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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(b) the exercise of functions under these Regulations;

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

(i) for an offence under any provision of these Regulations,

(ii) for an offence under CEMA in connection with any prohibition in Part 5 on imports or exports, ...

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

(iv) in relation to a monetary penalty under regulation 88A (OFCOM: power to impose monetary penalties) , or

(v) in relation to a monetary penalty under regulation 88C(1) , (1A), (1B), (3) or (3A) (Treasury: power to impose monetary penalties)

(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) consider that it is appropriate to disclose the information.

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

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

(6) In paragraph (1)(b)—

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

(b) the reference to a licence under Part 7 includes—

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

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

Part 7: supplementary

79

(1) A disclosure of information under regulation 78 or 78A 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 78 and 78A do not limit the circumstances in which information may be disclosed apart from those regulations.

(5) Nothing in this Part limits any conditions which may be contained in a Treasury licence or a trade licence.

(6) In this regulation—

“the data protection legislation” has the same meaning as in the Data Protection Act 2018 (see section 3 of that Act) ;

“privileged information” means information with respect to which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings.

PART 9 — Enforcement

Penalties for offences

80

(1) A person who commits an offence under any provision of Part 3 (Finance), regulation 67 (finance: licensing offences), 57 (Crimean ports direction, Donetsk ports direction or Kherson and Zaporizhzhia ports direction), 57A (prohibition on port entry), 57B(4) (directions prohibiting port entry), 57C(3) (movement of ships) or 57N(1) to (4) (aircraft 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) or 9B(6) (confidentiality), 67A (director disqualification: licensing offences), 68 (trade: licensing offences), 68A (aircraft: licensing offences), 76(6) (general trade licences: records) or 77(5) (general trade licences: inspection of records) 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 57B(6) (directions prohibiting port entry: confidentiality), 57C(5) (movement of ships: confidentiality), 57N(5) (aircraft: confidentiality), 70(6) , 70A(6) or 74 (information offences in connection with Part 3) , or 77B (internet services: information offences) is liable—

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

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

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

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

Liability of officers of bodies corporate etc.

81

(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

82

(1) Where an offence under regulation 9(6) or 9B(6) (confidentiality), Part 3 (Finance), regulation 46Z9B, 46Z9C or 46Z9D (maritime transportation of certain oil and oil products), regulation 54D (legal advisory services), regulation 67 (finance: licensing offences) , 68A (aircraft: licensing offences) , regulation 70(6) or 74 (information offences in connection with Part 3) , or 77B (internet services: information offences) 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

83

(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

84

(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

85

(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), except regulation 54D (legal advisory services), but only insofar as the offence under that regulation relates to legal advisory services concerning relevant activity which would be prohibited under any of regulations 11 to 19,

(aa) regulation 67 (finance: licensing offences) but only insofar as the offence under that regulation relates to offences under regulations 46Z9B to 46Z9D (maritime transportation of certain oil and oil products),

(b) regulation 68 (trade: licensing offences),

(d) regulation 77(5) (general trade licences: inspection of records).

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

(a) a referral to the Commissioners by—

(i) the Secretary of State,

(ii) the Treasury, or

(iii) OFCOM, where such referral relates to a suspected offence under regulation 54A(4);

(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 a relevant offence under any of the following provisions—

(za) regulation 24(3) insofar as the offence does not relate to dual-use goods, military goods, or defence and security goods;

(zaa) regulation 25(3) insofar as it does not relate to the import or export of goods or the transfer of technology to or from the UK, to dual-use goods and dual-use technology, military goods and military technology, or defence and security goods and defence and security technology;

(zab) regulation 26(3) insofar as it does not relate to the import or export of goods or the transfer of technology to or from the UK, to dual-use goods and dual use technology, military goods and military technology, or defence and security goods and defence and security technology;

(zac) regulation 27(3) insofar as it does not relate to the import or export of goods or the transfer of technology to or from the UK, to dual-use goods and dual use technology, military goods and military technology, or defence and security goods and defence and security technology;

