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The Mali (Sanctions) (EU Exit) Regulations 2020

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PART 1U.K.General

Citation and commencementU.K.

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.

Commencement Information

I1Reg. 1 in force at 14.12.2020 by S.I. 2020/1514, reg. 13(1)

InterpretationU.K.

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 M1;

“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;

[F1“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 M2, 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.

Textual Amendments

Commencement Information

I2Reg. 2 in force at 14.12.2020 by S.I. 2020/1514, reg. 13(1)

Marginal Citations

M1A scanned copy of the Agreement on Peace and Reconciliation in Mali (in the original French and titled as the ‘Accord Pour la Paix et la Reconciliation au Mali - Issu du Processus d’Alger) is available online at https://peacemaker.un.org/node/2681.

M2OJ No. L 251, 29.9.2017, p. 1.

Application of prohibitions and requirements outside the United KingdomU.K.

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

(c)a condition of a Treasury licence.

(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.

Commencement Information

I3Reg. 3 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

PurposesU.K.

4.—(1) The regulations contained in this instrument that are made under section 1 of the Act have the [F2purposes mentioned in paragraph (2).]

F3(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F4(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) Those F5... purposes are promoting—

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

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

(c)respect for—

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

(ii)the Malian defence and security forces, F6...

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

[F7(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)[F8those from time to time established by the United Nations];

F9(ii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F10(iii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iv)the European Union Training Mission Mali (EUTM Mali) M3;

(v)the European Union CSDP mission in Mali (EUCAP Sahel Mali) M4;

F11(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 [F12status.]

F13...

F14(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F14(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I4Reg. 4 in force at 14.12.2020 by S.I. 2020/1514, reg. 13(1)

Marginal Citations

M3The European Union Training Mission Mali (EUTM Mali) was established in accordance with Council Decision 2013/34/CFSP of 17 January 2013 concerning a European Union military mission to contribute to the training of the Malian Armed Forces (EUTM Mali); its mandate was most recently extended by Council Decision (CFSP) 2020/434 of 23 March 2020.

M4The European Union CSDP mission in Mali (EUCAP Sahel Mali) was established in accordance with Council Decision 2014/219/CFSP of 15 April 2014 on the European Union CSDP mission in Mali (EUCAP Sahel Mali); its mandate was most recently extended by Council Decision (CFSP) 2019/312 of 21 February 2019.

PART 2U.K.Designation of persons

Power to designate personsU.K.

5.—(1) The Secretary of State may designate persons by name for the purposes of any of the following—

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

[F15(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).

Textual Amendments

Commencement Information

I5Reg. 5 in force at 14.12.2020 by S.I. 2020/1514, reg. 13(1)

Designation criteriaU.K.

6.—(1) The Secretary of State may not designate a person under regulation 5 (power to designate persons) unless the Secretary of State—

(a)has reasonable grounds to suspect that that person is an involved person, and

(b)considers that the designation of that person is appropriate, having regard to—

(i)the purposes stated in regulation 4 (purposes), and

(ii)the likely significant effects of the designation on that person (as they appear to the Secretary of State to be on the basis of the information that the Secretary of State has).

(2) In this regulation 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,

(c)is acting on behalf of or at the direction of a person who is or has been so involved, or

(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;

(c)an attack against, or obstruction of the activities of—

(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)[F16arms or material related to arms], or

(iv)narcotic drugs and their precursors;

F17(h). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F18(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;

(c)being involved in assisting the contravention or circumvention of any relevant provision.

(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;

(c)any provision of resolution 2374.

(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.

F19(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F16Words in reg. 6(3)(g)(iii) substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 5) Regulations 2020 (S.I. 2020/1397), regs. 1(2), 2(2)(a); S.I. 2020/1514, reg. 22

Commencement Information

I6Reg. 6 in force at 14.12.2020 by S.I. 2020/1514, reg. 13(1)

Meaning of “owned or controlled directly or indirectly”U.K.

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

(c)holds the right directly or indirectly to appoint or remove a majority of the board of directors of C.

(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.

Commencement Information

I7Reg. 7 in force at 14.12.2020 by S.I. 2020/1514, reg. 13(1)

Notification and publicity where designation power usedU.K.

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) where a designation is made must include a statement of reasons.

(4) In this regulation a “statement of reasons”, in relation to a designation, means a brief statement of the matters that the Secretary of State knows, or has reasonable grounds to suspect, in relation to the designated person which have led the Secretary of State to make the designation.

(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

(c)in the interests of justice.

(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.

Commencement Information

I8Reg. 8 in force at 14.12.2020 by S.I. 2020/1514, reg. 13(1)

Confidential information in certain cases where designation power usedU.K.

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—

(a)the disclosure is by, or is authorised by, the Secretary of State,

(b)the disclosure is by or with the consent of the person who is or was the subject of the designation,

(c)the disclosure is necessary to give effect to a requirement imposed under or by virtue of these Regulations or any other enactment, or

(d)the disclosure is required, under rules of court, tribunal rules or a court or tribunal order, for the purposes of legal proceedings of any description.

(5) This regulation does not prevent the disclosure of information that is already, or has previously been, available to the public from other sources.

(6) A person who contravenes the prohibition in paragraph (2) commits an offence.

(7) The High Court (in Scotland, the Court of Session) may, on the application of—

(a)the person who is the subject of the information, or

(b)the Secretary of State,

grant an injunction (in Scotland, an interdict) to prevent a breach of the prohibition in paragraph (2).

(8) In paragraph (4)(c), “enactment” has the meaning given by section 54(6) of the Act.

Commencement Information

I9Reg. 9 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Designation of persons named by or under UN Security Council ResolutionsU.K.

