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The Mali (Sanctions) (EU Exit) Regulations 2020

Type Statutory-Instrument

Publication 2020-07-07

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

Reform history JSON API PDF

Made: 7th July 2020

Laid before Parliament: 9th July 2020

Coming into force in accordance with regulation 1(2)

The Secretary of State , in exercise of the powers conferred by sections 1(1)(a) and (c) and (3), 3(1)(a) and (d)(i), 4, 9(2), 10(2)(a) and (c), (3) and (4), 11, 13, 15(2)(a) and (b), (3), (4)(b), (5) and (6), 16, 17(2) to (5) and (8), 21(1), 54(1) and (2), 56 and 62(4) and (5) of the Sanctions and Anti-Money Laundering Act 2018 , and having decided, upon consideration of the matters set out in section 2(2) and 56(1) of that Act, that it is appropriate to do so, makes the following Regulations:

PART 1 — General

Citation and commencement

1

(1) These Regulations may be cited as the Mali (Sanctions) (EU Exit) Regulations 2020.

(2) These Regulations come into force in accordance with regulations made by the Secretary of State under section 56 of the Act.

Interpretation

2

In these Regulations—

“the Act” means the Sanctions and Anti-Money Laundering Act 2018;

“the Agreement on Peace and Reconciliation in Mali” means the Agreement on Peace and Reconciliation in Mali done at Bamako on 15 May 2015 ;

“arrangement” includes any agreement, understanding, scheme, transaction or series of transactions, whether or not legally enforceable (but see paragraph 12 of Schedule 1 for the meaning of that term in that Schedule);

“the Committee” means the Committee of the Security Council established in accordance with paragraph 9 of resolution 2374;

“conduct” includes acts and omissions;

“director disqualification licence” means a licence under regulation 22A;

“document” includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include producing a copy of the information in legible form;

“the EU Mali Regulation” means Council Regulation (EU) 2017/1770 of 28 September 2017 concerning restrictive measures in view of the situation in Mali , as it has effect in EU law;

“humanitarian assistance activity” includes the work of international and non-governmental organisations carrying out relief activities in Mali for the benefit of the civilian population there;

“Mali” means the Republic of Mali;

“resolution 2374” means resolution 2374 (2017) adopted by the Security Council on 5 September 2017;

“serious human rights violation or abuse” means a serious violation or abuse of any of the human rights specified in regulation 4(2)(g);

“Treasury licence” means a licence under regulation 22(1);

“United Kingdom person” has the same meaning as in section 21 of the Act.

Application of prohibitions and requirements outside the United Kingdom

3

(1) A United Kingdom person may contravene a relevant prohibition by conduct wholly or partly outside the United Kingdom.

(2) Any person may contravene a relevant prohibition by conduct in the territorial sea.

(3) In this regulation, a “relevant prohibition” means any prohibition imposed by—

(a) regulation 9(2) (confidential information),

(b) Part 3 (Finance), or

(4) A United Kingdom person may comply, or fail to comply, with a relevant requirement by conduct wholly or partly outside the United Kingdom.

(5) Any person may comply, or fail to comply, with a relevant requirement by conduct in the territorial sea.

(6) In this regulation, a “relevant requirement” means any requirement imposed—

(a) by or under Part 6 (Information and records), or by reason of a request made under a power conferred by that Part, or

(b) by a condition of a Treasury licence.

(7) Nothing in this regulation is to be taken to prevent a relevant prohibition or a relevant requirement from applying to conduct (by any person) in the United Kingdom.

Purposes

4

(1) The regulations contained in this instrument that are made under section 1 of the Act have the purposes mentioned in paragraph (2).

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

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

(2) Those ... purposes are promoting—

(a) the peace, stability and security of Mali,

(b) the implementation of the Agreement on Peace and Reconciliation in Mali,

(i) local, regional and state institutions in Mali,

(ii) the Malian defence and security forces, ...

