1995 c. 46.

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.

1980 c. 43. Amendments have been made to Schedule 3 that are not relevant to these Regulations.

1945 c. 15 (N.I.).

S.I. 1981/1675 (N.I. 26).

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).

Section 138 of CEMA was amended by the Police and Criminal Evidence Act 1984 (c. 60), section 119(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.

“The customs and excise Acts” is defined in section 1 of CEMA.

Section 145 of CEMA was amended by the Commissioners for Revenue and Customs Act 2005 (c. 11), Schedule 4, paragraph 23; and S.I. 2014/834. Section 147 was amended by the Magistrates’ Courts Act 1980 (c. 43), section 154, 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 150 of CEMA was amended by the Finance Act 2016 (c. 24), section 174(3). Section 151 of CEMA was amended by the Magistrates’ Courts Act 1980 (c. 43), section 154, Schedule 7, paragraph 177. Section 152 was amended by the Commissioners for Revenue and Customs Act 2005, section 53, Schedule 4, paragraph 26, and section 52, Schedule 5. Section 155 was amended by the Commissioners for Revenue and Customs Act 2005, section 53, Schedule 4, paragraph 27, and section 52, Schedule 5.

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

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

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; S.I. 2014/834; and S.I. 2023/149.

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).

Reg. 79 in force at 14.12.2023, see reg. 1(2)

Reg. 80 in force at 14.12.2023, see reg. 1(2)

Reg. 81 in force at 14.12.2023, see reg. 1(2)

Reg. 82 in force at 14.12.2023, see reg. 1(2)

Reg. 83 in force at 14.12.2023, see reg. 1(2)

Reg. 84 in force at 14.12.2023, see reg. 1(2)

Reg. 85 in force at 14.12.2023, see reg. 1(2)

Reg. 86 in force at 14.12.2023, see reg. 1(2)

Reg. 87 in force at 14.12.2023, see reg. 1(2)

http://www.legislation.gov.uk/uksi/2023/1314/part/10The Iran (Sanctions) Regulations 2023enSANCTIONSStatute Law Database2024-09-24Expert Participation2024-09-13These Regulations are made under the Sanctions and Anti-Money Laundering Act 2018 (c. 13) to establish a sanctions regime in relation to Iran for the purpose of encouraging the Government of Iran to comply with international human rights law and to respect human rights and to deter the Government of Iran or an armed group backed by the Government of Iran from conducting hostile activity against the United Kingdom and other countries.PART 10Enforcement79Penalties for offences1

A person who commits an offence under any provision of Part 3 (Finance) or regulation 46(4) (prohibition on port entry), 47(4) (directions prohibiting port entry), 48(3) (movement of ships), or 64 (finance: licensing offences), is liable—

a

on summary conviction in England and Wales, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine (or both);

b

on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);

c

on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);

d

on conviction on indictment, to imprisonment for a term not exceeding 7 years or a fine (or both).

2

A person who commits an offence under any provision of Part 6 (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 11(6) or 13(6) (confidentiality), 65 (director disqualification: licensing offences), 66 (trade: licensing offences), 74(6) (general trade licences: records) or 75(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 47(6) (directions prohibiting port entry: confidentiality), 48(5) (movement of ships: confidentiality), 68(6) or 72 (information offences in connection with Part 3) is liable—

a

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

b

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

c

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

80Liability of officers of bodies corporate etc.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.

81Jurisdiction to try offences1

Where an offence under regulation 11(6) or 13(6) (confidentiality), Part 3 (Finance), regulation 64 (finance: licensing offences) or regulation 68(6) or 72 (information offences in connection with Part 3) is committed in the United Kingdom—

a

proceedings for the offence may be taken at any place in the United Kingdom, and

b

the offence may for all incidental purposes be treated as having been committed at any such place.

2

Where an offence under these Regulations is committed outside the United Kingdom—

a

proceedings for the offence may be taken at any place in the United Kingdom, and

b

the offence may for all incidental purposes be treated as having been committed at any such place.