(zad) regulation 28(7) insofar as it does not relate to the import or export of goods or the transfer of technology to or from the UK, to dual-use goods and dual-use technology, military goods and military technology, or defence and security goods and defence and security technology;

(zae) regulation 29(3) insofar as it does not relate to the import or export of goods or the transfer of technology to or from the UK, to dual-use goods and dual use technology, military goods and military technology, or defence and security goods and defence and security technology;

(zb) regulation 29A(3) insofar as it does not relate to the import or export of goods;

(zc) regulation 30(3);

(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

(ca) regulation 42(3) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(caa) regulation 42A(3) insofar as it does not relate to the transfer of technology to or from the UK;

(cb) regulation 43(3) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(cc) regulation 44(5) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(d) regulation 45(3) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(dza) regulation 46(3);

(da) regulation 46A(4) insofar as it does not relate to the import or export of goods or the transfer of technology to or from the UK;

(e) regulation 46B(4) insofar as it does not relate to the import or export of goods;

(ea) regulation 46BA(3) (technical assistance relating to luxury goods) insofar as it does not relate to the import or export of goods;

(eb) regulation 46BB(3) (financial services and funds relating to luxury goods) insofar as it does not relate to the import or export of goods;

(ec) regulation 46BC(4) (brokering services relating to luxury goods) insofar as it does not relate to the import or export of goods;

(ed) regulation 46E(3) insofar as it does not relate to the import or export of goods;

(f) regulation 46F(3);

(g) regulation 46G(3) insofar as it does not relate to the import or export of goods;

(h) regulation 46H(3) insofar as it does not relate to the import or export of goods;

(hza) regulation 46I(3) insofar as it does not relate to the import or export of goods;

(hzb) regulation 46IH(3) insofar as it does not relate to the import or export of goods;

(ha) regulation 46II(3);

(i) regulation 46K(3);

(ia) regulation 46L(4) insofar as it does not relate to the import or export of goods;

(j) regulation 46N(4) insofar as it does not relate to the import or export of goods;

(jza) regulation 46O(3) insofar as it does not relate to the import or export of goods;

(jzb) regulation 46P(5) insofar as it does not relate to the import or export of goods;

(jzc) regulation 46Q(3) insofar as it does not relate to the import or export of goods;

(jzca) regulation 46T(3) insofar as it does not relate to the import or export of goods;

(jzcb) regulation 46V(3) insofar as it does not relate to the import or export of goods;

(jzcc) regulation 46W(3) insofar as it does not relate to the import or export of goods;

(jzcd) regulation 46X(3) insofar as it does not relate to the import or export of goods;

(jzd) regulation 46XC(3) insofar as it does not relate to the import or export of goods;

(ja) regulation 46XD(3);

(jb) regulation 46XE(3) insofar as it does not relate to the import or export of goods;

(jc) regulation 46XF(3) insofar as it does not relate to the import or export of goods;

(jd) regulation 46XG(3) insofar as it does not relate to the import or export of goods;

(k) regulation 46Y(4) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(kza) regulation 46YA(3) insofar as it does not relate to the transfer of technology to or from the United Kingdom;

(ka) regulation 46Z(3) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(kb) regulation 46Z1(5) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(l) regulation 46Z2(3) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(la) regulation 46Z5(3) insofar as it does not relate to the import or export of goods;

(lb) regulation 46Z7(3) insofar as it does not relate to the import or export of goods;

(lc) regulation 46Z8(3) insofar as it does not relate to the import or export of goods;

(ld) regulation 46Z9(3) insofar as it does not relate to the import or export of goods;

(m) regulation 46Z9B(8);

(n) regulation 46Z9B(9);

(o) regulation 46Z9C(4);

(p) regulation 46Z9C(5);

(q) regulation 46Z9D(4);

(r) regulation 46Z9D(5);

(rza) regulation 46Z12(3) insofar as it does not relate to the import or export of goods;