F2010.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

PART 3U.K.Finance

Meaning of “designated person” in Part 3U.K.

11.  In this Part a “designated person” means—

(a)a person who is designated under regulation 5 for the purposes of regulations 12 to 16 (asset-freeze etc.), F21...

F22(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I10Reg. 11 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Asset-freeze in relation to designated personsU.K.

12.—(1) A person (“P”) must not deal with funds or economic resources owned, held or controlled by a designated person if P knows, or has reasonable cause to suspect, that P is dealing with such funds or economic resources.

(2) Paragraph (1) is subject to Part 5 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence.

(4) For the purposes of paragraph (1), a person “deals with” funds if the person—

(a)uses, alters, moves, transfers or allows access to the funds,

(b)deals with the funds in any other way that would result in any change in volume, amount, location, ownership, possession, character or destination, or

(c)makes any other change, including portfolio management, that would enable use of the funds.

(5) For the purposes of paragraph (1), a person “deals with” economic resources if the person—

(a)exchanges the economic resources for funds, goods or services, or

(b)uses the economic resources in exchange for funds, goods or services (whether by pledging them as security or otherwise).

(6) The reference in paragraph (1) to funds or economic resources that are “owned, held or controlled” by a person includes, in particular, a reference to—

(a)funds or economic resources in which the person has any legal or equitable interest, regardless of whether the interest is held jointly with any other person and regardless of whether any other person holds an interest in the funds or economic resources;

(b)any tangible property (other than real property), or bearer security, that is comprised in funds or economic resources and is in the possession of the person.

(7) For the purposes of paragraph (1), funds or economic resources are to be treated as owned, held or controlled by a designated person if they are owned, held or controlled by a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

(8) For the avoidance of doubt, the reference in paragraph (1) to a designated person includes P if P is a designated person.

Commencement Information

I11Reg. 12 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Making funds available to designated personsU.K.

13.—(1) A person (“P”) must not make funds available directly or indirectly to a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.

(2) Paragraph (1) is subject to Part 5 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence.

(4) The reference in paragraph (1) to making funds available indirectly to a designated person includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

Commencement Information

I12Reg. 13 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Making funds available for benefit of designated personsU.K.

14.—(1) A person (“P”) must not make funds available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.

(2) Paragraph (1) is subject to Part 5 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence.

[F23(3A) The reference in paragraph (1) to making funds available to any person for the benefit of a designated person includes making funds available for the benefit of a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (and references to designated person in paragraph (4) are to be read accordingly).]

(4) For the purposes of this regulation—

(a)funds are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and

(b)“financial benefit” includes the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.

Textual Amendments

Commencement Information

I13Reg. 14 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Making economic resources available to designated personsU.K.

15.—(1) A person (“P”) must not make economic resources available directly or indirectly to a designated person if P knows, or has reasonable cause to suspect—

(a)that P is making the economic resources so available, and

(b)that the designated person would be likely to exchange the economic resources for, or use them in exchange for, funds, goods or services.

(2) Paragraph (1) is subject to Part 5 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence.

(4) The reference in paragraph (1) to making economic resources available indirectly to a designated person includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

Commencement Information

I14Reg. 15 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Making economic resources available for benefit of designated personsU.K.

16.—(1) A person (“P”) must not make economic resources available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the economic resources so available.

(2) Paragraph (1) is subject to Part 5 (Exceptions and licences).

(3) A person who contravenes the prohibition in paragraph (1) commits an offence.

[F24(3A) The reference in paragraph (1) to making economic resources available to any person for the benefit of a designated person includes making economic resources available for the benefit of a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (and references to designated person in paragraph (4) are to be read accordingly).]

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

(a)economic resources are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and

(b)“financial benefit” includes the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.

Textual Amendments

Commencement Information

I15Reg. 16 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Circumventing etc. prohibitionsU.K.

17.—(1) A person must not intentionally participate in activities knowing that the object or effect of them is, whether directly or indirectly—

(a)to circumvent any of the prohibitions in regulations 12 to 16 (asset-freeze etc.), or

(b)to enable or facilitate the contravention of any such prohibition.

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

Commencement Information

I16Reg. 17 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

[F25PART 3AU.K.Director disqualification sanctions

Textual Amendments

Director disqualification sanctionsU.K.

17A.  A person who is designated under regulation 5 (power to designate persons) for the purposes of this regulation is a person subject to director disqualification sanctions for the purposes of—

(a)section 11A of the Company Directors Disqualification Act 1986, and

(b)Article 15A of the Company Directors Disqualification (Northern Ireland) Order 2002.]

PART 4U.K.Immigration

ImmigrationU.K.

18.  A person who is designated under regulation 5 for the purposes of this regulation is an excluded person for the purposes of section 8B of the Immigration Act 1971 M5.

Commencement Information

I17Reg. 18 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Marginal Citations

M51971 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.

PART 5U.K.Exceptions and licences

Finance: exceptions from prohibitionsU.K.

19.—(1) The prohibition in regulation 12 (asset-freeze in relation to designated persons) is not contravened by an independent person (“P”) transferring to another person a legal or equitable interest in funds or economic resources where, immediately before the transfer, the interest—

(a)is held by P, and

(b)is not held jointly with the designated person.

(2) In paragraph (1) “independent person” means a person who—

(a)is not the designated person, and

(b)is not owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

(3) The prohibitions in regulations 12 to 14 (asset-freeze in relation to, and making funds available to, or for the benefit of, designated persons) are not contravened by a relevant institution crediting a frozen account with interest or other earnings due on the account.

(4) The prohibitions in regulations 13 and 14 (making funds available to, or for the benefit of, designated persons) are not contravened by a relevant institution crediting a frozen account where it receives funds transferred to that institution for crediting to that account.