3

In the application of paragraph (2) to Scotland, any such proceedings against a person may be taken—

a

in any sheriff court district in which the person is apprehended or is in custody, or

b

in such sheriff court district as the Lord Advocate may determine.

4

In paragraph (3) “sheriff court district” is to be read in accordance with the Criminal Procedure (Scotland) Act 1995 (see section 307(1) of that Act).

82Procedure for offences by unincorporated bodies1

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.

83Time limit for proceedings for summary offences1

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.

84Trade enforcement: application of CEMA1

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 6 (Trade),

b

regulation 66 (trade: licensing offences),

c

regulation 74(6) (general trade licences: records), or

d

regulation 75(5) (general trade licences: inspection of records).

4

The Commissioners may not investigate the suspected commission of a relevant offence listed in paragraphs (5) and (6), unless the suspected offence has been the subject of—

a

a referral to the Commissioners by the Secretary of State, or

b

a decision by the Commissioners to treat the suspected offence as if it had been referred to them under sub-paragraph (a).

5

Paragraph (4) applies to the suspected commission of an offence under any of the following provisions—

a

regulation 35(3) (provision of interception and monitoring services);

b

regulation 44(2) (circumventing etc. prohibitions) insofar as it relates to the prohibition at regulation 35(1).

6

Paragraph (4) also applies to the suspected commission of a relevant offence under any of regulations 66(1), 66(2), 74(6) and 75(5) insofar as—

a

the suspected offence relates to a licence issued under regulation 62, and

b

the activity authorised by that licence would, if no licence had been issued, amount to an offence specified in paragraph (5).

7

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.

8

The provisions of CEMA mentioned in paragraph (9) 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.

9

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

85Trade offences in CEMA: modification of penalty1

Paragraph (2) applies where a person is guilty of an offence under section 68(2) of CEMA in connection with a prohibition mentioned in regulation 28(1) or 37(1) (export of restricted goods etc.).

2

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.

3

Paragraph (4) applies where a person is guilty of an offence under section 170(2) of CEMA in connection with a prohibition mentioned in regulation 28(1) or 37(1).

4

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.

86Application of Chapter 1 of Part 2 of Serious Organised Crime and Police Act 2005

Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005 (investigatory powers) applies to any offence under Part 3 (Finance) or regulation 64 (finance: licensing offences).

87Monetary penalties

Each provision in Part 6 (Trade) which contains a prohibition imposed for a purpose mentioned in section 3(1) or (2) of the Act is to be regarded as not being financial sanctions legislation for the purposes of Part 8 of the Policing and Crime Act 2017.

