17

To enable anything to be done in connection with the production or distribution of food for the benefit of the civilian population of a country.

Diplomatic missions etc.

18

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

(2) To enable anything to be done in order that the functions of a diplomatic mission or consular post of Russia in the United Kingdom may be carried out.

Safety and soundness of a firm

19

To enable anything to be done by a person, following consultation by that person (or a person acting on their behalf) with the relevant supervising authority or authorities, that is necessary or expedient in order to promote the safety and soundness of a firm which is supervised by the Bank of England, the Prudential Regulation Authority or the Financial Conduct Authority.

Space

20

To enable anything to be done for a United Kingdom person to undertake spaceflight activity.

Chapter 4H — G7 dependency and further goods and G7 dependency and further technology

G7 dependency and further goods list goods

Technical assistance relating to G7 dependency and further goods

46Z

(1) A person must not directly or indirectly provide technical assistance relating to G7 dependency and further goods or G7 dependency and further technology —

(a) to a person connected with Russia; or

(b) for use in Russia.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

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

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

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

Financial services and funds relating to G7 dependency and further goods

46Z1

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

(a) the export of G7 dependency and further goods;

(b) the direct or indirect supply or delivery of G7 dependency and further goods;

(c) directly or indirectly making G7 dependency and further goods or G7 dependency and further technology available to a person; ...

(ca) the transfer of G7 dependency and further technology; or

(d) the direct or indirect provision of technical assistance relating to G7 dependency and further goods or G7 dependency and further technology.

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

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

(a) the export of G7 dependency and further goods to, or for use in, Russia;

(b) the direct or indirect supply or delivery of G7 dependency and further goods to a place in Russia;

(i) to a person connected with Russia, or

(ii) for use in Russia; ...

(ca) the transfer of G7 dependency and further technology—

(i) to a person connected with Russia, or

(ii) to a place in Russia; or

(d) the direct or indirect provision of technical assistance relating to G7 dependency and further goods or G7 dependency and further technology —

(i) to a person connected with Russia, or

(ii) for use in Russia.

(4) Paragraphs (1) to (3) are subject to Part 7 (Exceptions and licences).

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

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

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

Brokering services relating to G7 dependency and further goods

46Z2

(1) A person must not directly or indirectly provide brokering services to a person connected with Russia in pursuance of or in connection with an arrangement (“arrangement A”) whose object or effect is—

(a) the export of G7 dependency and further goods;

(b) the direct or indirect supply or delivery of G7 dependency and further goods;

(c) directly or indirectly making G7 dependency and further goods or G7 dependency and further technology available to a person;

(ca) the transfer of G7 dependency and further technology from a place in a third country—

(i) to a person connected with Russia, or

(ii) to a place in Russia;

(d) the direct or indirect provision of technical assistance relating to G7 dependency and further goods or G7 dependency and further technology;

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

(i) to a person connected with Russia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 46Z1(1), or

(ii) where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 46Z1(3);

(f) directly or indirectly making funds available, in a non-UK country, to a person connected with Russia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 46Z1(1); or

(g) the direct or indirect provision of funds from a non-UK country, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 46Z1(3).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

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

(4) In this regulation, “non-UK country” means a country which is not the United Kingdom.

CHAPTER 4I — Oil and Oil Products

Meaning of “relevant day”

46Z3

In this Chapter, “relevant day” means 5th December 2022.

Import of oil and oil products

46Z4

(1) The import of oil and oil products, on or after the relevant day, which are consigned from Russia is prohibited.

(2) The import of oil and oil products, on or after the relevant day, which originate in Russia is prohibited.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

Acquisition of oil and oil products

46Z5

(1) A person must not, on or after the relevant day, directly or indirectly acquire oil and oil products—

(a) which originate in Russia; or

(b) which are located in Russia,

with the intention of those goods entering the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

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

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

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

Supply and delivery of oil and oil products

46Z6

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

Technical assistance relating to oil and oil products

46Z7

(1) A person must not, on or after the relevant day, directly or indirectly provide technical assistance relating to—

(a) the import of oil and oil products which—

(i) originate in Russia, or

(ii) are consigned from Russia;

(b) the direct or indirect acquisition of oil and oil products which—

(i) originate in Russia, or

(ii) are located in Russia,

with the intention of those goods entering the United Kingdom;

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes any of the prohibitions in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening—

(a) paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;

(b) paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;

Financial services and funds relating to oil and oil products

46Z8

(1) A person must not, on or after the relevant day, directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a) the import of oil and oil products which—

(i) originate in Russia, or

(ii) are consigned from Russia;

(b) the direct or indirect acquisition of oil and oil products which—

(i) originate in Russia, or

(ii) are located in Russia,

with the intention of those goods entering the United Kingdom;

(2) Paragraph (1) is are subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to oil and oil products

46Z9

(1) A person must not, on or after the relevant day, directly or indirectly provide brokering services in relation to any arrangements described in regulation 46Z8(1)(a) or (b).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

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

CHAPTER 4J — Gold

Meaning of “relevant day”

46Z10

In this Chapter, “relevant day” means the day on which this Chapter comes into force.

Prohibition on the import of gold from Russia

46Z11

(1) The import of gold originating in Russia is prohibited, where that gold has been exported from Russia on or after the relevant day.

(2) For the purposes of these Regulations, gold has been exported from Russia when—

(a) it has completed the applicable export formalities; and

(b) where the gold was transported by—

(i) land, it has left Russian territory;

(ii) sea, the ship on which it was transported has departed a port in Russia for a destination outside of Russia;

(iii) air, the aircraft on which it was transported has departed an airport in Russia for a destination outside of Russia.

(3) Paragraph (1) is subject to Part 7 (Exceptions and licences).

Acquisition of gold from Russia

46Z12

(1) A person must not directly or indirectly acquire gold which on or after the relevant day—

(a) originated in Russia; and

(b) is located in Russia,

with the intention of those goods entering the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

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

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

(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the gold was located in Russia.