(iii) the governance or implementation mechanisms referred to in, or established in accordance with, the Agreement on Peace and Reconciliation in Mali,

(iv) the rule of law in Mali,

(v) comprehensive and inclusive peace negotiations and agreements in Mali, and

(vi) transition to civilian-led government and democratic governance in Mali,

(d) the effective delivery of the mandates of the international security, peace-support and capacity-building missions and mechanisms in Mali, including—

(i) those from time to time established by the United Nations;

(ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iv) the European Union Training Mission Mali (EUTM Mali) ;

(v) the European Union CSDP mission in Mali (EUCAP Sahel Mali) ;

(vi) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e) respect for humanitarian assistance activity in Mali,

(f) compliance with the rules of international humanitarian law applicable to the armed conflicts in Mali, and

(g) respect for human rights in Mali, including, in particular, respect for—

(i) the right to life of persons in Mali;

(ii) the right of persons in Mali not to be held in slavery or required to perform forced or compulsory labour;

(iii) the right of persons not to be subjected to torture or cruel, inhuman or degrading treatment or punishment in Mali;

(iv) the right to liberty and security of persons in Mali, including freedom from arbitrary arrest or detention, or enforced disappearance;

(v) the right to a fair trial of persons charged with criminal offences in Mali;

(vi) the right of journalists, human right defenders, civil society activists and other persons in Mali to freedom of expression and peaceful assembly;

(vii) the enjoyment of rights and freedoms in Mali without discrimination, including on the basis of a person's sex, race, colour, language, religion, political or other opinion, national or social origin, association with a national minority, property, birth or other status.

...

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PART 2 — Designation of persons

Power to designate persons

5

(1) The Secretary of State may designate persons by name in accordance with regulation 5A (conditions for the designation of persons by name) for the purposes of any of the following—

(a) regulations 12 to 16 (asset-freeze etc.);

(aa) regulation 17A (director disqualification sanctions);

(b) regulation 18 (immigration).

(2) The Secretary of State may designate different persons for the purposes of different provisions mentioned in paragraph (1).

Designation criteria

6

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) For the purposes of regulation 5A (conditions for the designation of persons by name) an “involved person” means a person who—

(a) is or has been involved in a relevant activity,

(b) is owned or controlled directly or indirectly (within the meaning of regulation 7) by a person who is or has been so involved,

(d) is a member of, or associated with, a person who is or has been so involved.

(3) In this regulation a “relevant activity” means—

(a) failing to comply with or to implement, including through prolonged delay, the Agreement on Peace and Reconciliation in Mali;

(b) engaging in armed hostilities in violation of the Agreement on Peace and Reconciliation in Mali;

(i) diplomatic personnel in Mali,

(ii) personnel undertaking humanitarian assistance activity in Mali, or

(iii) the institutions, bodies, missions and mechanisms falling within regulation 4(2)(c) and (d);

(d) obstruction of the delivery or distribution of, or access to, humanitarian assistance in Mali;

(e) the commission of a serious human rights violation or abuse, or violation of international humanitarian law, in Mali including, in particular, in relation to—

(i) extrajudicial killing or maiming and other forms of torture;

(ii) rape and other forms of sexual and gender-based violence;

(iii) deliberate targeting of civilians, schools, hospitals, religious sites or locations where civilians are seeking refuge;

(iv) forced displacement of civilians;

(v) recruitment or use of children in the context of the armed conflicts in Mali;

(f) the production in Mali of narcotic drugs and their precursors;

(g) the smuggling or trafficking into, through or from Mali of—

(i) persons,

(ii) cultural property,

(iii) arms or material related to arms, or

(iv) narcotic drugs and their precursors;

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

(i) threatening, impeding or frustrating inclusive peace negotiations or transition to democratic, civilian-led government in Mali;

(j) obstructing or undermining respect for democracy, the rule of law and good governance in Mali; or

(k) inciting violence in Mali.

(4) Any reference in this regulation to being involved in a relevant activity includes being so involved in whatever way and wherever any actions constituting the involvement take place, and in particular includes—

(a) being responsible for, engaging in, providing support for, or promoting, any such activity;

(b) providing financial services, or making available funds or economic resources, that could contribute to any such activity;

(5) In this regulation “relevant provision” means—

(a) any provision of Part 3 (Finance);

(b) any provision of the law of a country other than the United Kingdom made for purposes corresponding to a purpose of any provision of Part 3;

(6) Nothing in any sub-paragraph of paragraph (3) or (4) is to be taken to limit the meaning of any of the other sub-paragraphs of those paragraphs.

(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Meaning of “owned or controlled directly or indirectly”

7

(1) A person who is not an individual (“C”) is “owned or controlled directly or indirectly” by another person (“P”) if either of the following two conditions is met (or both are met).