(5) The prohibitions in regulations 13 and 14 are not contravened by the transfer of funds to a relevant institution for crediting to an account held or controlled (directly or indirectly) by a designated person, where those funds are transferred in discharge (or partial discharge) of an obligation which arose before the date on which the person became a designated person.

(6) The prohibitions in regulations 12 to 14 are not contravened in relation to a designated person (“P”) by a transfer of funds from account A to account B, where—

(a)account A is with a relevant institution which carries on an excluded activity within the meaning of section 142D of the Financial Services and Markets Act 2000 M6,

(b)account B is with a ring-fenced body within the meaning of section 142A of the Financial Services and Markets Act 2000 M7, and

(c)accounts A and B are held or controlled (directly or indirectly) by P.

(7) In this regulation—

“designated person” has the same meaning as it has in Part 3 (Finance);

“frozen account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person;

“relevant institution” means a person that has permission under Part 4A of the Financial Services and Markets Act 2000 M8 (Permission to carry on regulated activities).

(8) The definition of “relevant institution” in paragraph (7) is to be read with section 22 of the Financial Services and Markets Act 2000 M9, any relevant order under that section M10 and Schedule 2 to that Act M11.

[F26(9) For the purposes of paragraphs (1)(b), (5) and (6) and the definition of “frozen account” in paragraph (7), references to a designated person are to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

(10) When determining for the purposes of paragraph (5) when a person (“C”) who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (“D”) became a designated person, C is to be treated as having become a designated person at the same time as D.]

Textual Amendments

Commencement Information

I18Reg. 19 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Marginal Citations

M7Section 142A was inserted by the Financial Services (Banking Reform) Act 2013, section 4(1).

M8Part 4A was inserted by the Financial Services Act 2012 (c.21), section 11(2) and was most recently amended by S.I. 2018/546; it is prospectively amended by S.I. 2019/632.

M10S.I. 2001/544, as most recently amended by S.I. 2019/679; S.I. 2020/117; and S.I. 2020/480; and prospectively amended by S.I. 2019/710.

M11Schedule 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.

[F27Finance: exception from prohibitions for required paymentsU.K.

19ZA.—(1) This regulation applies to required payments within the meaning of paragraph (2).

(2) A required payment is a payment which—

(a)a designated person is required to make under or by virtue of any enactment to—

(i)the registrar of companies,

(ii)the Commissioners for His Majesty's Revenue and Customs,

(iii)the Welsh Revenue Authority,

(iv)Revenue Scotland,

(v)the Financial Conduct Authority,

(vi)the Secretary of State,

(vii)the Welsh Ministers,

(viii)the Department of Finance in Northern Ireland, or

(ix)a local authority, and

(b)is not an excluded payment.

(3) The prohibitions in regulations 12 (asset-freeze in relation to designated persons) and 14 (making funds available for benefit of designated persons) are not contravened by a person making a required payment.

(4) Where a required payment is made by a person other than a designated person, the prohibition in regulation 12 is not contravened by the designated person making a reimbursement payment to that person.

(5) The reference in paragraph (3) to a person making a required payment includes a designated person, but only where they are making a required payment on their own behalf.

(6) The following payments are to be treated as payments which a designated person is required to make under or by virtue of an enactment for the purposes of this regulation, where made by a designated person on their own behalf or by a person, other than a designated person, on behalf of a designated person—

(a)a payment to the Financial Conduct Authority of a levy imposed by the scheme manager of the Financial Services Compensation Scheme by virtue of section 213 of the Financial Services and Markets Act 2000 (the compensation scheme);

(b)a payment to the Financial Conduct Authority which is collected by that Authority on behalf of the Financial Reporting Council Limited.

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

(8) In this regulation—

“BID levy” means a levy that is imposed on those persons who are, in respect of particular business improvement district proposals, entitled to vote in accordance with section 39(3) of the Planning etc. (Scotland) Act 2006;

“business improvement district” has the meaning given in section 33 of the Planning etc. (Scotland) Act 2006;

“designated person” has the same meaning as it has in Part 3 (Finance);

“enactment” has the meaning given in section 54(6) of the Act;

“excluded payment” means, in relation to—

(a)

the registrar of companies, a payment of fees for—

(i)

the incorporation of a firm;

(ii)

the restoration of a firm to a register which is administered by the registrar;

(b)

the Financial Conduct Authority, a payment of fees for—

(i)

an application for permission from, authorisation by, registration with or recognition from the Financial Conduct Authority which relates to the carrying on of any activity falling within any function of the Financial Conduct Authority;

(ii)

an application for a variation of such permission, authorisation, registration or recognition;

(iii)

an application for listing or for eligibility for listing;

(iv)

an application for review or approval of a document relating to listing;

(v)

an application for approval as a sponsor or primary information provider;

(vi)

an application for review or approval of—

(aa)

a document under the prospectus rules or the prospectus regulation;

(bb)

listing particulars under section 79 of the Financial Services and Markets Act 2000 or supplementary listing particulars under section 81 of that Act;

(c)

the Secretary of State or the Welsh Ministers, a payment that a designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of Part 3 of the Local Government Finance Act 1988;

(d)

the Department of Finance in Northern Ireland, a payment that a designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of Part 2 of the Rates (Northern Ireland) Order 1977;

(e)

a local authority, a payment that a designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of—

(i)

Part 1 of the Local Government (Scotland) Act 1975;

(ii)

Part 3 of the Local Government Finance Act 1988;

(iii)

Parts 1 and 2 of the Local Government Finance Act 1992;

(iv)

Part 4 of the Local Government Act 2003;