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<note class="footnote" eId="f00030">
<p>
<ref href="http://www.legislation.gov.uk/id/ukpga/1995/46">1995 c. 46</ref>
.
</p>
</note>
<note class="footnote" eId="f00031">
<p>
<ref href="http://www.legislation.gov.uk/id/ukpga/1925/86">1925 c. 86</ref>
as amended by the Statute Law (Repeals) Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2004/14">2004 (c. 14)</ref>
, section 1(1) and Schedule 1, Part 17. Other amendments have been made to section 33 that are not relevant to these Regulations.
</p>
</note>
<note class="footnote" eId="f00032">
<p>
<ref href="http://www.legislation.gov.uk/id/ukpga/1980/43">1980 c. 43</ref>
. Amendments have been made to Schedule 3 that are not relevant to these Regulations.
</p>
</note>
<note class="footnote" eId="f00033">
<p>
<ref href="http://www.legislation.gov.uk/id/apni/1945/15">1945 c. 15 (N.I.)</ref>
.
</p>
</note>
<note class="footnote" eId="f00034">
<p>
<ref href="http://www.legislation.gov.uk/id/nisi/1981/1675">S.I. 1981/1675 (N.I. 26)</ref>
.
</p>
</note>
<note class="footnote" eId="f00035">
<p>
The definition of “assigned matter” in section 1(1) of CEMA was amended by the Commissioners for Revenue and Customs Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2005/11">2005 (c. 11)</ref>
, Schedule 4, paragraph 22(a); the Scotland Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2012/11">2012 (c. 11)</ref>
, section 24(7); and the Wales Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2014/29">2014 (c. 29)</ref>
, section 7(1).
</p>
</note>
<note class="footnote" eId="f00036">
<p>
Section 138 of CEMA was amended by the Police and Criminal Evidence Act
<ref href="http://www.legislation.gov.uk/id/ukpga/1984/60">1984 (c. 60)</ref>
, section 119(1), Schedule 6, paragraph 37 and Schedule 7, Part 1; the Finance Act
<ref href="http://www.legislation.gov.uk/id/ukpga/1988/39">1988 (c. 39)</ref>
, section 11; the Serious Organised Crime and Police Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2005/15">2005 (c. 15)</ref>
, Schedule 7, paragraph 54;
<ref href="http://www.legislation.gov.uk/id/nisi/1989/1341">S.I. 1989/1341 (N.I. 12)</ref>
; and
<ref href="http://www.legislation.gov.uk/id/uksi/2007/288">S.I. 2007/288</ref>
.
</p>
</note>
<note class="footnote" eId="f00037">
<p>“The customs and excise Acts” is defined in section 1 of CEMA.</p>
</note>
<note class="footnote" eId="f00038">
<p>
Section 145 of CEMA was amended by the Commissioners for Revenue and Customs Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2005/11">2005 (c. 11)</ref>
, Schedule 4, paragraph 23; and
<ref href="http://www.legislation.gov.uk/id/uksi/2014/834">S.I. 2014/834</ref>
. Section 147 was amended by the Magistrates’ Courts Act
<ref href="http://www.legislation.gov.uk/id/ukpga/1980/43">1980 (c. 43)</ref>
, section 154, Schedule 7, paragraph 176; the Criminal Justice Act
<ref href="http://www.legislation.gov.uk/id/ukpga/1982/48">1982 (c. 48)</ref>
, section 77, Schedule 14, paragraph 42; the Finance Act
<ref href="http://www.legislation.gov.uk/id/ukpga/1989/26">1989 (c. 26)</ref>
, section 16(2); and the Criminal Justice Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2003/44">2003 (c. 44)</ref>
, section 41, Schedule 3, paragraph 50. Section 150 of CEMA was amended by the Finance Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2016/24">2016 (c. 24)</ref>
, section 174(3). Section 151 of CEMA was amended by the Magistrates’ Courts Act
<ref href="http://www.legislation.gov.uk/id/ukpga/1980/43">1980 (c. 43)</ref>
, section 154, Schedule 7, paragraph 177. Section 152 was amended by the Commissioners for Revenue and Customs Act 2005, section 53, Schedule 4, paragraph 26, and section 52, Schedule 5. Section 155 was amended by the Commissioners for Revenue and Customs Act 2005, section 53, Schedule 4, paragraph 27, and section 52, Schedule 5.
</p>
</note>
<note class="footnote" eId="f00039">
<p>The words “7 years” were inserted in section 68(3)(b) of CEMA by the Finance Act 1988, section 12.</p>
</note>
<note class="footnote" eId="f00040">
<p>The words “7 years” were inserted in section 170(3)(b) of CEMA by the Finance Act 1988, section 12.</p>
</note>
<note class="footnote" eId="f00041">
<p>
<ref href="http://www.legislation.gov.uk/id/ukpga/2005/15">2005 c. 15</ref>
. Chapter 1 of Part 2 has been amended by the Terrorism Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2006/11">2006 (c. 11)</ref>
, section 33(3) and (4); the Northern Ireland (Miscellaneous Provisions) Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2006/33">2006 (c. 33)</ref>