(rzb) regulation 46Z14(3) insofar as it does not relate to the import or export of goods;

(rzc) regulation 46Z15(3) insofar as it does not relate to the import or export of goods;

(rzd) regulation 46Z16(3) insofar as it does not relate to the import or export of goods;

(rze) regulation 46Z16D(4) insofar as it does not relate to the import or export of goods;

(rzf) regulation 46Z16E(3) insofar as it does not relate to the import or export of goods;

(rzg) regulation 46Z16G(3) insofar as it does not relate to the import or export of goods;

(rzh) regulation 46Z16H(3) insofar as it does not relate to the import of goods;

(rzi) regulation 46Z16I(3) insofar as it does not relate to the import or export of goods;

(ra) regulation 46Z16L(3) insofar as it does not relate to the import or export of goods;

(rb) regulation 46Z16M(3);

(rc) regulation 46Z16N(3) insofar as it does not relate to the import or export of goods;

(rd) regulation 46Z16O(3) insofar as it does not relate to the import or export of goods;

(re) regulation 46Z16P(3) insofar as it does not relate to the import or export of goods;

(rf) regulation 46Z19(3) insofar as it does not relate to the import or export of goods;

(rg) regulation 46Z21(3) insofar as it does not relate to the import or export of goods;

(rh) regulation 46Z22(3) insofar as it does not relate to the import or export of goods;

(ri) regulation 46Z23(3) insofar as it does not relate to the import or export of goods;

(rj) regulation 46Z26(3) insofar as it does not relate to the import or export of goods;

(rk) regulation 46Z27(3) insofar as it does not relate to the import or export of goods;

(rl) regulation 46Z28(3) insofar as it does not relate to the import or export of goods;

(rm) regulation 46Z29(3) insofar as it does not relate to the import or export of goods;

(s) regulation 46Z30(4) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(saa) regulation 46Z30A(3) insofar as it does not relate to the transfer of technology to or from the United Kingdom;

(sa) regulation 46Z31(3) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(sb) regulation 46Z32(5) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(t) regulation 46Z33(3) insofar as it does not relate to the import or export of goods or to the transfer of technology to or from the United Kingdom;

(ta) regulation 46Z34(3) insofar as it does not relate to the transfer of technology to or from the United Kingdom;

(tb) regulation 46Z35(3) insofar as it does not relate to the transfer of technology to or from the United Kingdom;

(tc) regulation 46Z36(3) insofar as it does not relate to the transfer of technology to or from the United Kingdom;

(td) regulation 46Z37(5) insofar as it does not relate to the transfer of technology to or from the United Kingdom;

(te) regulation 46Z38(3) insofar as it does not relate to the transfer of technology to or from the United Kingdom;

(u) regulation 49(3);

(ua) regulation 50(3) insofar as it does not relate to the import or export of goods;

(ub) regulation 51(3) insofar as it does not relate to the import or export of goods;

(uc) regulation 52(5) insofar as it does not relate to the import or export of goods;

(v) regulation 53(3) insofar as it does not relate to the import or export of goods;

(w) regulation 54(3);

(x) regulation 54A(4);

(y) regulation 54C(3);

(z) regulation 54D(4);

(z1) regulation 67(1);

(z2) regulation 67(2).

(3BA) In paragraph (3B)(ea) to (ec), “third country” meansa country that is not the United Kingdom, the Isle of Man or Russia.

(3BB) Paragraph (3A) also applies to the suspected commission of a relevant offence under regulation 55(2), insofar as the 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).