(v)

Part 9 of the Planning etc. (Scotland) Act 2006;

(vi)

the Business Rate Supplements Act 2009;

(vii)

the Business Improvement Districts Act (Northern Ireland) 2013;

“firm” has the meaning given in section 1173(1) of the Companies Act 2006;

“listing” means being included in the official list maintained by the Financial Conduct Authority in accordance with Part 6 of the Financial Services and Markets Act 2000;

“local authority” means—

(a)

in relation to England—

(i)

a district council;

(ii)

a county council for any area for which there is no district council;

(iii)

a London borough council;

(iv)

the Common Council of the City of London in its capacity as a local authority;

(v)

the Council of the Isles of Scilly;

(b)

in relation to Wales, a county council or a county borough council;

(c)

in relation to Scotland, a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994 or a person appointed by such a council for the purposes of the administration, collection and recovery of a BID levy;

(d)

in relation to Northern Ireland, a district council;

“primary information provider” has the meaning given in section 89P(2) of the Financial Services and Markets Act 2000;

“prospectus regulation” means Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC;

“prospectus rules” has the meaning given in section 73A(4) of the Financial Services and Markets Act 2000;

“registrar of companies” has the meaning given in section 1060 of the Companies Act 2006 (the registrar);

“reimbursement payment” means a repayment from the designated person to the person who made a required payment which is of the same amount as that required payment;

“scheme manager” has the meaning given in section 212 of the Financial Services and Markets Act 2000;

“sponsor” has the meaning given in section 88(2) of the Financial Services and Markets Act 2000.]

Textual Amendments

[F28Finance: humanitarian exceptionU.K.

19A.—(1) The prohibitions in regulations 12 to 16 (asset-freeze etc.) are not contravened by a person (“P”) carrying out a relevant activity which is necessary—

(a)to ensure the timely delivery of humanitarian assistance, or

(b)to support other activities that support basic human needs,

where Conditions A and B are met.

(2) Condition A is that the humanitarian assistance or other activities mentioned in paragraph (1) are carried out by—

(a)the United Nations, including its—

(i)programmes and funds,

(ii)other entities and bodies, and

(iii)specialised agencies and related organisations,

(b)international organisations,

(c)humanitarian organisations having observer status with the United Nations General Assembly and members of those humanitarian organisations,

(d)bilaterally or multilaterally funded non-governmental organisations participating in the United Nations Humanitarian Response Plans, Refugee Response Plans, other United Nations appeals, or humanitarian clusters coordinated by the United Nations Office for the Coordination of Humanitarian Affairs,

(e)any grantee, subsidiary, or implementing partner of any organisation falling within sub-paragraphs (a) to (d) while and to the extent that they are acting in those capacities,

(f)any other persons authorised by the Committee for the purposes of resolution 2664.

(3) Condition B is that P believes that carrying out the relevant activity is so necessary and there is no reasonable cause for P to suspect otherwise.

(4) For the purposes of this regulation—

“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions in regulations 12 to 16;

“resolution 2664” means resolution 2664 (2022) adopted by the Security Council on 9th December 2022.]

Textual Amendments

Finance: exception for authorised conduct in a relevant countryU.K.

20.—(1) Where a person's conduct in a relevant country would, in the absence of this regulation, contravene a prohibition in any of regulations 12 to 16 (asset-freeze etc.) (“the relevant prohibition”), the relevant prohibition is not contravened if the conduct is authorised by a licence or other authorisation which is issued—

(a)under the law of the relevant country, and

(b)for the purpose of disapplying a prohibition in that jurisdiction which corresponds to the relevant prohibition.

(2) In this regulation, “relevant country” means—

(a)any of the Channel Islands,

(b)the Isle of Man, or

(c)any British overseas territory.

F29(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I19Reg. 20 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Exception for acts done for purposes of national security or prevention of serious crimeU.K.

21.—(1) Where an act would, in the absence of this paragraph, be prohibited by regulation 9(2) (confidentiality) or any prohibition in Part 3 (Finance), that prohibition does not apply to the act if the act is one which a responsible officer has determined would be in the interests of—

(a)national security, or

(b)the prevention or detection of serious crime in the United Kingdom or elsewhere.

(2) Where, in the absence of this paragraph, a thing would be required to be done under or by virtue of a provision of Part 6 (Information and records), that requirement does not apply if a responsible officer has determined that not doing the thing in question would be in the interests of—

(a)national security, or

(b)the prevention or detection of serious crime in the United Kingdom or elsewhere.

(3) In this regulation “responsible officer” means a person in the service of the Crown or holding office under the Crown, acting in the course of that person's duty.

F30(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I20Reg. 21 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Treasury licencesU.K.

22.—(1) The prohibitions in regulations 12 to 16 (asset-freeze etc.) do not apply to anything done under the authority of a licence issued by the Treasury under this paragraph.

F31(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F31(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) The Treasury may issue a licence which authorises acts by a particular person F32... only where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 2 or 4 of Schedule 2.

F33(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F33(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F33(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F33(8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Commencement Information

I21Reg. 22 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

[F34Director disqualification licencesU.K.

22A.  The Secretary of State may issue a licence in relation to any person who is designated under regulation 5 for the purposes of regulation 17A (director disqualification sanctions) providing that the prohibitions in—

(a)section 11A(1) of the Company Directors Disqualification Act 1986, and

(b)Article 15A(1) of the Company Directors Disqualification (Northern Ireland) Order 2002,

do not apply to anything done under the authority of that licence.]

Textual Amendments

[F35Licences: general provisionsU.K.

22B.—(1) This regulation applies in relation to Treasury licences and director disqualification licences.

