The Yemen (Sanctions) (EU Exit) Regulations 2020

Made: 9th July 2020

Laid before Parliament: 15th July 2020

Coming into force in accordance with regulation 1(2)

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PART 1 — General

Citation and commencement

1

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Interpretation

2

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Application of prohibitions and requirements outside the United Kingdom

3

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Purpose

4

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PART 2 — Designation of persons

Power to designate persons

5

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Criteria for designating a person

6

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Meaning of “owned or controlled directly or indirectly”

7

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Notification and publicity where designation power used

8

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Confidential information in certain cases where designation power used

9

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Designation of persons named by or under UN Security Council Resolutions

10

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PART 3 — Finance

Meaning of “designated person” in Part 3

11

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Asset-freeze in relation to designated persons

12

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Making funds available to designated persons

13

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Making funds available for benefit of designated persons

14

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Making economic resources available to designated persons

15

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Making economic resources available for benefit of designated persons

16

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Circumventing etc. prohibitions

17

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PART 4 — Immigration

Immigration

18

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PART 5 — Trade

Interpretation of expressions used in this Part

19

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Export of military goods

20

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Supply and delivery of military goods

21

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Making military goods and military technology available

22

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Transfer of military technology

23

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Technical assistance relating to military goods and military technology

24

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Financial services and funds relating to military goods and military technology

25

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Brokering services: non-UK activity relating to military goods and military technology

26

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Enabling or facilitating the conduct of armed hostilities

27

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Circumventing etc. prohibitions

28

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Defences

29

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PART 6 — Exceptions and licences

Finance: exceptions from prohibitions

30

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Exception for authorised conduct in a relevant country

31

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

32

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Treasury licences

33

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Trade licences

34

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Licences: general provisions

35

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Finance: licensing offences

36

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Trade: licensing offences

37

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

38

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PART 7 — Information and records

Finance: reporting obligations

39

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“Relevant firm”

40

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Finance: powers to request information

41

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Finance: production of documents

42

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Finance: information offences

43

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Trade: application of information powers in CEMA

44

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General trade licences: records

45

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General trade licences: inspection of records

46

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Disclosure of information

47

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Part 7: supplementary

48

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PART 8 — Enforcement

Penalties for offences

49

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Liability of officers of bodies corporate etc.

50

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Jurisdiction to try offences

51

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Procedure for offences by unincorporated bodies

52

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Time limit for proceedings for summary offences

53

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Trade enforcement: application of CEMA

54

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Trade offences in CEMA: modification of penalty

55

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

56

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Monetary penalties

57

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PART 9 — Maritime enforcement

Exercise of maritime enforcement powers

58

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Maritime enforcement officers

59

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Power to stop, board, search etc.

60

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Seizure power

61

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Restrictions on exercise of maritime enforcement powers

62

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Interpretation of Part 9

63

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PART 10 — Supplementary and final provision

Notices

64

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Trade: overlapping offences

65

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Revocations

66

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Amendment of the United Nations and European Union Financial Sanctions (Linking) Regulations 2017

67

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Transitional provision: Treasury licences

68

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Transitional provision: trade licences

69

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Transitional provision: pending applications for trade licences

70

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Transitional provision: prior obligations

71

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

Application of Schedule

1

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Joint interests

2

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Joint arrangements

3

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Calculating shareholdings

4

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Voting rights

5

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6

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Rights to appoint or remove members of the board

7

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8

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Shares or rights held “indirectly”

9

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Shares held by nominees

10

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Rights treated as held by person who controls their exercise

11

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12

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Rights exercisable only in certain circumstances etc.

13

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Rights attached to shares held by way of security

14

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SCHEDULE 2 — Treasury licences: purposes

PART 1 — Interpretation

1

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PART 2 — Purposes

Basic needs

2

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Legal services

3

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Maintenance of frozen funds and economic resources

4

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Extraordinary expenses

5

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Pre-existing judicial decisions etc.

6

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Humanitarian assistance activities etc.

7

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PART 3 — Purposes relating only to UN designated persons

Prior obligations

8

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PART 4 — Purposes relating only to non-UN designated persons

Prior obligations

9

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Diplomatic missions etc.