(3C) Paragraph (3A) also applies to the suspected commission of a relevant offence under any of regulations 68(1), 68(2), 76(6) and 77(5) insofar as—

(a) the suspected offence relates to a licence issued under regulation 65, and

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

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

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

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

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

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

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

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

(d) in section 154(2)—

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

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

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

(7) Any term in this regulation that is defined in 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

86

(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 regulations 23 , 46D , 46IB , 46S , 46XB , 46Z4, 46Z11, 46Z16B, 46Z16C, 46Z18 , 46Z25 46T or 47(1) (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 regulations 22(1), ... 30B, 40(1), 46B(1), 46N(1), 46Y(1) or 48 (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 regulation 22(1), 23, ... 30B, 40(1), 46B(1), 46D, 46N(1), 46S , 46XB, 46Y(1), 46Z4, 46Z11, 46Z18, 47(1) or 48 (exports and 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 Serious Organised Crime and Police Act 2005

87

Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005 (investigatory powers) applies to any offence under Part 3 (Finance) , regulations 46Z9B to 46Z9D (maritime transportation of certain oil and oil products) , regulation 54D (legal advisory services) or regulation 67 (finance: licensing offences).

Monetary penalties

88

Each provision in Part 5 (Trade) which contains a prohibition imposed for a purpose mentioned in section 3(1) or (2) of the Act and regulation 70A (designated persons: reporting obligations) are to be regarded as not being financial sanctions legislation for the purposes of Part 8 of the Policing and Crime Act 2017 .

PART 10 — Maritime enforcement

Exercise of maritime enforcement powers

89

(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 22 to 26 (trade sanctions relating to restricted goods and restricted technology);

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

(ba) a prohibition in any of regulations 30B to 30D (trade sanctions in respect of goods and technology relating to non-government controlled Ukrainian territory);

(ca) a prohibition in regulation 46B (trade sanctions relating to luxury goods);

(cb) a prohibition in any of regulations 46D to 46F (trade sanctions relating to iron and steel products);

(cbza) a prohibition in regulation 46IB (trade sanctions in relation to relevant processed iron or steel products);

(cba) a prohibition in regulation 46L (trade sanctions in relation to banknotes);

(cbb) a prohibition in regulation 46N (trade sanctions in relation to jet fuel and fuel additives);

(cbc) a prohibition in regulation 46S or 46T (trade sanctions in relation to Schedule 3D revenue generating goods);

(cbd) a prohibition in any of regulations 46XB to 46XD (trade sanctions in relation to Schedule 3DA revenue generating goods);

(cc) a prohibition in regulation 46Y (trade sanctions relating to G7 dependency and further goods);

(cd) a prohibition in ... regulation 46Z4 or 46Z5 (trade sanctions relating to oil and oil products);

(cda) a prohibition in regulation 46Z9B (trade sanctions relating to maritime transportation of certain oil and oil products to and between third countries);

(ce) a prohibition in regulation 46Z11 or 46Z12 (trade sanctions relating to gold);

(cea) a prohibition in regulation 46Z16B or 46Z16C (trade sanctions relating to gold jewellery and relevant processed gold);

(cf) a prohibition in regulation 46Z18 or 46Z19 (trade sanctions relating to coal and coal products);

(cg) a prohibition in regulation 46Z25 or 46Z26 (trade sanctions relating to liquefied natural gas);

(ch) a prohibition in regulation 46Z30 (trade sanctions in relation to Russia’s vulnerable goods);

(d) a prohibition in any of regulations 47 to 50 (exports and imports etc. in relation to non-government controlled Ukrainian territory);

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

(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 91 and 92.

(5) This regulation is subject to regulation 93 (restrictions on exercise of maritime enforcement powers).

Maritime enforcement officers

90

(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.

91

(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 92, 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

92

(1) This regulation applies if a maritime enforcement officer is lawfully on a relevant ship (whether in exercise of the powers conferred by regulation 91 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 91(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

93

(1) The authority of the Secretary of State is required before any maritime enforcement power is exercised in reliance on regulation 89 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) 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 89(2) or (3),

(b) the home state has authorised the United Kingdom to act for such a purpose, or

(c) the United Nations Convention on the Law of the Sea 1982 or a UN Security Council Resolution otherwise permits the exercise of the power in relation to the ship.

Interpretation of Part 9

94

(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 89(2)(a) to (e).