(2) A licence must specify the acts authorised by it.

(3) A licence may be general or may authorise acts by a particular person or persons of a particular description.

(4) A licence may—

(a)contain conditions;

(b)be of indefinite duration or a defined duration.

(5) A person who issues a licence may vary, revoke or suspend it at any time.

(6) A person who [F36, on the application of a person (“P”),] [F37issues] a licence which authorises acts by a particular person [F38, or varies, revokes or suspends that licence,] must give written notice to [F39P] of the issue, variation, revocation or suspension of the licence.

(7) A person who issues, varies, revokes or suspends a general licence or a licence which authorises acts by persons of a particular description must take such steps as that person considers appropriate to publicise the issue, variation, revocation or suspension of the licence.]

Textual Amendments

Finance: licensing offencesU.K.

23.—(1) A person (“P”) commits an offence if P knowingly or recklessly—

(a)provides information that is false in a material respect, or

(b)provides or produces a document that is not what it purports to be,

for the purpose of obtaining a Treasury licence (whether for P or anyone else).

(2) A person who purports to act under the authority of a Treasury licence but who fails to comply with any condition of the licence commits an offence.

Commencement Information

I22Reg. 23 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

[F40Director disqualification: licensing offencesU.K.

23A.—(1) A person (“P”) commits an offence if P knowingly or recklessly—

(a)provides information that is false in a material respect, or

(b)provides or produces a document that is not what it purports to be,

for the purpose of obtaining a director disqualification licence (whether for P or anyone else).

(2) A person who purports to act under the authority of a director disqualification licence but who fails to comply with any condition of the licence commits an offence.

(3) A licence in respect of which an offence under paragraph (1) has been committed is to be treated as void from the time at which it was issued.]

Textual Amendments

Section 8B(1) to (3) of the Immigration Act 1971: directionsU.K.

24.—(1) The Secretary of State may direct that, in relation to any person within regulation 18 whose name is specified, or who is of a specified description, section 8B(1) and (2) of the Immigration Act 1971, or section 8B(3) of that Act, have effect subject to specified exceptions.

(2) A direction may contain conditions.

(3) A direction must be of a defined duration (and that duration may be expressed in any way, including, for example, being expressed in a way such that the direction ceases to have effect on, or within a specified period after, the occurrence of a specified event).

(4) The Secretary of State may vary, revoke or suspend a direction at any time.

(5) On the issue, variation, revocation or suspension of a direction, the Secretary of State may take such steps as the Secretary of State considers appropriate to publicise the issue, variation, revocation or suspension of the direction.

(6) In this regulation “specified” means specified in a direction.

Commencement Information

I23Reg. 24 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

PART 6U.K.Information and records

Finance: reporting obligationsU.K.

25.—(1) A relevant firm must inform the Treasury as soon as practicable if—

(a)it knows, or has reasonable cause to suspect, that a person—

(i)is a designated person, or

(ii)has [F41breached a prohibition or failed to comply with an obligation] under any provision of Part 3 (Finance) or regulation 23 (finance: licensing offences), and

(b)the information or other matter on which the knowledge or cause for suspicion is based came to it in the course of carrying on its business.

(2) Where a relevant firm informs the Treasury under paragraph (1), it must state—

(a)the information or other matter on which the knowledge or suspicion is based, and

(b)any information it holds about the person by which the person can be identified.

(3) Paragraph (4) applies if—

(a)a relevant firm informs the Treasury under paragraph (1) that it knows, or has reasonable cause to suspect, that a person is a designated person, and

(b)that person is a customer of the relevant firm.

(4) The relevant firm must also state the nature and amount or quantity of any funds or economic resources held by it for the customer at the time when it first had the knowledge or suspicion.

[F42(4A) Where a person (“P”) knows, or has reasonable cause to suspect, that P holds funds or economic resources owned, held or controlled by a designated person, P must by no later than 30th November in each calendar year provide a report to the Treasury as to the nature and amount or quantity of those funds or economic resources held by P as of 30th September in that calendar year.

(4B) Where a report has been provided further to paragraph (4A) but as of 30th September in the following calendar year P no longer holds funds or economic resources owned, held or controlled by the designated person, P must by no later than 30th November in that calendar year report this to the Treasury.

(4C) For the purposes of paragraphs (4A) and (4B), funds or economic resources are to be treated as owned, held or controlled by a designated person if they are owned, held or controlled by a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.]

(5) A relevant institution must inform the Treasury without delay if that institution—

(a)credits a frozen account in accordance with regulation 19(4) (finance: exceptions from prohibitions), or

(b)transfers funds from a frozen account in accordance with regulation 19(6).

(6) A person who fails to comply with a requirement in paragraph (1), (2) or (4) commits an offence.

[F43(6A) A person commits an offence if that person, without reasonable excuse, fails to comply with a requirement in paragraph (4A) or (4B).]

(7) In this regulation—

“designated person” has the same meaning as it has in Part 3;

“frozen account” has the same meaning as it has in regulation 19;

“relevant firm” is to be read in accordance with regulation 26;

“relevant institution” has the same meaning as it has in regulation 19.

Textual Amendments

Commencement Information

I24Reg. 25 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

[F44Finance: reporting obligations for required paymentsU.K.

25A.—(1) A designated person must inform the Treasury without delay if they make a required payment.

(2) A person who makes a required payment on behalf of a designated person must inform the Treasury without delay that they have made the required payment.

(3) A person must inform the Treasury without delay if they receive a reimbursement payment.

(4) For the purposes of this regulation, references to a designated person are to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.

(5) In this regulation—

“designated person” has the meaning given in regulation 19ZA(8) (finance: exception from prohibitions for required payments);

“reimbursement payment” has the meaning given in regulation 19ZA(8);

“required payment” has the meaning given in regulation 19ZA(2).]