10

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Extraordinary situation

11

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Signed

Ahmad — Minister of State — Foreign and Commonwealth Office — 9th July 2020

Explanatory note

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Footnotes

[^f00001]: The power to make regulations under Part 1 of the Sanctions and Anti-Money Laundering Act 2018 is conferred on an “appropriate Minister”. Section 1(9)(a) of the Act defines an “appropriate Minister” as including the Secretary of State.

[^f00002]: 2018 c.13.

[^f00003]: 1979 c.2. Amendments have been made to this Act and are cited, where relevant, in respect of the applicable regulations.

[^f00004]: OJ No. L 365, 19.12.2014, p.60.

[^f00005]: A copy of the English translation of the Outcomes Document is available online at: https://www.peaceagreements.org/masterdocument/1400.

[^f00006]: A copy of the English translation of the Agreement is available online at: https://osesgy.unmissions.org/sites/default/files/gcc_initiative_yemen_english.pdf.

[^f00007]: A copy of the English translation of the Agreement is available online at: https://osesgy.unmissions.org/sites/default/files/5-yemen_mechanism_english_official_v2_0.pdf.

[^f00008]: The asset-freezing measures provided for in paragraph 11 of resolution 2140 have been renewed by paragraph 2 of resolution 2204 (2015) adopted by the Security Council on 24 February 2015, paragraph 2 of resolution 2266 (2016) adopted by the Security Council on 24 February 2016, paragraph 2 of resolution 2342 (2017) adopted by the Security Council on 23 February 2017, paragraph 2 of resolution 2402 (2018) adopted by the Security Council on 26 February 2018, paragraph 2 of resolution 2456 (2019) adopted by the Security Council on 26 February 2019, and paragraph 2 of resolution 2511 (2020) adopted by the Security Council on 25 February 2020.

[^f00009]: “Person” is defined by section 9(5) of the Sanctions and Anti-Money Laundering Act 2018 to include (in addition to an individual and a body of persons corporate or unincorporate) any organisation and any association or combination of persons.

[^f00010]: Section 13 of the Sanctions and Anti-Money Laundering Act 2018 requires that where the purposes of a provision of regulations under section 1 include compliance with a UN obligation to take particular measures in relation to UN-named persons (which is the case with the regulations mentioned in regulation 10), the regulations must provide for those persons to be designated persons for the purposes of that provision.

[^f00011]: 1971 c.77. Section 8B was inserted by the Immigration and Asylum Act 1999 (c.33), section 8 and amended by the Immigration Act 2016 (c.19), section 76; and the Sanctions and Anti-Money Laundering Act 2018, section 59 and Schedule 3, Part 1.

[^f00012]: S.I. 2008/3231. Schedule 2 was substituted by S.I. 2017/85 and subsequently amended by S.I. 2017/697; S.I. 2018/165; S.I. 2018/939; S.I. 2019/137; and S.I. 2019/989. There are other instruments which amend other parts of the Order, which are not relevant to these Regulations.

[^f00013]: 2000 c.8. Section 142D was inserted by the Financial Services (Banking Reform) Act 2013 (c.33), section 4(1).

[^f00014]: Section 142A was inserted by the Financial Services (Banking Reform) Act 2013, section 4(1).

[^f00015]: Part 4A was inserted by the Financial Services Act 2012 (c.21), section 11(2) and most recently amended by S.I. 2018/546; it is prospectively amended by S.I. 2019/632.

[^f00016]: Section 22 was amended by the Financial Guidance and Claims Act 2018 (c.10), section 27(4); the Financial Services Act 2012 (c.21), section 7(1); and S.I. 2018/135.

[^f00017]: S.I. 2001/544 as most recently amended by S.I. 2019/679; S.I. 2020/117; and S.I. 2020/480; and it is prospectively amended by S.I. 2018/1149; S.I. 2108/1403; S.I. 2019/632; S.I. 2019/660; S.I. 2019/710; and S.I. 2019/1361.

[^f00018]: Schedule 2 was amended by the Regulation of Financial Services (Land Transactions) Act 2005 (c.24), section 1; the Dormant Bank and Building Society Accounts Act 2008 (c.31), section 15 and Schedule 2, paragraph 1; the Financial Services Act 2012, sections 7(2) to (5) and 8; the Financial Guidance and Claims Act 2018, section 27(13); S.I. 2013/1881; S.I. 2018/135; and it is prospectively amended by S.I. 2019/632.