PART 11 — Supplementary and final provision

Notices

95

(1) This regulation applies in relation to a notice required by regulation 66 (licences: general provisions) to be given to a person.

(2) The notice may be given to an individual—

(a) by delivering it to the individual,

(b) by sending it to the individual by post addressed to the individual at his or her usual or last-known place of residence or business, or

(3) The notice may be given to a person other than an individual—

(a) by sending it by post to the proper officer of the body at its principal office, or

(b) by addressing it to the proper officer of the body and leaving it at that office.

(4) The notice may be given to the person by other means, including by electronic means, with the person's consent.

(5) In this regulation, the reference in paragraph (3) to a “principal office”—

(a) in relation to a registered company, is to be read as a reference to the company's registered office;

(b) in relation to a body incorporated or constituted under the law of a country other than the United Kingdom, includes a reference to the body's principal office in the United Kingdom (if any).

(6) In this regulation—

“proper officer”—in relation to a body other than a partnership, means the secretary or other executive officer charged with the conduct of the body's general affairs, 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 68 (trade: licensing offences), 76(6) (general trade licences: records) or 77(5) (general trade licences: inspection of records).

Revocations of relevant retained EU law

98

The following are revoked—

(a) Council Regulation (EU) No 269/2014 of 17 March 2014 (concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine) ;

(b) Council Regulation (EU) No 692/2014 of 23 June 2014 (concerning restrictive measures in response to the illegal annexation of Crimea and Sevastopol) ;

(c) Council Regulation (EU) No 833/2014 of 31 July 2014 (concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine) .

Other revocations and amendments

99

(1) The Ukraine Financial Sanctions Regulations are revoked.

(2) The Export Control (Russia, Crimea and Sevastopol Sanctions) Order 2014 is revoked.

Transitional provision: Treasury licences

100

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

(a) was granted, or deemed to be granted, by the Treasury under the Ukraine Financial Sanctions Regulations,

(b) was in effect immediately before IP completion day, and

(c) authorises an act which would (on and after IP completion day, and in the absence of paragraphs (2) to (4)) be prohibited by Part 3 (Finance),

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

(2) An existing financial sanctions licence has effect on and after IP completion day as if it had been issued by the Treasury under regulation 64(1) (Treasury licences).

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

(b) the EU Russia Regulations,

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

(5) Paragraph (6) applies where—

(a) an application for a licence, or for the variation of a licence, under the Ukraine Financial Sanctions Regulations was made before IP completion day,

(b) the application is for authorisation of acts which would (on and after IP completion day) be prohibited by 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 64(1) (Treasury licences).

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 65 (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 Russia Regulations, and

(ii) which would (on or 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 65 (trade licences).

(5) Any reference in an existing trade sanctions licence to a provision of the Export Control (Russia, Crimea and Sevastopol Sanctions) Order 2014 or the Export Control Order 2008 is to be treated on and after IP completion day as a reference to the corresponding provision of these Regulations (if any).

(6) Any reference in an existing trade sanctions licence to a prohibition in the EU Russia Regulations 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 65 (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 (Russia, Crimea and Sevastopol Sanctions) Order 2014 or the EU Russia Regulations,

(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 65 (trade licences).

Transitional provision: prior obligations

103

(1) Where—

(a) a person was named in an Annex to the EU Russia Regulations 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 date on which the person was named in an Annex to the EU Russia Regulations.

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

(a) regulation 58(5) (finance: exceptions from prohibitions),

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

(3) In this regulation, “designated person” has the same meaning as it has in Chapter 1 of Part 3 (finance restrictions in relation to designated persons).

SCHEDULE 1 — Rules for interpretation of regulations 7(2) and 16(7)

Application of Schedule

1

(1) The rules set out in the following paragraphs of this Schedule apply for the purpose of interpreting regulations 7(2) and 16(7).