, sections 26(2) and 30(2) and Schedules 3 and 5; the Bribery Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2010/23">2010 (c. 23)</ref>
, section 17(2) and Schedule 1; the Criminal Justice and Licensing (Scotland) Act
<ref href="http://www.legislation.gov.uk/id/asp/2010/13">2010 (asp 13)</ref>
, section 203 and Schedule 7, paragraph 77; the Crime and Courts Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2013/22">2013 (c. 22)</ref>
, section 15 and Schedule 8, paragraphs 157 and 159; the Criminal Finances Act
<ref href="http://www.legislation.gov.uk/id/ukpga/2017/22">2017 (c. 22)</ref>
, section 51(1); the Sanctions and Anti-Money Laundering Act 2018, section 59(4) and Schedule 3, paragraph 4;
<ref href="http://www.legislation.gov.uk/id/uksi/2006/1629">S.I. 2006/1629</ref>
;
<ref href="http://www.legislation.gov.uk/id/uksi/2014/834">S.I. 2014/834</ref>
; and
<ref href="http://www.legislation.gov.uk/id/uksi/2023/149">S.I. 2023/149</ref>
.
</p>
</note>
<note class="footnote" eId="f00042">
<p>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).</p>
</note>
<note class="commentary I" eId="key-fb9cca39e825da57f2e7a625f9c9d4ef">
<p>
Reg. 79 in force at 14.12.2023, see
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1314/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note class="commentary I" eId="key-33ff7ff58ebf358523e0f3ea8ae50abb">
<p>
Reg. 80 in force at 14.12.2023, see
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1314/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note class="commentary I" eId="key-27b7060ad732db64587e41596811ab4d">
<p>
Reg. 81 in force at 14.12.2023, see
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1314/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note class="commentary I" eId="key-e9e30482ce15bc29b2597b9f5f4e1088">
<p>
Reg. 82 in force at 14.12.2023, see
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1314/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note class="commentary I" eId="key-8cd87e22d2533aeb1e861400d09f089f">
<p>
Reg. 83 in force at 14.12.2023, see
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1314/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note class="commentary I" eId="key-166703c12b509f34c1ef0f7b0f89914a">
<p>
Reg. 84 in force at 14.12.2023, see
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1314/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note class="commentary I" eId="key-8a74a21fe34c3c40940e79604dcb6374">
<p>
Reg. 85 in force at 14.12.2023, see
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1314/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note class="commentary I" eId="key-1d28f703e1af1916da8ec3b3416df0c9">
<p>
Reg. 86 in force at 14.12.2023, see
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1314/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note class="commentary I" eId="key-2cb7a52afb2992785f1cf824c78c102a">
<p>
Reg. 87 in force at 14.12.2023, see
<ref href="http://www.legislation.gov.uk/id/uksi/2023/1314/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
</notes>
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<dc:title>The Iran (Sanctions) Regulations 2023</dc:title>
<dc:language>en</dc:language>
<dc:subject scheme="SIheading">SANCTIONS</dc:subject>
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<dc:description>These Regulations are made under the Sanctions and Anti-Money Laundering Act 2018 (c. 13) to establish a sanctions regime in relation to Iran for the purpose of encouraging the Government of Iran to comply with international human rights law and to respect human rights and to deter the Government of Iran or an armed group backed by the Government of Iran from conducting hostile activity against the United Kingdom and other countries.</dc:description>
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<num>PART 10</num>
<heading>Enforcement</heading>
<hcontainer name="regulation" eId="regulation-79" period="#period1">
<num>
<noteRef href="#key-fb9cca39e825da57f2e7a625f9c9d4ef" marker="I1" class="commentary I"/>
79
</num>
<heading>Penalties for offences</heading>
<paragraph eId="regulation-79-1">
<num>1</num>
<intro>
<p>A person who commits an offence under any provision of Part 3 (Finance) or regulation 46(4) (prohibition on port entry), 47(4) (directions prohibiting port entry), 48(3) (movement of ships), or 64 (finance: licensing offences), is liable—</p>
</intro>
<subparagraph eId="regulation-79-1-a">