Supply and delivery of gold from Russia

46Z13

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

Technical assistance relating to gold

46Z14

(1) A person must not directly or indirectly provide technical assistance relating to—

(a) the import of gold which on or after the relevant day—

(i) originated in Russia; or

(ii) is consigned from Russia;

(b) the direct or indirect acquisition of gold which on or after the relevant day—

(i) originated in Russia; and

(ii) is located in Russia,

with the intention of that gold entering the United Kingdom;

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening —

(a) paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;

(b) paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;

Financial services and funds relating to gold

46Z15

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

(a) the import of gold which on or after the relevant day—

(i) originated in Russia, or

(ii) is consigned from Russia;

(b) the direct or indirect acquisition of gold which on or after the relevant day—

(i) originated in Russia, and

(ii) is located in Russia,

with the intention of that gold entering the United Kingdom;

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to gold

46Z16

(1) A person must not directly or indirectly provide brokering services in relation to any arrangements described in regulation 46Z15(1)(a) or (b).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

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

CHAPTER 4K — Coal and Coal Products

Meaning of relevant day

46Z17

In this Chapter, “relevant day” means 10th August 2022.

Import of coal and coal products

46Z18

(1) The import of coal and coal products, on or after the relevant day, which are consigned from Russia is prohibited.

(2) The import of coal and coal products, on or after the relevant day, which originate in Russia is prohibited.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

Acquisition of coal and coal products

46Z19

(1) A person must not directly or indirectly, on or after the relevant day, acquire coal and coal products—

(a) which originate in Russia; or

(b) which are located in Russia,

with the intention of those goods entering the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

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

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

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

Supply and delivery of coal and coal products

46Z20

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

Technical assistance relating to coal and coal products

46Z21

(1) A person must not, on or after the relevant day, directly or indirectly provide technical assistance relating to—

(a) the import of coal and coal products which—

(i) originate in Russia, or

(ii) are consigned from Russia;

(b) the direct or indirect acquisition of coal and coal products which—

(i) originate in Russia, or

(ii) are located in Russia,

with the intention of those goods entering the United Kingdom;

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening—

(a) paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;

(b) paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;

Financial services and funds relating to coal and coal products

46Z22

(1) A person must not, on or after the relevant day, directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—

(a) the import of coal and coal products which—

(i) originate in Russia, or

(ii) are consigned from Russia;

(b) the direct or indirect acquisition of coal and coal products which—

(i) originate in Russia, or

(ii) are located in Russia,

with the intention of those goods entering the United Kingdom;

(2) Paragraphs (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to coal and coal products

46Z23

(1) A person must not, on or after the relevant day, directly or indirectly provide brokering services in relation to any arrangements described in regulation 46Z22(1)(a) or (b).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

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

CHAPTER 6B — Professional and Business Services

Interpretation of this Chapter

54B

In this Chapter—

(a) “accounting services” has the meaning given in paragraph 2 of Schedule 3J;

(b) “advertising services” has the meaning given in paragraph 3 of Schedule 3J;

(d) “auditing services” has the meaning given in paragraph 5 of Schedule 3J;

(e) “business and management consulting services” has the meaning given in paragraph 6 of Schedule 3J;

(f) “engineering services” has the meaning given in paragraph 7 of Schedule 3J;

(g) “IT consultancy and design services” has the meaning given in paragraph 8 of Schedule 3J;

(ga) “legal advisory services” has the meaning given in paragraph 8A of Schedule 3J;

(h) “public relations services” has the meaning given in paragraph 9 of Schedule 3J.

Professional and business services

54C

(1) A person must not directly or indirectly provide, to a person connected with Russia—

(a) accounting services,

(b) advertising services,

(d) auditing services,

(e) business and management consulting services,

(f) engineering services,

(g) IT consultancy and design services, or

(h) public relations services.

(2) Paragraph (1) is subject to Part 7 (exceptions and licences).

(3) A person who contravenes any of the prohibitions in paragraph (1) (“P”) commits an offence, but it is a defence for P to show that P did not know and had no reasonable cause to suspect that the person to whom the services were provided was connected with Russia.

Trade: exception relating to professional and business services

60DA

(1) The prohibitions in regulation 54C (professional and business services), in so far as they relate to accounting services, business and management consulting services, engineering services or public relations services, are not contravened by any act done by a person (“P”) in satisfaction of an obligation in respect of the provision of those services by P to a person connected with Russia where the services are provided in relation to the discharge of or compliance with UK statutory or regulatory obligations, such obligations not arising under contract.

(2) The prohibitions in regulation 54C, in so far as they relate to advertising services, architectural services, engineering services or IT consultancy and design services, are not contravened by any act done by a person (“P”) in satisfaction of an obligation arising under a contract concluded before 16th December 2022, or an ancillary contract necessary for the satisfaction of such a contract, provided that—

(a) the act is carried out before the end of 15th March 2023, and

(b) P notifies the Secretary of State of the provision of the services, before or after the act is carried out, by the end of 15th March 2023.

(3) The prohibitions in regulation 54C, in so far as they relate to auditing services, are not contravened by any act done by a person (“P”) in satisfaction of an obligation arising from the appointment of P as the auditor of a parent undertaking (“C”) provided that—

(a) where C is a credit institution, the auditing services of P are for one or both of the purposes mentioned in paragraph (4);

(b) where C is not a credit institution, or is a credit institution that does not meet the condition in sub-paragraph (a)—

(i) P is appointed as auditor of C before 16th December 2022,

(ii) the act is carried out before the end of 31st May 2023, and

(iii) P notifies the Secretary of State of the provision of the services, before or after the act is carried out, by the end of 15th March 2023.

(4) The purposes are—

(a) C, in its capacity as a parent undertaking, deciding whether accounts of a subsidiary undertaking of C which is a person connected with Russia (“S”) should be included in consolidated group accounts of C, and

(b) the inclusion in consolidated group accounts of C of the accounts of S.

(5) The prohibitions in regulation 54C, in so far as they relate to auditing services, are not contravened by any act done by a person (“P”)—

(a) in satisfaction of an obligation arising from the appointment of P as the auditor of a UK subsidiary undertaking (“S”) in respect of the provision of those services to S in relation to the discharge of or compliance with UK statutory or regulatory obligations, and

(b) which results in the provision of those services indirectly to a person connected with Russia in that person’s capacity as a parent undertaking of S.