[^f00019]: 2006 c.46.

[^f00020]: 2014 c.2.

[^f00021]: 2005 c.19.

[^f00022]: 1979 c.38. Section 1 was amended by the Law Reform (Miscellaneous Provisions) (Scotland) Act 1985 (c.73), Schedule 1, paragraph 40; the Planning (Consequential Provisions) Act 1990 (c.11), Schedule 2, paragraph 42; the Planning (Consequential Provisions) (Scotland) Act 1997 (c.11), Schedule 2, paragraph 28; the Planning Act (Northern Ireland) 2011 (c.25), Schedule 6, paragraph 21; the Enterprise and Regulatory Reform Act 2013 (c.24), section 70; S.I. 1991/1220; S.I. 1991/2684; S.S.I. 2000/121 and S.I. 2001/1283.

[^f00023]: Section 1210 was amended by S.I. 2008/565; S.I. 2008/1950; S.I. 2011/99; S.I. 2012/1809; S.I. 2013/3115; S.I. 2017/516; and S.I. 2017/1164; and it is prospectively amended by S.I. 2019/177.

[^f00024]: Section 77A was inserted by the Finance Act 1987 (c.16), section 10 and amended by S.I. 1992/3095.

[^f00025]: S.I. 1991/2724 is amended by S.I. 1992/3095; S.I. 1993/3014; and S.I. 2011/1043 and it is prospectively revoked by S.I. 2018/1247.

[^f00026]: 2017 c.3.

[^f00027]: Section 1(8) of the Sanctions and Anti-Money Laundering Act 2018 defines an “international obligation” as an obligation of the United Kingdom created or arising by or under any international agreement.

[^f00028]: 2016 c.25. Amendments have been made by the Policing and Crime Act 2017, Schedule 9, paragraph 74; the Data Protection Act 2018 (c.12), Schedule 19, paragraphs 198-203; Counter-Terrorism and Border Security Act 2019 (c.3) Schedule 4, paragraph 33; the Sanctions and Anti-Money Laundering Act 2018, section 59(4), Schedule 3, paragraph 7; Crime (Overseas Production Orders) Act 2019 (c.5) section 16; S.I. 2018/652; S.I. 2018/1123; S.I. 2018/378; S.I. 2018/905; S.I. 2018/1123; S.I. 2019/419; S.I. 2019/742; S.I. 2019/ 939. Saving provisions are made by S.I. 2017/859.

[^f00029]: 2018 c.12. There are amendments to this Act but none are relevant to these Regulations.

[^f00030]: 2003 c.44. Amendments have been made to section 154(1), but none are relevant to these Regulations.

[^f00031]: 1995 c.46.

[^f00032]: 1925 c.86 as amended by the Statute Law (Repeals) Act 2004 (c.14), section 1(1) and Schedule 1, Part 17. Other amendments have been made to section 33 that are not relevant to these Regulations.

[^f00033]: 1980 c.43. Amendments have been made to Schedule 3 that are not relevant to these Regulations.

[^f00034]: 1945 c. 15 (N.I.).

[^f00035]: S.I. 1981/1675 (N.I. 26).

[^f00036]: The definition of “assigned matter” in section 1(1) of CEMA was amended by the Commissioners for Revenue and Customs Act 2005 (c.11), Schedule 4, paragraph 22(a); the Scotland Act 2012 (c.11), section 24(7); and the Wales Act 2014 (c.29), section 7(1).

[^f00037]: Section 138 of CEMA was amended by the Police and Criminal Evidence Act 1984 (c. 60), section 114(1), Schedule 6, paragraph 37 and Schedule 7, Part 1; the Finance Act 1988 (c.39), section 11; the Serious Organised Crime and Police Act 2005 (c.15), Schedule 7, paragraph 54; S.I. 1989/1341 (N.I. 12); and S.I. 2007/288.

[^f00038]: “the customs and excise Acts” is defined in section 1 of CEMA.