Textual Amendments

“Relevant firm”U.K.

26.—(1) The following are relevant firms for the purposes of regulation 25 (finance: reporting obligations)—

(a)a person that has permission under Part 4A of the Financial Services and Markets Act 2000 (Permission to carry on regulated activities);

(b)an undertaking that by way of business—

(i)operates a currency exchange office,

(ii)transmits money (or any representation of monetary value) by any means, or

(iii)cashes cheques that are made payable to customers;

(c)a firm or sole practitioner that is—

(i)a statutory auditor within the meaning of Part 42 of the Companies Act 2006 (Statutory auditors) M12, or

(ii)a local auditor within the meaning of section 4(1) of the Local Audit and Accountability Act 2014 (general requirements for audit) M13;

(d)a firm or sole practitioner that provides to other persons, by way of business—

(i)accountancy services,

(ii)legal or notarial services,

(iii)advice about tax affairs, or

(iv)trust or company services within the meaning of paragraph (2);

(e)a firm or sole practitioner that carries out, or whose employees carry out, estate agency work;

(f)the holder of a casino operating licence within the meaning given by section 65(2)(a) of the Gambling Act 2005 (nature of a licence) M14;

(g)a person engaged in the business of making, supplying, selling (including selling by auction) or exchanging—

(i)articles made from gold, silver, platinum or palladium, or

(ii)precious stones or pearls.

[F45(h)a cryptoasset exchange provider;

(i)a custodian wallet provider.]

(2) In paragraph (1) “trust or company services” means any of the following services—

(a)forming companies or other legal persons;

(b)acting, or arranging for another person to act—

(i)as a director or secretary of a company,

(ii)as a partner of a partnership, or

(iii)in a similar capacity in relation to other legal persons;

(c)providing a registered office, business address, correspondence or administrative address or other related services for a company, partnership or any other legal person or arrangement;

(d)acting, or arranging for another person to act, as—

(i)a trustee of an express trust or similar legal arrangement, or

(ii)a nominee shareholder for a person.

(3) In paragraph (1)—

“estate agency work” is to be read in accordance with section 1 of the Estate Agents Act 1979 M15, but as if references in that section to disposing of or acquiring an interest in land included (despite anything in section 2 of that Act) references to disposing of or acquiring an estate or interest in land outside the United Kingdom where that estate or interest is capable of being owned or held as a separate interest;

“firm” means any entity that, whether or not a legal person, is not an individual, and includes a body corporate and a partnership or other unincorporated body.

[F46(3A) In paragraph (1), a “cryptoasset exchange provider” means a firm or sole practitioner that by way of business provides one or more of the following services, including where the firm or sole practitioner does so as creator or issuer of any of the cryptoassets involved—

(a)exchanging, or arranging or making arrangements with a view to the exchange of, cryptoassets for money or money for cryptoassets,

(b)exchanging, or arranging or making arrangements with a view to the exchange of, one cryptoasset for another, or

(c)operating a machine which utilises automated processes to exchange cryptoassets for money or money for cryptoassets.

(3B) In paragraph (1), a “custodian wallet provider” means a firm or sole practitioner that by way of business provides services to safeguard, or to safeguard and administer—

(a)cryptoassets on behalf of its customers, or

(b)private cryptographic keys on behalf of its customers in order to hold, store and transfer cryptoassets.

(3C) For the purposes of this regulation—

(a)“cryptoasset” means a cryptographically secured digital representation of value or contractual rights that uses a form of distributed ledger technology and can be transferred, stored or traded electronically;

(b)“money” means—

(i)money in sterling,

(ii)money in any other currency, or

(iii)money in any other medium of exchange,

but does not include a cryptoasset; and

(c)in sub-paragraphs (a) to (c) of paragraph (3A), “cryptoasset” includes a right to, or interest in, the cryptoasset.]

(4) Sub-paragraphs (a) and (b) of paragraph (1) are to be read with section 22 of the Financial Services and Markets Act 2000, any relevant order under that section and Schedule 2 to that Act.

(5) For the purposes of regulation 25(1), information or another matter comes to a relevant firm “in the course of carrying on its business” if the information or other matter comes to the firm—

(a)in the case of a relevant firm within paragraph (1)(a), in the course of carrying on an activity in respect of which the permission mentioned in that provision is required;

(b)in the case of a relevant firm within paragraph (1)(c)(i), in the course of carrying out statutory audit work within the meaning of section 1210 of the Companies Act 2006 (meaning of “statutory auditor” etc.) M16;

(c)in the case of a relevant firm within paragraph (1)(c)(ii), in the course of carrying out an audit required by the Local Audit and Accountability Act 2014;

(d)in the case of a relevant firm within paragraph (1)(f), in the course of carrying on an activity in respect of which the licence mentioned in that provision is required;

(e)in the case of a relevant firm within any other provision of paragraph (1), in the course of carrying on an activity mentioned in that provision.

Textual Amendments

Commencement Information

I25Reg. 26 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Marginal Citations

M16Section 1210 was amended by S.I. 2005/1433; 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.

Finance: powers to request informationU.K.

27.—(1) The Treasury may request a designated person to provide information about—

(a)funds or economic resources owned, held or controlled by or on behalf of the designated person, or

(b)any disposal of such funds or economic resources.

(2) The Treasury may request a designated person to provide such information as the Treasury may reasonably require about expenditure—

(a)by the designated person, or

(b)for the benefit of the designated person.

(3) For the purposes of paragraph (2), expenditure for the benefit of a designated person includes expenditure on the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.