(5A) The prohibitions in regulation 54C, in so far as they relate to auditing services, are not contravened by any act done by a person (“P”)—

(a) in satisfaction of an obligation arising from the appointment of P as the auditor of a UK undertaking (“U”) in respect of the provision of those services to U in relation to the discharge of or compliance with UK statutory or regulatory obligations, and

(b) which results in the provision of those services directly or indirectly to a person connected with Russia in that person’s capacity as a member of U.

(6) The prohibitions in regulation 54C, in so far as they relate to IT consultancy and design services, are not contravened by the provision of—

(a) an “electronic communications network” or an “electronic communications service” (within the meanings given by section 32 of the Communications Act 2003) that is used for civilian purposes, or

(b) services that are incidental to the exchange of communications over the internet, including—

(i) instant messaging,

(ii) videoconferencing,

(iii) chat and email,

(iv) social networking,

(v) sharing of photos, audio, videos, films or documents,

(vi) web browsing,

(vii) blogging,

(viii) web hosting, and

(ix) domain name registration services.

(7) The prohibitions in regulation 54C are not contravened by any act done by a person that is necessary for the official purposes of a diplomatic mission or consular post in Russia, or of an international organisation enjoying immunities in accordance with international law.

(7A) The prohibitions in regulation 54C are not contravened by any act done by a person as part of the provision of expert evidence provided in, or in anticipation of—

(a) any proceedings before administrative agencies, courts or other duly constituted official tribunals, or

(b) in any arbitral or mediation proceedings.

(8) For the purposes of this regulation, the following terms have the meanings given in regulation 54B—

“accounting services”, “advertising services”, “architectural services”, “auditing services”, “business and management consulting services”, “engineering services”, “IT consultancy and design services” and “public relations services”.

(9) For the purposes of this regulation—

“auditor” means a statutory auditor within the meaning of section 1210 of the Companies Act 2006 (meaning of “statutory auditor” etc);

“consular post” is to be construed in accordance with paragraph A1 of Schedule 5;

“credit institution” means a body incorporated under the law of any part of the United Kingdom, the business of which is to take deposits or other repayable funds from the public and to grant credits for its own account;

“diplomatic mission” is to be construed in accordance with paragraph A1 of Schedule 5;

“financial year” is to be construed in accordance with section 390 of the Companies Act 2006 (a company’s financial year);

“included in consolidated group accounts” has the meaning given in section 474 of the Companies Act 2006 (minor definitions) and “inclusion in consolidated group accounts” is to be construed accordingly;

“parent undertaking” has the meaning given in section 1162 of the Companies Act 2006 (parent and subsidiary undertakings);

“subsidiary undertaking” has the meaning given in section 1162 of the Companies Act 2006.

“UK subsidiary undertaking” means a subsidiary undertaking that is incorporated or formed under the law of the United Kingdom;

“UK undertaking” means an undertaking within the meaning given in section 1161 of the Companies Act 2006 that is incorporated or formed under the law of the United Kingdom.

Trade: exceptions in relation to maritime goods and maritime technology

Trade: exceptions in relation to banknotes

Trade: exception in relation to certain revenue generating goods consigned from Russia

Trade: exception in relation to oil and oil products

60H

(1) The prohibitions in Chapter 4I (Oil and Oil Products) are not contravened by a relevant activity in relation to any oil and oil products which—

(a) originate in a country that is not Russia,

(b) are not owned by a person connected with Russia, and

(2) For the purposes of paragraph (1)—

“oil and oil products” has the meaning given in regulation 21(1) (interpretation of Part 5);

“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions specified in paragraph (1).

60I

(1) The prohibitions in regulations 44 (financial services relating to energy-related goods and energy-related technology) and 45 (brokering services: non-UK activity relating to energy-related goods and energy-related technology) are not contravened in relation to the provision of insurance or reinsurance to a relevant person with regard to that person’s activities outside the energy sector in Russia.

(2) The prohibitions in Chapter 4 (energy-related goods , energy-related technology and related activities) are not contravened by a relevant activity that is necessary for the purposes of a UK petroleum project.

(3) In this regulation—

“energy related goods” has the meaning given in regulation 21(1) (interpretation of Part 5);

“energy-related technology” has the meaning given in regulation 21(1) (interpretation of Part 5);

“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions specified in paragraphs (1) and (2);

“relevant person” means a person who is not a person connected with Russia;

“UK petroleum project” means an oil or gas exploration or production project that is wholly or partially located within—the United Kingdom;waters adjacent to the United Kingdom up to the seaward limits of the territorial sea, or the seabed and subsoil below them;areas from time to time designated under section 1(7) of the Continental Shelf Act 1964 (designation of areas of continental shelf), and any waters within the limits of such areas.

Trade: exception for emergencies in certain cases

Trade: exception for humanitarian assistance activity in non-government controlled areas of the Donetsk and Luhansk oblasts

Ships: exceptions from prohibition on port entry

Aircraft: exceptions from prohibitions

Exception relating to trade restrictions in relation to non-government controlled Ukrainian territory

Exception for authorised conduct in a relevant country

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

Treasury licences

Trade licences

Aircraft licences

Licences: general provisions

Finance: licensing offences

Trade: licensing offences

Aircraft: licensing offences

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

SCHEDULE 3E — G7 dependency and further goods and G7 dependency and further technology

PART 1 — General

Interpretation

1

Paragraph 1 of Schedule 3 applies for the purposes of interpreting Parts 2 to 5.

PART 2 — G7 dependency and further goods

2

Subject to paragraph 2A, any thing falling within a commodity code mentioned in column 1 of the following table.

SCHEDULE 3F — Oil and Oil Products

PART 1 — General

Interpretation

1

Paragraph 1 of Schedule 3 applies for the purposes of interpreting Part 2.

PART 2

Oil and Oil Products

2

Any thing falling within a commodity code mentioned in column 1 of the following table.