<num>a</num>
<content>
<p>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);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-1-b">
<num>b</num>
<content>
<p>on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-1-c">
<num>c</num>
<content>
<p>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);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-1-d">
<num>d</num>
<content>
<p>on conviction on indictment, to imprisonment for a term not exceeding 7 years or a fine (or both).</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-79-2">
<num>2</num>
<intro>
<p>A person who commits an offence under any provision of Part 6 (Trade) is liable—</p>
</intro>
<subparagraph eId="regulation-79-2-a">
<num>a</num>
<content>
<p>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);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-2-b">
<num>b</num>
<content>
<p>on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-2-c">
<num>c</num>
<content>
<p>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);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-2-d">
<num>d</num>
<content>
<p>on conviction on indictment, to imprisonment for a term not exceeding 10 years or a fine (or both).</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-79-3">
<num>3</num>
<intro>
<p>A person who commits an offence under regulation 11(6) or 13(6) (confidentiality), 65 (director disqualification: licensing offences), 66 (trade: licensing offences), 74(6) (general trade licences: records) or 75(5) (general trade licences: inspection of records) is liable—</p>
</intro>
<subparagraph eId="regulation-79-3-a">
<num>a</num>
<content>
<p>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);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-3-b">
<num>b</num>
<content>
<p>on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-3-c">
<num>c</num>
<content>
<p>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);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-3-d">
<num>d</num>
<content>
<p>on conviction on indictment, to imprisonment for a term not exceeding 2 years or a fine (or both).</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-79-4">
<num>4</num>
<intro>
<p>A person who commits an offence under regulation 47(6) (directions prohibiting port entry: confidentiality), 48(5) (movement of ships: confidentiality), 68(6) or 72 (information offences in connection with Part 3) is liable—</p>
</intro>
<subparagraph eId="regulation-79-4-a">
<num>a</num>
<content>
<p>on summary conviction in England and Wales, to imprisonment for a term not exceeding 6 months or a fine (or both);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-4-b">
<num>b</num>
<content>
<p>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);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-79-4-c">
<num>c</num>
<content>
<p>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).</p>
</content>
</subparagraph>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-80" period="#period1">
<num>
<noteRef href="#key-33ff7ff58ebf358523e0f3ea8ae50abb" marker="I2" class="commentary I"/>
80
</num>
<heading>Liability of officers of bodies corporate etc.</heading>
<paragraph eId="regulation-80-1">
<num>1</num>
<intro>
<p>Where an offence under these Regulations, committed by a body corporate—</p>
</intro>
<subparagraph eId="regulation-80-1-a">
<num>a</num>
<content>
<p>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</p>
</content>
</subparagraph>
<subparagraph eId="regulation-80-1-b">
<num>b</num>
<content>
<p>is attributable to any neglect on the part of any such person,</p>
</content>
</subparagraph>
</paragraph>
<hcontainer name="wrapper">
<content>
<p>that person as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.</p>
</content>
</hcontainer>
<paragraph eId="regulation-80-2">
<num>2</num>
<content>
<p>
In paragraph (1) “
<term refersTo="#term-director">director</term>
”, in relation to a body corporate whose affairs are managed by its members, means a member of the body corporate.
</p>
</content>
</paragraph>
<paragraph eId="regulation-80-3">
<num>3</num>
<intro>
<p>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—</p>
</intro>
<subparagraph eId="regulation-80-3-a">
<num>a</num>
<content>
<p>in the case of a partnership, to a partner;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-80-3-b">
<num>b</num>
<intro>
<p>in the case of an unincorporated body other than a partnership—</p>
</intro>
<clause eId="regulation-80-3-b-i">
<num>i</num>
<content>