(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 regulations 7(2) and 16(7) 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 — Persons named in relation to financial restrictions

1

Sberbank

2

VTB bank

3

Gazprombank

4

Vnesheconombank (VEB)

5

Rosselkhozbank

6

OPK Oboronprom

7

United Aircraft Corporation

8

Uralvagonzavod

9

Rosneft

10

Transneft

11

Gazprom Neft

PART 1 — General

Interpretation

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.

(4) For the purposes of this Schedule, “technology” has the meaning given in paragraph 37 of Schedule 1 to the Act.

2

Any thing falling within the following commodity codes—

7304 11 00

7304 19 10

7304 19 30

7304 19 90

7304 22 00

7304 23 00

7304 29 10

7304 29 30

7304 29 90

7305 11 00

7305 12 00

7305 19 00

7305 20 00

7306 11

7306 19

7306 21 00

7306 29 00

8207 13 00

8207 19 10

8413 82 00

8413 92 00

8430 49 00

8705 20 00

8905 20 00

8905 90 10

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.

Code	Description
ex 8413 50	Reciprocating positive displacement pumps for liquids, power-driven with a maximum flow-rate greater than 18 m 3 /hour and a maximum outlet pressure greater than 40 bar, specially designed to pump drilling muds and/or cement into oil wells
ex 8413 60	Rotary positive displacement pumps for liquids, power-driven with a maximum flow-rate greater than 18 m 3 /hour and a maximum outlet pressure greater than 40 bar, specially designed to pump drilling muds and/or cement into oil wells
ex 8431 39 00	Parts suitable for use solely or principally with the oil field machinery of heading 8428
ex 8431 43 00	Parts suitable for use solely or principally with the oil field machinery of subheadings 8430 41 or 8430 49
ex 8431 49	Parts suitable for use solely or principally with the oil field machinery of heading 8426, 8429 and 8430

4

Any thing falling within the following chapters—

(a) chapters 25 to 29;

(b) chapters 72 to 76;

(d) chapter 86;

(e) chapters 88 and 89; and

(f) chapter 98.

5

Any thing falling within the following commodity codes—

3824

3826 00

8207 13 00

8207 19 10

8401 to 8418

8420 to 8432

8435 to 8437

8439 to 8443

8444 00

8445

8447

8448

8449 00 00

8450

8452 to 8468

8470 to 8484

8486

8487

8501 to 8505

8507

8511

8514

8515

8525 to 8548

8701

8702

8704

8705

8706 00

8709

8710 00 00

8716

7106 to 7112

9013 to 9015

9025 to 9033

SCHEDULE 4 — Persons named in relation to dual-use items restrictions

1

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

2

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

3

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

4

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

5

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

6

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

7

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

8

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

9

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

SCHEDULE 5 — Treasury licences: purposes

PART 1 — Asset-freeze etc.

Interpretation

1

(1) In this Part of this Schedule—

“designated person” has the same meaning as it has in Chapter 1 of Part 3 (Asset-freeze etc.);

“frozen funds or economic resources” means funds or economic resources frozen by virtue of regulation 11, and any reference to a person's frozen funds or economic resources is to funds or economic resources frozen as a consequence of the designation of that person for the purpose of that regulation.

(2) For the purposes of this Part of this Schedule, references to a designated person are to be read as including a person (“C”) who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (“P”).

(3) When determining for the purposes of paragraph 8 when C became a designated person, C is to be treated as having become a designated person at the same time as P.

Basic needs

2

(1) To enable the basic needs of a designated person, or (in the case of an individual) any dependent family member of such a person, to be met.

(2) In the case of an individual, in sub-paragraph (1) “basic needs” includes—

(a) medical needs;

(b) needs for—

(i) food;

(ii) payment of insurance premiums;

(iii) payment of tax;

(iv) rent or mortgage payments;

(v) utility payments.

(3) In the case of a person other than an individual, in sub-paragraph (1) “basic needs” includes needs for—

(a) payment of insurance premiums;

(b) payment of reasonable fees for the provision of property management services;

(d) payment of tax;

(e) rent or mortgage payments;

(f) utility payments.