(1)Commodity code	(2)Description
2709	Petroleum oils and oils obtained from bituminous minerals, crude.
2710	Petroleum oils and oils obtained from bituminous minerals, other than crude; preparations not elsewhere specified or included, containing by weight 70% or more of petroleum oils or of oils obtained from bituminous minerals, these oils being the basic constituents of the preparations; waste oils.
ex 2711	Petroleum gases and other gaseous hydrocarbons, excluding anything falling within commodity code 2711 11
2712	Petroleum jelly; paraffin wax, microcrystalline petroleum wax, slack wax, ozokerite, lignite wax, peat wax, other mineral waxes, and similar products obtained by synthesis or by other processes, whether or not coloured.
2713	Petroleum coke, petroleum bitumen and other residues of petroleum oils or of oils obtained from bituminous minerals.
2714	Bitumen and asphalt, natural; bituminous or oil-shale and tar sands; asphaltites and asphaltic rocks.
2715	Bituminous mixtures based on natural asphalt, on natural bitumen, on petroleum bitumen, on mineral tar or on mineral tar pitch (for example, bituminous mastics, cut-backs).
2207	Undenatured ethyl alcohol of an alcoholic strength by volume of 80%vol or higher; ethyl alcohol and other spirits, denatured, of any strength
3826	Biodiesel oil and mixtures thereof, not containing or containing less than 70% by weight of petroleum oils or oils obtained from bituminous minerals

PART 1 — General

Interpretation

1

Paragraph 1 of Schedule 3 applies for the purposes of interpreting Parts 2 and 3.

PART 2

2

Any thing falling within a commodity code mentioned in column 1 of the following table.

(1)Commodity Code	(2)Description
7108	Gold (including gold plated with platinum), unwrought or in semi-manufactured forms, or in powder form
71129 10000	Waste and scrap of gold, including metal clad with gold but excluding sweepings containing other precious metals.

3

Any thing falling—

(a) within a commodity code mentioned in column 1 of the following table; and

(b) within the description in column 2 beside that code.

(1)Commodity Code	(2)Description
ex 7118 9000	Gold coin

SCHEDULE 3H — Coal and Coal Products

PART 1 — General

Interpretation

1

Paragraph 1 of Schedule 3 applies for the purposes of interpreting Part 2.

PART 2

2

Any thing falling within a commodity code mentioned in column 1 of the following table.

(1)Commodity code	(2)Description
2701	Coal; briquettes, ovoids and similar solid fuels manufactured from coal
2702	Lignite, whether or not agglomerated, excluding jet
2703	Peat (including peat litter), whether or not agglomerated
2704	Coke and semi-coke of coal, of lignite or of peat, whether or not agglomerated; retort carbon
2705	Coal gas, water gas, producer gas and similar gases, other than petroleum gases and other gaseous hydrocarbons
2706	Tar distilled from coal, from lignite or from peat, and other mineral tars, whether or not dehydrated or partially distilled, including reconstituted tars
2707	Oils and other products of the distillation of high temperature coal tar; similar products in which the weight of the aromatic constituents exceeds that of the non-aromatic constituents
2708	Pitch and pitch coke, obtained from coal tar or from other mineral tars

Finance: disclosure to the Treasury

78A

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

(2) In this regulation—

“relevant public authority” means—any person holding or acting in any office under or in the service of—the Crown in right of the Government of the United Kingdom,the Crown in right of the Scottish Government, the Northern Ireland Executive or the Welsh Government,any local authority,any police officer,the Financial Conduct Authority, the Prudential Regulation Authority, the Bank of England or any other regulatory body in the United Kingdom, orany other person exercising functions of a public nature;

“local authority” means—in relation to England—a county council,a district council,a London Borough council,the Common Council of the City of London in its capacity as a local authority,the Council of the Isles of Scilly, oran eligible parish council within the meaning of section 1(2) of the Local Government Act 2000,in relation to Wales, a county council, a county borough council or a community council,in relation to Scotland, a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994, orin relation to Northern Ireland, a district council.

Part 8: supplementary

G7 dependency and further goods

CHAPTER 4JA — Gold jewellery and relevant processed gold

Interpretation

46Z16A

(1) In this Chapter—

“relevant day” means the day on which this Chapter comes into force;

“relevant processed gold” means gold which—has been processed in a third country; andincorporates gold that, on or after 21st July 2022—originated in Russia, andhas been exported from Russia;

“third country” means a country that is not the United Kingdom, the Isle of Man or Russia.

(2) For the purposes of this Chapter, a thing has been exported from Russia when—

(a) it has completed the applicable export formalities; and

(b) where the thing was transported by—

(i) land, it has left Russian territory;

(ii) sea, the ship on which it was transported has departed a port in Russia for a destination outside of Russia;

(iii) air, the aircraft on which it was transported has departed an airport in Russia for a destination outside of Russia.

(3) For the purposes of this Chapter, gold is processed where it is—

(a) altered;

(b) transformed in any way; or

Prohibition on the import of gold jewellery from Russia

46Z16B

(1) The import of gold jewellery originating in Russia is prohibited where the gold jewellery has been exported from Russia on or after the relevant day.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

Prohibition on the import of relevant processed gold

46Z16C

(1) The import of relevant processed gold is prohibited.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

Acquisition of gold jewellery from Russia

46Z16D

(1) A person must not directly or indirectly acquire gold jewellery which—

(a) originates in Russia; and

(b) is located in Russia,

with the intention of the gold jewellery entering the United Kingdom.

(2) A person must not directly or indirectly acquire gold jewellery which—

(a) originates in Russia; and

(b) on or after the relevant day, has been exported from Russia,

with the intention of the gold jewellery entering the United Kingdom.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

(4) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening that paragraph to show that the person did not know and had no reasonable cause to suspect that the gold jewellery—

(a) originated in Russia; or

(b) was located in Russia.

(5) A person who contravenes a prohibition in paragraph (2) commits an offence, but it is a defence for a person charged with the offence of contravening that paragraph to show that the person did not know and had no reasonable cause to suspect that the gold jewellery—

(a) originated in Russia; or

(b) had been exported from Russia on or after the relevant day.

Technical assistance relating to gold jewellery

46Z16E

(1) A person must not directly or indirectly provide technical assistance relating to—

(a) the import of gold jewellery which on or after the relevant day—

(i) originated in Russia, or

(ii) is exported from Russia;

(b) the direct or indirect acquisition of gold jewellery which—

(i) originated in Russia, or

(ii) is located in Russia or, on or after the relevant day, has been exported from Russia,

with the intention of that gold jewellery entering the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening—

(a) paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that sub-paragraph;

(b) paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that sub-paragraph.

Technical assistance relating to relevant processed gold

46Z16F

(1) A person must not directly or indirectly provide technical assistance relating to the import of relevant processed gold.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph.