<p>where the body’s affairs are managed by its members, to a member of the body;</p>
</content>
</clause>
<clause eId="regulation-80-3-b-ii">
<num>ii</num>
<content>
<p>in any other case, to a member of the governing body.</p>
</content>
</clause>
</subparagraph>
</paragraph>
<paragraph eId="regulation-80-4">
<num>4</num>
<content>
<p>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.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-81" period="#period1">
<num>
<noteRef href="#key-27b7060ad732db64587e41596811ab4d" marker="I3" class="commentary I"/>
81
</num>
<heading>Jurisdiction to try offences</heading>
<paragraph eId="regulation-81-1">
<num>1</num>
<intro>
<p>Where an offence under regulation 11(6) or 13(6) (confidentiality), Part 3 (Finance), regulation 64 (finance: licensing offences) or regulation 68(6) or 72 (information offences in connection with Part 3) is committed in the United Kingdom—</p>
</intro>
<subparagraph eId="regulation-81-1-a">
<num>a</num>
<content>
<p>proceedings for the offence may be taken at any place in the United Kingdom, and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-81-1-b">
<num>b</num>
<content>
<p>the offence may for all incidental purposes be treated as having been committed at any such place.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-81-2">
<num>2</num>
<intro>
<p>Where an offence under these Regulations is committed outside the United Kingdom—</p>
</intro>
<subparagraph eId="regulation-81-2-a">
<num>a</num>
<content>
<p>proceedings for the offence may be taken at any place in the United Kingdom, and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-81-2-b">
<num>b</num>
<content>
<p>the offence may for all incidental purposes be treated as having been committed at any such place.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-81-3">
<num>3</num>
<intro>
<p>In the application of paragraph (2) to Scotland, any such proceedings against a person may be taken—</p>
</intro>
<subparagraph eId="regulation-81-3-a">
<num>a</num>
<content>
<p>in any sheriff court district in which the person is apprehended or is in custody, or</p>
</content>
</subparagraph>
<subparagraph eId="regulation-81-3-b">
<num>b</num>
<content>
<p>in such sheriff court district as the Lord Advocate may determine.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-81-4">
<num>4</num>
<content>
<p>
In paragraph (3) “
<term refersTo="#term-sheriff-court-district">sheriff court district</term>
” is to be read in accordance with the Criminal Procedure (Scotland) Act 1995 (see section 307(1) of that Act)
<noteRef href="#f00030" class="footnote" marker="30"/>
.
</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-82" period="#period1">
<num>
<noteRef href="#key-e9e30482ce15bc29b2597b9f5f4e1088" marker="I4" class="commentary I"/>
82
</num>
<heading>Procedure for offences by unincorporated bodies</heading>
<paragraph eId="regulation-82-1">
<num>1</num>
<content>
<p>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).</p>
</content>
</paragraph>
<paragraph eId="regulation-82-2">
<num>2</num>
<content>
<p>Proceedings in England and Wales or Northern Ireland for such an offence must be brought against the body in its own name.</p>
</content>
</paragraph>
<paragraph eId="regulation-82-3">
<num>3</num>
<intro>
<p>For the purposes of proceedings, for such an offence brought against an unincorporated body—</p>
</intro>
<subparagraph eId="regulation-82-3-a">
<num>a</num>
<content>
<p>rules of court relating to the service of documents have effect as if the body were a body corporate;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-82-3-b">
<num>b</num>
<intro>
<p>the following provisions apply as they apply in relation to a body corporate—</p>
</intro>
<clause eId="regulation-82-3-b-i">
<num>i</num>
<content>
<p>
section 33 of the Criminal Justice Act 1925
<noteRef href="#f00031" class="footnote" marker="31"/>
and Schedule 3 to the Magistrates’ Courts Act 1980
<noteRef href="#f00032" class="footnote" marker="32"/>
;
</p>
</content>
</clause>
<clause eId="regulation-82-3-b-ii">
<num>ii</num>
<content>
<p>
section 18 of the Criminal Justice Act (Northern Ireland) 1945
<noteRef href="#f00033" class="footnote" marker="33"/>
and Article 166 of, and Schedule 4 to, the Magistrates’ Courts (Northern Ireland) Order 1981
<noteRef href="#f00034" class="footnote" marker="34"/>
.
</p>
</content>
</clause>
</subparagraph>
</paragraph>
<paragraph eId="regulation-82-4">
<num>4</num>
<content>
<p>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.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-83" period="#period1">