(4) In sub-paragraph (1)—

“dependent” means financially dependent;

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

Legal services

3

To enable the payment of—

(a) reasonable professional fees for the provision of legal services, or

(b) reasonable expenses associated with the provision of legal services.

Maintenance of frozen funds and economic resources

4

To enable the payment of—

(a) reasonable fees, or

(b) reasonable service charges,

arising from the routine holding or maintenance of frozen funds or economic resources.

Extraordinary expenses

5

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

Pre-existing judicial decisions etc.

6

To enable the implementation or satisfaction (in whole or in part) of a judicial, administrative or arbitral decision or lien which is enforceable in the United Kingdom (the “judicial decision”), provided that—

(a) where funds or economic resources are made available to a designated person, they are credited to a frozen account or otherwise frozen by virtue of regulation 11;

(b) where funds or economic resources are made available by a person (including a designated person) to a designated person to enable the implementation or satisfaction of the judicial decision, no other designated person benefits, directly or indirectly.

Extraordinary situation

7

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

Prior obligations

8

To enable, by the use of a designated person's frozen funds or economic resources, the satisfaction of an obligation of that person (whether arising under a contract, other agreement or otherwise), provided that—

(a) the obligation arose before the date on which the person became a designated person, and

(b) no payments are made to another designated person, whether directly or indirectly.

Consular posts

9

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

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

PART 2 — Investment in non-government controlled Ukrainian territory

Consular posts

10

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

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

Medical and educational purposes

11

To enable the carrying out of projects exclusively in support of—

(a) hospitals, or other public health institutions providing medical services, or

(b) civilian education establishments, located in non-government controlled Ukrainian territory.

12

To enable anything to be done in relation to the provision or maintenance of appliances or equipment for medical use in non-government controlled Ukrainian territory.

Health and the environment

13

To enable anything to be done for the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health or safety, infrastructure or the environment.

Signed

Alan Duncan — Minister of State — 2019-04-10

Explanatory note

(This note is not part of the Regulations)

Footnotes

The power to make regulations under Part 1 of the Sanctions and Anti-Money Laundering Act 2018 is conferred on an “appropriate Minister”. Section 1(9)(a) of the Act defines an “appropriate Minister” as including the Secretary of State.

2018 c.13.

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

OJ L 78, 17.3.2014, p. 6–15.

OJ L 183 24.6.2014, p. 9.

OJ L 229, 31.7.2014, p. 1–11.

S.I. 2014/693, as modified by the Wales Act 2014 (c.29), section 4(4)(a) and amended by S.I. 2017/560, S.I. 2017/754 and S.I. 2018/682 and as prospectively amended by S.I. 2018/1149.

S.I. 2014/2054, as amended by S.I. 2014/2445, S.I. 2014/3230, S.I. 2017/560, S.I. 2017/754, 2018/682 and as prospectively amended by S.I. 2018/1149.

1971 c. 77, as amended by the Immigration and Asylum Act 1999 (c.33), s.8 and the Immigration Act 2016 (c.19), s.76.

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

Command 8941.

2000 c.8. Section 142D was inserted by section 4(1) of the Financial Services (Banking Reform) Act 2013 (c.33).

Section 142A was inserted by section 4(1) of the Financial Services (Banking Reform) Act 2013 (c.33).

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

Section 22 was amended by; the Financial Guidance and Claims Act 2018 (c.10), Part 2, s.27(4); the Financial Services Act 2012, section 7(1); and S.I. 2018/135.

S.I. 2001/544, as amended by S.I. 2017/500.

Schedule 2 was amended by; the Dormant Bank and Building Society Accounts Act 2008 (c.31), section 15, Schedule 2, para. 1; the Regulation of Financial Services (Land Transactions) Act 2003 (c.24), section 1; the Financial Services Act 2012, section 7(2) to (5) and section 8; S.I. 2013/1881; and it is prospectively amended by S.I. 2018/135.

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