Financial services and funds relating to gold jewellery

46Z16G

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

(a) the import of gold jewellery which on or after the relevant day—

(i) originated in Russia, or

(ii) is exported from Russia;

(b) the direct or indirect acquisition of gold which on or after the relevant day—

(i) originated in Russia, or

(ii) is located in Russia,

with the intention of that gold jewellery entering the United Kingdom.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Financial services and funds relating to relevant processed gold

46Z16H

(1) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is the import of relevant processed gold.

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

Brokering services relating to gold jewellery and relevant processed gold

46Z16I

(1) A person must not directly or indirectly provide brokering services in the pursuance of, or in connection, with any arrangements described in regulations 46Z16G(1) and 46Z16H(1).

(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).

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

1A

In this Schedule, “n.e.s” means “not elsewhere specified”.

1A

In this Schedule, “ n.e.s”means “not elsewhere specified”.

PART 3 — Additional G7 Dependency and Further Goods

3

Any thing falling within a commodity code mentioned in column 1 of the following table.

(1) Commodity code	(2) Name of the good
2828 10	Calcium hypochlorites, including commercial calcium hypochlorite
2828 90	Hypochlorites; commercial calcium hypochlorite; chlorites; hypobromites - Other
2834 10	Nitrites
2901 29	Acyclic hydrocarbons - Unsaturated - Other
. . .	. . .
. . .	. . .
. . .	. . .
2908 11	Pentachlorophenol (ISO)
2910 10	Oxirane (ethylene oxide)
3204 90	Synthetic organic colouring matter, whether or not chemically defined; preparations as specified in note 3 to this Chapter based on synthetic organic colouring matter; synthetic organic products of a kind used as fluorescent brightening agents or as luminophores, whether or not chemically defined
3205 00	colour lakes (other than Chinese or Japanese lacquer and paints); preparations based on colour lakes of a kind used to dye fabrics or produce colorant preparations (excluding preparations of heading 3207, 3208, 3209, 3210, 3213 and 3215)
3206 41	ultramarine and preparations based thereon of a kind used for colouring any material or produce colorant preparations (excluding preparations of heading 3207, 3208, 3209, 3210, 3213 and 3215)
3207 10	Prepared pigments, prepared opacifiers, prepared colours and similar preparations
3207 30	Liquid lustres and similar preparations
3215 11	Printing ink - Black
3215 19	Printing ink - Other
3819 00	hydraulic brake fluids and other prepared liquids for hydraulic transmission not containing petroleum oil or bituminous mineral oil, or containing < 70 % petroleum oil or bituminous mineral oil by weight
3824 81	mixtures and preparations containing oxirane ‘ethylene oxide’
3824 84	mixtures and preparations containing aldrin (ISO), camphechlor (ISO) (toxaphene), chlordane (ISO), chlordecone (ISO), DDT (ISO) (clofenotane (INN), 1,1,1-trichloro-2,2-bis (p-chlorophenyl) ethane), dieldrin (ISO, INN), endosulfan (ISO), endrin (ISO), heptachlor (ISO) or mirex (ISO)
. . .	. . .
4906 00	plans and drawings for architectural, engineering, industrial, commercial, topographical or similar purposes, being originals drawn by hand; handwritten texts; photographic reproductions on sensitised paper and carbon copies of the foregoing
. . .	. . .
7305 39	tubes and pipes having circular cross-sections and an external diameter of > 406.4 mm, of iron or steel, welded (excluding products longitudinally welded or of a kind used for oil or gas pipelines or of a kind used in drilling for oil or gas)
7411 29	tubes and pipes of copper alloys (excluding copper-zinc base alloys ‘brass’, copper-nickel base alloys ‘cupro-nickel’ and copper-nickel-zinc base alloys ‘nickel silver’)
7508 10	Cloth, grill, netting and fencing, of nickel wire
7508 90	articles of nickel
7613 00	Aluminium containers for compressed or liquefied gas
8307 10	flexible tubing of iron or steel, with or without fittings
8307 90	Flexible tubing of base metal other than iron or steel, with or without fittings
8414 90	Air or vacuum pumps, air or other gas compressors and fans; ventilating or recycling hoods incorporating a fan, whether or not fitted with filters; gas-tight biological safety cabinets, whether or not fitted with filters – Parts
8430 10	Piledrivers and pile extractors
8430 39	Coal or rock cutters and tunnelling machinery – Other
. . .	. . .
. . .	. . .
. . .	. . .
8477 10	Injection-moulding machines for working rubber or plastics
8477 20	Extruders for working rubber or plastics
8477 40	Vacuum-moulding machines and other thermoforming machines
8477 51	Other machinery for moulding or retreading pneumatic tyres or for moulding or otherwise forming inner tubes
8477 59	Machinery for moulding or otherwise forming products from rubber or plastics (excluding injection-moulding machines, extruders, blow-moulding machines, vacuum-moulding and other thermoforming machines; machinery for moulding or retreading pneumatic tyres or for moulding or otherwise forming inner tubes)
8477 80	Machinery for working rubber or plastics or for the manufacture of products from these materials, not specified or included elsewhere in this chapter
8477 90	Parts of machinery for working rubber or plastics or for the manufacture of products from these materials, n.e.s.
8482 99	Other parts
8484 10	Gaskets and similar joints of metal sheeting combined with other material or of two or more layers of metal
8484 90	Gaskets and similar joints of metal sheeting combined with other material or of two or more layers of metal; sets or assortments of gaskets and similar joints, dissimilar in composition, put up in pouches, envelopes or similar packings; mechanical seals – Other
8540 99	Other parts
. . .	. . .
8705 20	Mobile drilling derricks
8705 30	Fire fighting vehicles
8709 90	Works trucks, self-propelled, not fitted with lifting or handling equipment, of the type used in factories, warehouses, dock areas or airports for short distance transport of goods; tractors of the type used on railway station platforms; parts of the foregoing vehicles – Parts
. . .	. . .
9031 10	Machines for balancing mechanical parts
9031 20	Test benches
9031 41	Optical instruments and appliances for inspecting semiconductor wafers or devices or for inspecting photomasks or reticles used in manufacturing semiconductor devices
9031 49	Optical instruments, appliances and machines for measuring or checking, not elsewhere specified or included in chapter 90
9031 80	Instruments, appliances and machines for measuring or checking, not elsewhere specified in chapter 90 (excluding optical)
. . .	. . .