(4) The power in paragraph (1) or (2) is exercisable only where the Treasury believe that it is necessary for the purpose of monitoring compliance with or detecting evasion of any provision of Part 3 (Finance).

(5) The Treasury may request a person acting under a Treasury licence to provide information about—

(a)funds or economic resources dealt with under the licence, or

(b)funds or economic resources made available under the licence.

(6) The Treasury may request a person to provide information within paragraph (7) if the Treasury believe that the person may be able to provide the information.

(7) Information within this paragraph is such information as the Treasury may reasonably require for the purpose of—

(a)establishing for the purposes of any provision of Part 3—

(i)the nature and amount or quantity of any funds or economic resources owned, held or controlled by or on behalf of a designated person,

(ii)the nature and amount or quantity of any funds or economic resources made available directly or indirectly to, or for the benefit of, a designated person, or

(iii)the nature of any financial transactions entered into by a designated person;

(b)monitoring compliance with or detecting evasion of—

(i)any provision of Part 3,

(ii)regulation 25 (finance: reporting obligations), or

(iii)any condition of a Treasury licence;

(c)detecting or obtaining evidence of the commission of an offence under Part 3 or regulation 23 (finance: licensing offences) or regulation 25.

(8) The Treasury may specify the way in which, and the period within which, information is to be provided.

(9) If no such period is specified, the information which has been requested must be provided within a reasonable time.

(10) A request may include a continuing obligation to keep the Treasury informed as circumstances change, or on such regular basis as the Treasury may specify.

(11) Information requested under this regulation may relate to any period of time during which a person is, or was, a designated person.

(12) Information requested by virtue of paragraph (1)(b), (2) or (7)(a)(iii) may relate to any period before a person became a designated person (as well as, or instead of, any subsequent period).

(13) Expressions used in this regulation have the same meaning as they have in Part 3.

Commencement Information

I26Reg. 27 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Finance: production of documentsU.K.

28.—(1) A request under regulation 27 (finance: powers to request information) may include a request to produce specified documents or documents of a specified description.

(2) Where the Treasury request that documents be produced, the Treasury may—

(a)take copies of or extracts from any document so produced,

(b)request any person producing a document to give an explanation of it, and

(c)where that person is a body corporate, partnership or unincorporated body other than a partnership, request any person who is—

(i)in the case of a partnership, a present or past partner or employee of the partnership, or

(ii)in any other case, a present or past officer or employee of the body concerned,

to give such an explanation.

(3) Where the Treasury request a designated person or a person acting under a Treasury licence to produce documents, that person must—

(a)take reasonable steps to obtain the documents (if they are not already in the person's possession or control);

(b)keep the documents under the person's possession or control (except for the purpose of providing them to the Treasury or as the Treasury may otherwise permit).

(4) In this regulation “designated person” has the same meaning as it has in Part 3 (Finance).

Commencement Information

I27Reg. 28 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Finance: information offencesU.K.

29.—(1) A person commits an offence if that person—

(a)without reasonable excuse, refuses or fails within the time and in the manner specified (or, if no time has been specified, within a reasonable time) to comply with any request under regulation 27 (finance: powers to request information);

(b)knowingly or recklessly gives any information, or produces any document, which is false in a material particular in response to such a request;

(c)with intent to evade any provision of regulation 27 or 28 (finance: production of documents), destroys, mutilates, defaces, conceals or removes any document;

(d)otherwise intentionally obstructs the Treasury in the exercise of their powers under regulation 27 or 28.

(2) Where a person is convicted of an offence under this regulation, the court may make an order requiring that person, within such period as may be specified in the order, to comply with the request.

Commencement Information

I28Reg. 29 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Disclosure of informationU.K.

30.—(1) The Secretary of State or the Treasury may, in accordance with this regulation, disclose—

(a)any information obtained under or by virtue of Part 5 (Exceptions and licences) or this Part, or

(b)any information held in connection with—

(i)anything done under or by virtue of Part 2 (Designation of persons) [F47, Part 3 (Finance) or Part 3A (Director disqualification sanctions)], or

(ii)any exception or licence under Part 5 or anything done in accordance with such an exception or under the authority of such a licence.

(2) Information referred to in paragraph (1) may be disclosed for, or in connection with, any of the following purposes—

(a)any purpose stated in regulation 4;

(b)the exercise of functions under these Regulations;

(c)facilitating, monitoring or ensuring compliance with 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, or

(ii)in relation to a monetary penalty under section 146 of the Policing and Crime Act 2017 (breach of financial sanctions legislation) M17;

(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 under a provision in any such jurisdiction that is similar to a provision of these Regulations;

(f)compliance with an international obligation M18;

(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;

(c)any law officer of the Crown for Jersey, Guernsey or the Isle of Man;

(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 or the Treasury (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 5 includes a licence which has effect or is treated as if it were a licence which had been issued under that Part.

Textual Amendments

Commencement Information

I29Reg. 30 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Marginal Citations

M18Section 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.

[F48Finance: disclosure to the TreasuryU.K.

30A.—(1) A relevant public authority may disclose information to the Treasury if the disclosure is made for the purpose of enabling or assisting the Treasury to discharge any of its functions in connection with [F49any sanctions regulations contained in these Regulations].

(2) In this regulation—

“relevant public authority” means—

(a)

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,

(b)

any local authority,

(c)

any police officer,

(d)

the Financial Conduct Authority, the Prudential Regulation Authority, the Bank of England or any other regulatory body in the United Kingdom, or

(e)

any other person exercising functions of a public nature;

“local authority” means—

(a)

in relation to England—

(i)

a county council,

(ii)

a district council,

(iii)

a London Borough council,

(iv)

the Common Council of the City of London in its capacity as a local authority,

(v)

the Council of the Isles of Scilly, or

(vi)

an eligible parish council within the meaning of section 1(2) of the Local Government Act 2000,

(b)

in relation to Wales, a county council, a county borough council or a community council,

(c)

in relation to Scotland, a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994, or

(d)

in relation to Northern Ireland, a district council.]