(2) The first condition is that P—

(a) holds directly or indirectly more than 50% of the shares in C,

(b) holds directly or indirectly more than 50% of the voting rights in C, or

(3) Schedule 1 contains provision applying for the purpose of interpreting paragraph (2).

(4) The second condition is that it is reasonable, having regard to all the circumstances, to expect that P would (if P chose to) be able, in most cases or in significant respects, by whatever means and whether directly or indirectly, to achieve the result that affairs of C are conducted in accordance with P's wishes.

Notification and publicity where designation power used

8

(1) Paragraph (2) applies where the Secretary of State—

(a) has made a designation under regulation 5 (power to designate persons), or

(b) has by virtue of section 22 of the Act varied or revoked a designation made under that regulation.

(2) The Secretary of State—

(a) must without delay take such steps as are reasonably practicable to inform the designated person of the designation, variation or revocation, and

(b) must take steps to publicise the designation, variation or revocation.

(3) The information given under paragraph (2)(a)—

(a) where the Secretary of State designates a person under the standard procedure, must include a statement of reasons;

(b) where the Secretary of State designates a person under the urgent procedure, must include a statement—

(i) that the designation is made under the urgent procedure,

(ii) identifying the relevant provision by reference to which the Secretary of State considers that condition B is met in relation to the person, and

(iii) setting out why the Secretary of State considers that condition C is met.

(3A) Where the Secretary of State designates a person under the urgent procedure, the Secretary of State must, after the end of the period mentioned in paragraph (7) of regulation 5A (conditions for the designation of persons by name) or, if the Secretary of State has made a certification under paragraph (7)(b) of that regulation, the period mentioned in paragraph (8) of that regulation, but otherwise without delay—

(a) in a case where the person ceases to be a designated person, take such steps as are reasonably practicable to inform the person that they have ceased to be a designated person, or

(b) in any other case, take such steps as are reasonably practicable to give the person a statement of reasons.

(4) In this regulation, a “statement of reasons” means a brief statement of the matters that the Secretary of State knows, or has reasonable grounds to suspect, in relation to the person—

(a) in the case of a designation under the standard procedure, which have led the Secretary of State to make the designation, and

(b) in the case of a designation under the urgent procedure, as a result of which the person does not cease to be a designated person at the end of the period mentioned in regulation 5A(7) or (8) (as the case may be).

(5) Matters that would otherwise be required by paragraph (4) to be included in a statement of reasons may be excluded from it where the Secretary of State considers that they should be excluded—

(a) in the interests of national security or international relations,

(b) for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or

(6) The steps taken under paragraph (2)(b) must—

(a) unless one or more of the restricted publicity conditions is met, be steps to publicise generally—

(i) the designation, variation or revocation, and

(ii) in the case of a designation, the statement of reasons;

(b) if one or more of those conditions is met, be steps to inform only such persons as the Secretary of State considers appropriate of the designation, variation or revocation and (in the case of a designation) of the contents of the statement of reasons.

(7) The “restricted publicity conditions” are as follows—

(a) the designation is of a person believed by the Secretary of State to be an individual under the age of 18;

(b) the Secretary of State considers that disclosure of the designation, variation or revocation should be restricted—

(i) in the interests of national security or international relations,

(ii) for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or

(iii) in the interests of justice.

(8) Paragraph (9) applies if—

(a) when a designation is made, one or more of the restricted publicity conditions is met, but

(b) at any time when the designation has effect, it becomes the case that none of the restricted publicity conditions is met.

(9) The Secretary of State must—

(a) take such steps as are reasonably practicable to inform the designated person that none of the restricted publicity conditions is now met, and

(b) take steps to publicise generally the designation and the statement of reasons relating to it.

Confidential information in certain cases where designation power used

9

(1) Where the Secretary of State in accordance with regulation 8(6)(b) informs only certain persons of a designation, variation or revocation and (in the case of a designation) of the contents of the statement of reasons, the Secretary of State may specify that any of that information is to be treated as confidential.

(2) A person (“P”) who—

(a) is provided with information that is to be treated as confidential in accordance with paragraph (1), or

(b) otherwise obtains such information,

must not, subject to paragraph (3), disclose it if P knows, or has reasonable cause to suspect, that the information is to be treated as confidential.

(3) The prohibition in paragraph (2) does not apply to any disclosure made by P with lawful authority.

(4) For this purpose information is disclosed with lawful authority only if and to the extent that—

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