[^f00039]: Section 145 of CEMA was amended by the Police and Criminal Evidence Act 1984, section 114(1); the Commissioners for Revenue and Customs Act 2005 (c.11), Schedule 4, paragraph 23(a); and S.I. 2014/834. Section 147 was amended by the Magistrates Courts Act 1980 (c.43), section 154 and Schedule 7, paragraph 176; the Criminal Justice Act 1982 (c.48), section 77, Schedule 14, paragraph 42; the Finance Act 1989 (c.26), section 16(2); and the Criminal Justice Act 2003 (c.44), section 41, Schedule 3, paragraph 50. Section 152 was amended by the Commissioners for Revenue and Customs Act 2005, section 50, Schedule 4, paragraph 26, and section 52, Schedule 5. Section 155 was amended by the Commissioners for Revenue and Customs Act 2005, section 50, Schedule 4, paragraph 27, and section 52, Schedule 5.

[^f00040]: The words “7 years” were inserted in section 68(3)(b) of CEMA by the Finance Act 1988, section 12.

[^f00041]: The words “7 years” were inserted in section 170(3)(b) of CEMA by the Finance Act 1988, section 12.

[^f00042]: 2005 c.15. Chapter 1 of Part 2 has been amended by the Terrorism Act 2006 (c.11), section 33(3) and (4); the Northern Ireland (Miscellaneous Provisions) Act 2006 (c.33), sections 26(2) and 30(2) and Schedules 3 and 5; the Bribery Act 2010 (c.23), section 17(2) and Schedule 1; the Criminal Justice and Licensing (Scotland) Act 2010 asp 13, section 203 and Schedule 7, paragraph 77; the Crime and Courts Act 2013 (c.22), section 15 and Schedule 8, paragraphs 157 and 159; the Criminal Finances Act 2017 (c.22), section 51(1); the Sanctions and Anti-Money Laundering Act 2018, section 59(4) and Schedule 3, paragraph 4; S.I. 2006/1629; and S.I. 2014/834.

[^f00043]: See section 143(4)(f) and (4A), as inserted by the Sanctions and Anti-Money Laundering Act 2018, Schedule 3, paragraph 8(1) and (3).

[^f00044]: 1987 c.4. Section 1 was amended by the Police Act 1996 (c.16), Schedule 7, paragraph 41; the Police (Northern Ireland) Act 1998 (c.32), Schedule 4, paragraph 16; the Police Reform Act 2002 (c.30), section 79(3); and S.I. 2013/602.

[^f00045]: 2012 asp 8.

[^f00046]: 1996 c.16. Section 27 was amended by the Police and Justice Act 2006 (c.48), Schedule 2, paragraph 23; the Policing and Crime Act 2009 (c.26), Schedule 7, paragraphs 1 and 6; and the Police Reform and Social Responsibility Act 2011 (c.13), Schedule 16, paragraph 26.

[^f00047]: 1847 c.27. Section 79 was amended by S.I. 2006/2167

[^f00048]: 2013 c.23.

[^f00049]: 1964 c.40. Section 16 was amended by section 29(2) of the Wales Act 2017 (c.4); S.I. 1970/1681; and S.I. 1999/672. Other amendments have been made to section 16 that are not relevant to these Regulations.

[^f00050]: 2009 c.11. Designated customs officials are designated, as either a general customs official or a customs revenue official, under sections 3 and 11 of this Act respectively.

[^f00051]: 2013 c.22.

[^f00052]: Command 8941.

[^f00053]: Articles 37 and 38 are prospectively amended by S.I. 2019/137. Article 37 has been amended by S.I. 2012/1910. Article 38 has been amended by S.I. 2017/85.

[^f00054]: As prospectively amended by S.I. 2019/380.

[^f00055]: S.I. 2014/3349, amended by the Wales Act 2014 (c.29), Part 1, section 4(4)(a), S.I. 2017/560, S.I. 2017/754 and S.I. 2018/682; it is also prospectively amended by S.I. 2018/1149 and S.I. 2019/380.

[^f00056]: S.I. 2015/1586.

[^f00057]: S.I. 2017/478, to which there are amendments not relevant to these Regulations.

[^f00058]: 1986 c.45.

[^f00059]: S.I. 1989/2405 (N.I. 19).

[^f00060]: United Nations Treaty Series, vol. 596, p.261.

[^f00061]: United Nations Treaty Series, vol. 500, p. 95.

Editorial notes