<num>
<noteRef href="#key-8cd87e22d2533aeb1e861400d09f089f" marker="I5" class="commentary I"/>
83
</num>
<heading>Time limit for proceedings for summary offences</heading>
<paragraph eId="regulation-83-1">
<num>1</num>
<content>
<p>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.</p>
</content>
</paragraph>
<paragraph eId="regulation-83-2">
<num>2</num>
<content>
<p>But such proceedings may not be brought by virtue of paragraph (1) more than 3 years after the commission of the offence.</p>
</content>
</paragraph>
<paragraph eId="regulation-83-3">
<num>3</num>
<content>
<p>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.</p>
</content>
</paragraph>
<paragraph eId="regulation-83-4">
<num>4</num>
<intro>
<p>In relation to proceedings in Scotland—</p>
</intro>
<subparagraph eId="regulation-83-4-a">
<num>a</num>
<content>
<p>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</p>
</content>
</subparagraph>
<subparagraph eId="regulation-83-4-b">
<num>b</num>
<content>
<p>references in this regulation to the prosecutor are to be treated as references to the Lord Advocate.</p>
</content>
</subparagraph>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-84" period="#period1">
<num>
<noteRef href="#key-166703c12b509f34c1ef0f7b0f89914a" marker="I6" class="commentary I"/>
84
</num>
<heading>Trade enforcement: application of CEMA</heading>
<paragraph eId="regulation-84-1">
<num>1</num>
<intro>
<p>Where the Commissioners investigate or propose to investigate any matter with a view to determining—</p>
</intro>
<subparagraph eId="regulation-84-1-a">
<num>a</num>
<content>
<p>whether there are grounds for believing that a relevant offence has been committed, or</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-1-b">
<num>b</num>
<content>
<p>whether a person should be prosecuted for such an offence,</p>
</content>
</subparagraph>
<wrapUp>
<p>the matter is to be treated as an assigned matter.</p>
</wrapUp>
</paragraph>
<paragraph eId="regulation-84-2">
<num>2</num>
<content>
<p>
In paragraph (1) “
<term refersTo="#term-assigned-matter">assigned matter</term>
” has the meaning given by section 1(1) of CEMA
<noteRef href="#f00035" class="footnote" marker="35"/>
.
</p>
</content>
</paragraph>
<paragraph eId="regulation-84-3">
<num>3</num>
<intro>
<p>
In this regulation a “
<term refersTo="#term-relevant-offence">relevant offence</term>
” means an offence under—
</p>
</intro>
<subparagraph eId="regulation-84-3-a">
<num>a</num>
<content>
<p>Part 6 (Trade),</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-3-b">
<num>b</num>
<content>
<p>regulation 66 (trade: licensing offences),</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-3-c">
<num>c</num>
<content>
<p>regulation 74(6) (general trade licences: records), or</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-3-d">
<num>d</num>
<content>
<p>regulation 75(5) (general trade licences: inspection of records).</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-84-4">
<num>4</num>
<intro>
<p>The Commissioners may not investigate the suspected commission of a relevant offence listed in paragraphs (5) and (6), unless the suspected offence has been the subject of—</p>
</intro>
<subparagraph eId="regulation-84-4-a">
<num>a</num>
<content>
<p>a referral to the Commissioners by the Secretary of State, or</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-4-b">
<num>b</num>
<content>
<p>a decision by the Commissioners to treat the suspected offence as if it had been referred to them under sub-paragraph (a).</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-84-5">
<num>5</num>
<intro>
<p>Paragraph (4) applies to the suspected commission of an offence under any of the following provisions—</p>
</intro>
<subparagraph eId="regulation-84-5-a">
<num>a</num>
<content>
<p>regulation 35(3) (provision of interception and monitoring services);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-5-b">
<num>b</num>
<content>
<p>regulation 44(2) (circumventing etc. prohibitions) insofar as it relates to the prohibition at regulation 35(1).</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-84-6">
<num>6</num>
<intro>
<p>Paragraph (4) also applies to the suspected commission of a relevant offence under any of regulations 66(1), 66(2), 74(6) and 75(5) insofar as—</p>
</intro>
<subparagraph eId="regulation-84-6-a">
<num>a</num>
<content>
<p>the suspected offence relates to a licence issued under regulation 62, and</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-6-b">