PART 3

4

Any thing falling—

(a) within a commodity code mentioned in column 1 of the following table; and

(b) within the description in column 2 beside that code.

(1) Commodity code	(2) Description
Ex 7113	Articles of jewellery and parts thereof, of gold, containing gold or of metal clad with gold
Ex 7114	Articles of goldsmiths’ or silversmiths’ wares and parts thereof, of gold, containing gold or of metal clad with gold

SCHEDULE 3I — Russia’s vulnerable goods and Russia’s vulnerable technology

1

Paragraph 1 of Schedule 3 applies for the purposes of interpreting this Schedule.

2

In this Schedule, “n.e.s” means “not elsewhere specified”.

CHAPTER4IA — Maritime transportation of certain oil and oil products

Interpretation

46Z9A

(1) In this Chapter—

“2709 oil and oil products” means those oil and oil products—falling within commodity code 2709; andwhich originate in or are consigned from Russia;

“2710 oil and oil products” means those oil and oil products—falling within commodity code 2710; andwhich originate in or are consigned from Russia;

“first relevant day” means 5th December 2022;

“second relevant day” means 5th February 2023;

“ship” includes every description of vessel (including a hovercraft) used in navigation, except the naval, military or air-force ships of any country;

“third country” means any country other than the United Kingdom, the Isle of Man or Russia.

(2) Paragraph 1 of Schedule 3 applies for determining whether oil and oil products fall within the commodity codes specified in paragraph (1).

Maritime transportation of certain oil and oil products to and between third countries

46Z9B

(1) A person must not directly or indirectly, on or after the first relevant day, supply or deliver by ship, 2709 oil and oil products—

(a) from a place in Russia to a third country; or

(b) from one third country to another third country.

(2) A person must not directly or indirectly, on or after the second relevant day, supply or deliver by ship, 2710 oil and oil products—

(a) from a place in Russia to a third country; or

(b) from one third country to another third country.

(3) For the purposes of paragraphs (1) and (2), “supply or deliver by ship” includes any transfer of the goods concerned between ships on which those goods are being supplied or delivered as specified in those paragraphs.

(4) For the purposes of paragraphs (1) and (2), a person supplying or delivering the goods concerned by ship includes a person who owns, controls, charters or operates a ship—

(a) on which those goods are being carried; or

(b) from or to which those goods are being transferred.

(5) For the purposes of paragraph (4), whether a person—

(a) owns a ship is to be determined in accordance with regulation 57I(1)(a);

(b) controls a ship is to be determined in accordance with regulation 57I(1)(b);

(6) Regulation 57I(2) does not apply for the purposes of paragraph (5)(b).

(7) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

(8) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening that prohibition to show that the person did not know and had no reasonable cause to suspect that the supply or delivery related to oil and oil products—

(a) which fell within commodity code 2709; or

(b) which were consigned from or originated in Russia.

(9) A person who contravenes a prohibition in paragraph (2) commits an offence, but it is a defence for a person charged with an offence of contravening that prohibition to show that the person did not know and had no reasonable cause to suspect that the supply or delivery related to oil and oil products—

(a) which fell within commodity code 2710; or

(b) which were consigned from or originated in Russia.

Financial services and funds relating to maritime transportation of certain oil and oil products

46Z9C

(1) A person must not directly or indirectly, on or after the first relevant day, provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is the supply or delivery by ship of 2709 oil and oil products—

(a) from a place in Russia to a third country; or

(b) from one third country to another third country.

(2) A person must not directly or indirectly, on or after the second relevant day, provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is the supply or delivery by ship of 2710 oil and oil products—

(a) from a place in Russia to a third country; or

(b) from one third country to another third country.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

(4) A person who contravenes a prohibition in paragraph (1) commits an offence butit is a defence for a person charged with an offence of contravening that prohibition to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with the supply or delivery of oil and oil products—

(a) which fell within commodity code 2709; or

(b) which were consigned from or originated in Russia.

(5) A person who contravenes a prohibition in paragraph (2) commits an offence but it is a defence for a person charged with an offence of contravening that prohibition to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with the supply or delivery of oil and oil products—

(a) which fell within commodity code 2710; or

(b) which were consigned from or originated in Russia.

Brokering services relating to maritime transportation of certain oil and oil products

46Z9D

(1) A person must not directly or indirectly, on or after the first relevant day, provide brokering services in relation to any arrangements described in regulation 46Z9C(1).

(2) A person must not directly or indirectly, on or after the second relevant day, provide brokering services in relation to any arrangements described in regulation 46Z9C(2).

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

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

(5) A person who contravenes a prohibition in paragraph (2) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement described in that paragraph.

Trade: exception in relation to maritime transportation of certain oil and oil products

60HA

(1) The prohibitions in regulations 46Z9B(1), 46Z9C(1) and 46Z9D(1) (maritime transportation of certain oil and oil products) are not contravened by a relevant activity in relation to any 2709 oil and oil products which—

(a) originate in a country that is not Russia,

(b) are not owned by a person connected with Russia, and

(2) The prohibitions in regulations 46Z9B(2), 46Z9C(2) and 46Z9D(2) are not contravened by a relevant activity in relation to any 2710 oil and oil products which—

(a) originate in a country that is not Russia,

(b) are not owned by a person connected with Russia, and

(3) For the purposes of paragraphs (1) and (2)—

“2709 oil and oil products” and “2710 oil and oil products” have the meanings given in regulation 46Z9A;

“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions specified in paragraph (1) or, as the case may be (2).

Trade: exception for emergencies in certain cases

Trade: exception for humanitarian assistance activity in non-government controlled areas of the Donetsk and Luhansk oblasts

Ships: exceptions from prohibition on port entry

Aircraft: exceptions from prohibitions

Exception relating to trade restrictions in relation to non-government controlled Ukrainian territory

Exception for authorised conduct in a relevant country

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

Treasury licences

Trade licences

Aircraft licences

Licences: general provisions

Finance: licensing offences

Trade: licensing offences

Aircraft: licensing offences

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

Treasury: power to impose monetary penalties

88C

(1) The Treasury may impose a monetary penalty on a person if they are satisfied, on the balance of probabilities, that the person has committed an offence under regulation 46Z9B, 46Z9C or 46Z9D (maritime transportation of certain oil and oil products).

(1A) The Treasury may impose a monetary penalty on a person if they are satisfied, on the balance of probabilities, that the person has committed an offence under regulation 70A (designated persons: reporting obligations).

(1B) The Treasury may impose a monetary penalty on a person if they are satisfied, on the balance of probabilities, that the person has committed an offence under regulation 18 (investments in relation to non-government controlled Ukrainian territory) or 18B (investments in relation to Russia) by carrying on an activity mentioned in regulation 18(2)(a) or 18B(2)(a) or (b).

(2) For the purposes of paragraph (1), any defence that the person did not know and had no reasonable cause to suspect that an offence referred to in that paragraph had been committed is to be ignored.

(2A) For the purposes of paragraph (1A), any requirement for the person to have acted without reasonable excuse, or with knowledge or recklessness, is to be ignored.

(2B) For the purposes of paragraph (1B), any requirement imposed by the provisions mentioned there for the person to have known or suspected any matter is to be ignored.

(3) The Treasury may impose a monetary penalty on a person if they are satisfied, on the balance of probabilities, that the person has committed an offence under—

(a) regulation 55 (circumventing etc. prohibitions);

(b) regulation 67 (licensing offences);

(d) regulation 74 (information offences),

in so far as the relevant activity relates to an offence referred to in paragraph (1).

(3A) The Treasury may impose a monetary penalty on a person if they are satisfied, on the balance of probabilities, that the person has committed an offence under—

(a) regulation 19 (circumventing etc. prohibitions),

(b) regulation 67 (licensing offences),

(d) regulation 74 (information offences),

in so far as the relevant activity relates to an offence referred to in paragraph (1B).

(3B) For the purposes of paragraph (3A), any requirement imposed by or by virtue of the provisions mentioned in sub-paragraphs (a) - (d) for the person to have acted without reasonable excuse, or with knowledge or recklessness, is to be ignored.

(4) In paragraphs (3) and (3A), “relevant activity” means an activity which contravenes a prohibition specified in sub-paragraph (a), (b), (c) or (d) of that paragraph.

(5) The amount of the penalty under paragraph (1) , (1A) , (1B), (3) or (3A) is to be such amount as the Treasury may determine but it may not exceed the permitted maximum.

(6) Where it is possible to estimate the value of the breach of the prohibition specified in paragraph (1) , (1B), (3) or (3A), the permitted maximum is the greater of—

(a) £1,000,000, and

(b) 50% of the estimated value of the breach.

(6A) Where it is possible to estimate the value of the funds or economic resources which the Treasury have not been informed of under regulation 70A(1), (2) or (5) (as the case may be), the permitted maximum is the greater of—

(a) £1,000,000, and

(b) 50% of the value of the funds or economic resources which the Treasury have not been informed of.

(7) In any other case, the permitted maximum is £1,000,000.

(8) Any monetary penalty payable under this regulation is recoverable by the Treasury as a civil debt.

(9) Any monetary penalty received by the Treasury by virtue of this regulation must be paid into the Consolidated Fund.

(10) The Treasury may publish reports at such intervals as it considers appropriate in cases where—

(a) a monetary penalty has not been imposed under this regulation; but

(b) the Treasury are satisfied, on the balance of probabilities, that a person has committed an offence under a provision referred to in paragraph (1) , (1A) , (1B), (3) or (3A).

Treasury monetary penalties: procedural rights

88D

(1) Before imposing a monetary penalty on a person under regulation 88C, the Treasury must inform the person of its intention to do so.

(2) The Treasury must also—

(a) explain the grounds for imposing the penalty;

(b) specify the amount of the penalty;

(d) specify the period within which any such representations must be made.

(3) If (having considered any representations), the Treasury decides to impose the penalty, the Treasury must—

(a) inform the person of its decision;

(b) explain that the person is entitled to seek a review by a Minister of the Crown; and

(4) If the person seeks a review, the Minister may—

(a) uphold the decision to impose the penalty and its amount;

(b) uphold the decision to impose the penalty but substitute a different amount; or

(5) If on a review under paragraph (4) the Minister decides to uphold the Treasury’s decision to impose the penalty and its amount, or to uphold the Treasury’s decision to impose the penalty but to substitute a different amount, the person may appeal (on any ground) to the Upper Tribunal.

(6) On an appeal under paragraph (5), the Upper Tribunal may quash the Minister’s decision and if it does so may—

(a) quash the Treasury’s decision to impose the penalty;

(b) uphold that decision but substitute a different amount for the amount determined by the Treasury (or, in a case where the Minister substituted a different amount, by the Minister).

(7) In this regulation, “Minister of the Crown” means the holder of an office in His Majesty’s Government in the United Kingdom.

PART4 — Maritime transportation of certain oil and oil products

Extraordinary situation

21

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

Trust services

18C

(1) A person must not provide trust services to or for the benefit of a designated person.

(2) A person (“P”) must not provide trust services to or for the benefit of a person connected with Russia (“C”) unless pursuant to an ongoing arrangement pursuant to which P provided those trust services to or for the benefit of C immediately before 16th December 2022.

(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).

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

(5) For the purposes of paragraphs (1) and (2), trust services are provided for the benefit of a person (“B”) where—

(a) B is a beneficiary of a trust or similar arrangement,

(b) B is referred to as a potential beneficiary in a document from the settlor relating to a trust or similar arrangement (such as a letter of wishes), or

(c) having regard to all the circumstances, B might reasonably be expected to obtain, or to be able to obtain, a significant financial benefit from the trust or similar arrangement.

(6) For the purpose of paragraph (5), “beneficiary”, “potential beneficiary” and “settlor”, in relation to an arrangement similar to a trust, means those persons who hold equivalent or similar positions to those described in sub-paragraphs (a) to (c) of that paragraph in respect of a trust.