<num>b</num>
<content>
<p>the activity authorised by that licence would, if no licence had been issued, amount to an offence specified in paragraph (5).</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-84-7">
<num>7</num>
<intro>
<p>
Section 138 of CEMA
<noteRef href="#f00036" class="footnote" marker="36"/>
(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
<noteRef href="#f00037" class="footnote" marker="37"/>
, but as if—
</p>
</intro>
<subparagraph eId="regulation-84-7-a">
<num>a</num>
<content>
<p>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;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-7-b">
<num>b</num>
<content>
<p>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.</p>
</content>
</subparagraph>
</paragraph>
<paragraph eId="regulation-84-8">
<num>8</num>
<intro>
<p>The provisions of CEMA mentioned in paragraph (9) 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—</p>
</intro>
<subparagraph eId="regulation-84-8-a">
<num>a</num>
<content>
<p>any reference to the customs and excise Acts were to any of the provisions mentioned in paragraph (3)(a) to (d);</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-8-b">
<num>b</num>
<content>
<p>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;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-8-c">
<num>c</num>
<content>
<p>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;</p>
</content>
</subparagraph>
<subparagraph eId="regulation-84-8-d">
<num>d</num>
<intro>
<p>in section 154(2)—</p>
</intro>
<clause eId="regulation-84-8-d-i">
<num>i</num>
<content>
<p>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</p>
</content>
</clause>
<clause eId="regulation-84-8-d-ii">
<num>ii</num>
<content>
<p>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.</p>
</content>
</clause>
</subparagraph>
</paragraph>
<paragraph eId="regulation-84-9">
<num>9</num>
<content>
<p>
The provisions of CEMA are sections 145, 146, 147, 148(1), 150, 151, 152, 154 and 155
<noteRef href="#f00038" class="footnote" marker="38"/>
(legal proceedings).
</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-85" period="#period1">
<num>
<noteRef href="#key-8a74a21fe34c3c40940e79604dcb6374" marker="I7" class="commentary I"/>
85
</num>
<heading>Trade offences in CEMA: modification of penalty</heading>
<paragraph eId="regulation-85-1">
<num>1</num>
<content>
<p>Paragraph (2) applies where a person is guilty of an offence under section 68(2) of CEMA in connection with a prohibition mentioned in regulation 28(1) or 37(1) (export of restricted goods etc.).</p>
</content>
</paragraph>
<paragraph eId="regulation-85-2">
<num>2</num>
<content>
<p>
Where this paragraph applies, the reference to 7 years in section 68(3)(b) of CEMA
<noteRef href="#f00039" class="footnote" marker="39"/>
is to be read as a reference to 10 years.
</p>
</content>
</paragraph>
<paragraph eId="regulation-85-3">
<num>3</num>
<content>
<p>Paragraph (4) applies where a person is guilty of an offence under section 170(2) of CEMA in connection with a prohibition mentioned in regulation 28(1) or 37(1).</p>
</content>
</paragraph>
<paragraph eId="regulation-85-4">
<num>4</num>
<content>
<p>
Where this paragraph applies, the reference to 7 years in section 170(3)(b) of CEMA
<noteRef href="#f00040" class="footnote" marker="40"/>
is to be read as a reference to 10 years.
</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-86" period="#period1">
<num>
<noteRef href="#key-1d28f703e1af1916da8ec3b3416df0c9" marker="I8" class="commentary I"/>
86
</num>
<heading>Application of Chapter 1 of Part 2 of Serious Organised Crime and Police Act 2005</heading>
<content>
<p>
Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005 (investigatory powers)
<noteRef href="#f00041" class="footnote" marker="41"/>
applies to any offence under Part 3 (Finance) or regulation 64 (finance: licensing offences).
</p>
</content>
</hcontainer>
<hcontainer name="regulation" eId="regulation-87" period="#period1">
<num>
<noteRef href="#key-2cb7a52afb2992785f1cf824c78c102a" marker="I9" class="commentary I"/>
87
</num>
<heading>Monetary penalties</heading>
<content>
<p>
Each provision in Part 6 (Trade) which contains a prohibition imposed for a purpose mentioned in section 3(1) or (2) of the Act is to be regarded as not being financial sanctions legislation for the purposes of Part 8 of the Policing and Crime Act 2017
<noteRef href="#f00042" class="footnote" marker="42"/>
.
</p>
</content>
</hcontainer>
</part>
</portionBody>
</portion>
</akomaNtoso>