(7) In this regulation—

“designated person” means a person who is designated under regulation 5 (power to designate persons) for the purposes of this regulation;

“trust services” means—the creation of a trust or similar arrangement,the provision of a registered office, business address, correspondence address or administrative address for a trust or similar arrangement,the operation or management of a trust or similar arrangement, ...acting or arranging for another person to act as trustee of a trust or similar arrangement, where “trustee”, in relation to an arrangement similar to a trust, means a person who holds an equivalent or similar position to a trustee of a trust , or acting as a nominee shareholder.

(8) For the purposes of this regulation “acting as a nominee shareholder” means undertaking the following activities as the legal owner of the shares—

(a) exercising the voting rights of those shares in accordance with the wishes of the beneficial owner of those shares (“O”), or

(b) receiving dividends in respect of those shares held on behalf of O,

where the activities are undertaken in accordance with an arrangement with O that involves a trust or similar arrangement.

Exceptions relating to trust services

60ZZB

(1) The prohibitions in regulation 18C (trust services) are not contravened by any act done by a person (“P”)—

(a) in satisfaction of an obligation in respect of the provision of trust services by P to or for the benefit of—

(i) a designated person, or

(ii) a person connected with Russia,

where those services are provided in relation to the discharge of or compliance with UK statutory or regulatory obligations;

(b) for the purposes of complying with the prohibitions and obligations in Chapter 1 of Part 3 (asset freeze etc.);

(c) in connection with transferable securities or money-market instruments where dealing with such securities or instruments is not prohibited by regulation 16 or 18B.

(2) The prohibitions in regulation 18C are not contravened by the provision of the following trust services where the condition in paragraph (3) is met—

(a) trust services provided to a community amateur sports club registered as such with His Majesty’s Revenue and Customs;

(b) trust services provided to a trust for charitable services which—

(i) in Scotland or Northern Ireland, is registered as a charity, or

(ii) in England and Wales, is registered as a charity or is not required to register by virtue of section 30(2) of the Charities Act 2011 (charities required to be registered: general);

(c) trust services provided to a pension scheme that is a registered pension scheme under Chapter 2 of Part 4 of the Finance Act 2004 (registration of pension schemes);

(d) trust services for the purposes of a trust—

(i) created under, or for the purpose of, the default arrangements of a designated system or the default rules of a recognised body, or for the purpose of any action or proceedings taken by, or for, such a system or body under such arrangements or rules;

(ii) relating to the creation of a beneficial interest in securities belonging to a person whose name and address are maintained on a register of securities;

(iii) created by, or for, a segregating entity for the purpose of—

(aa) protecting funds or economic resources belonging to the segregating entity’s clients, or

(bb) complying with a legal obligation to safeguard and segregate funds or economic resources belonging to the segregating entity’s clients or to keep separate client records and accounts;

(e) trust services provided by the operator or trustee of an authorised unit trust scheme in relation to that scheme;

(f) trust services provided in the course of, or in connection with, carrying on by way of business the activity specified in the following articles of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001—

(i) article 40 (safeguarding and administering investments),

(ii) article 51ZB (acting as trustee or depositary of a UK UCITS), or

(iii) article 51ZD (acting as trustee or depositary of an AIF),

except in so far as the activity relates to an unauthorised unit trust scheme;

(g) trust services provided in the course of, or in connection with, the acting by way of business as an agent holding funds, economic resources or documents in escrow until the performance of a contractual condition agreed between two or more other persons, including the person for whom the funds, economic resources or documents are being held.

(3) The condition in this paragraph is that the trust services are not provided primarily to, or for the benefit of, a designated person or a person connected with Russia.

(4) Where the condition in paragraph (5) is met, the prohibitions in regulation 18C are not contravened by the provision of trust services for making funds and economic resources available to or for the benefit of—

(a) a person under the age of 18,

(b) a person who lacks capacity within the meaning of section 2 of the Mental Capacity Act 2005 (people who lack capacity),

(c) a person who is incapable within the meaning of section 1 of the Adults with Incapacity (Scotland) Act 2000 (general principles and fundamental definitions), or

(d) a person who is incapable of managing and administering their property and affairs, by reason of mental disorder within the meaning of article 3(1) of the Mental Health (Northern Ireland) Order 1986 (definition of “mental disorder” and related expressions).

(5) The condition in this paragraph is that the trust services are not provided primarily to, or for the benefit of, a designated person.

(6) In this regulation, whether trust services are provided for the benefit of a person is to be construed in accordance with regulation 18C.

(7) In this regulation—

“FSMA” means the Financial Services and Markets Act 2000;

“the 1999 Regulations” means the Financial Markets and Insolvency (Settlement Finality) Regulations 1999;

“authorised unit trust scheme” has the meaning given in section 237 of FSMA (other definitions);

“clearing member” has the meaning given in section 190(1) of the Companies Act 1989 (minor definitions);

“community amateur sports club” has the meaning given in section 658 of the Corporation Tax Act 2010 (meaning of “community amateur sports club” and “registered club”);

“default arrangements” has the meaning given in regulation 2(1) of the 1999 Regulations (interpretation);

“default rules” has the meaning given in section 188 of the Companies Act 1989 (meaning of “default rules” and related expressions);

“designated person” has the meaning given in regulation 18C(7);

“designated system” has the meaning given in regulation 2(1) of the 1999 Regulations;

“the operator” has the meaning given in section 237 of FSMA;

“participant” has the meaning given in regulation 2(1) of the 1999 Regulations;

“person connected with Russia” is to be construed in accordance with regulation 19A(2);

“recognised body” has the meaning given in section 313 of FSMA (interpretation of Part XVIII);

“recognised central counterparty” has the meaning given in section 313 of FSMA;

“register of securities” has the meaning given in regulation 3(1) of the Uncertificated Securities Regulations 2001(interpretation);

“segregating entity” means—a clearing member of a recognised central counterparty,a participant in a designated system,a designated system, ora recognised body;

“trustee” has the meaning given in section 237 of FSMA;

“trust services” has the meaning given in regulation 18C(7);

“unauthorised unit trust scheme” means a “unit trust scheme” within section 237(1) of FSMA that is not an authorised unit trust scheme.

Trade: exceptions relating to non-government controlled areas of the Donetsk and Luhansk oblasts

Trade: exceptions in relation to personal effects etc.

Trade: exceptions in relation to consumer communication devices and software updates

Trade: exceptions in relation to aircraft and vessels

Trade: exception relating to the safety of aircraft and ships

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