Textual Amendments

Part 6: supplementaryU.K.

31.—(1) A disclosure of information under regulation 30 (disclosure of information) [F50or 30A (finance: disclosure to the Treasury)] does not breach any restriction on such disclosure imposed by statute or otherwise.

(2) But nothing in [F51those 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 M19.

(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) [F52Regulations 30 and 30A do] not limit the circumstances in which information may be disclosed apart from [F53those regulations].

(5) Nothing in this Part limits any conditions which may be contained in a Treasury 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) M20;

“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.

Textual Amendments

Commencement Information

I30Reg. 31 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Marginal Citations

M192016 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; S.I. 2018/652 and S.I. 2018/1123. Saving provisions are made by S.I. 2017/859.

M202018 c.12. There are amendments to this Act but none is relevant to these Regulations.

PART 7U.K.Enforcement

Penalties for offencesU.K.

32.—(1) A person who commits an offence under any provision of Part 3 (Finance) or regulation 23 (finance: licensing offences), is liable—

(a)on summary conviction in England and Wales, to imprisonment for a term not exceeding [F54the 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 regulation 9(6) (confidentiality) [F55or 23A (director disqualification: licensing offences)] is liable—

(a)on summary conviction in England and Wales, to imprisonment for a term not exceeding [F56the 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).

(3) A person who commits an offence under regulation 25(6) or 29 (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).

(4) In relation to an offence committed before [F572nd May 2022], the reference in each of paragraphs (1)(a) and (2)(a) to [F58the general limit in a magistrates’ court] is to be read as a reference to 6 months.

Textual Amendments

Commencement Information

I31Reg. 32 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Liability of officers of bodies corporate etc.U.K.

33.—(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.

Commencement Information

I32Reg. 33 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Jurisdiction to try offencesU.K.

34.—(1) Wherever an offence under these Regulations is committed (whether in the United Kingdom or 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.

(2) In the application of paragraph (1) to Scotland, where an offence is committed outside the United Kingdom 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.

(3) In paragraph (2) “sheriff court district” is to be read in accordance with the Criminal Procedure (Scotland) Act 1995 (see section 307(1) of that Act) M21.

Commencement Information

I33Reg. 34 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Marginal Citations

Procedure for offences by unincorporated bodiesU.K.

35.—(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 M22 and Schedule 3 to the Magistrates' Courts Act 1980 M23;

(ii)section 18 of the Criminal Justice Act (Northern Ireland) 1945 M24 and Article 166 of, and Schedule 4 to, the Magistrates' Courts (Northern Ireland) Order 1981 M25.

(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.

Commencement Information

I34Reg. 35 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Marginal Citations

M221925 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.

M231980 c.43. Amendments have been made to Schedule 3 that are not relevant to these Regulations.

Time limit for proceedings for summary offencesU.K.

36.—(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.

Commencement Information

I35Reg. 36 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

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

37.  Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005 (investigatory powers) M26 applies to any offence under Part 3 (Finance) or regulation 23 (finance: licensing offences).

Commencement Information

I36Reg. 37 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Marginal Citations

M262005 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; and S.I. 2014/834.

PART 8U.K.Supplementary and final provision

NoticesU.K.

38.—(1) This regulation applies in relation to a notice required by regulation 22 (Treasury licences) [F59or regulation 22A (director disqualification licences)] 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

(c)by leaving it for the individual at that place.

(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”—

    (a)

    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, and

    (b)

    in 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.

Textual Amendments

Commencement Information

I37Reg. 38 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Revocations and amendmentsU.K.

39.—(1) Council Regulation (EU) 2017/1770 of 28 September 2017 concerning restrictive measures in view of the situation in Mali is revoked.

(2) The Republic of Mali (European Union Financial Sanctions) Regulations 2017 M27 are revoked.

(3) In the Schedule to the United Nations and European Union Financial Sanctions (Linking) Regulations 2017 M28, omit the following row from the table—

“United Nations Security Council Resolution 2374 (2017)Council Regulation (EU) 2017/1770 of 28th September 2017 concerning restrictive measures in view of the situation in Mali”

Commencement Information

I38Reg. 39 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Marginal Citations

M27S.I. 2017/972, amended by S.I. 2018/682; it is prospectively amended by S.I. 2018/1149 and S.I. 2019/380.

M28S.I. 2017/478, amended by S.I. 2017/1071; there are other amending instruments but none is relevant.

Transitional provision: Treasury licencesU.K.

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

(a)was granted by the Treasury under regulation 9 of the 2017 Regulations,

(b)was in effect immediately before the relevant date, and

(c)authorises conduct which would (on and after the relevant date, and in the absence of paragraphs (2) to (4)) be prohibited under 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 which authorises an act which would otherwise be prohibited has effect on and after the relevant date as if it had been issued by the Treasury under regulation 22(1) (Treasury licences).

(3) Any reference in an existing financial sanctions licence to the 2017 Regulations is to be treated on and after the relevant date as a reference to these Regulations.

(4) Any reference in an existing financial sanctions licence to a prohibition in—

(a)the 2017 Regulations, or

(b)the EU Mali Regulation,

is to be treated on and after the relevant date as a reference to the corresponding prohibition in Part 3.

(5) Paragraph (6) applies where—

(a)an application for a licence, or for the variation of a licence, under the 2017 Regulations was made before the relevant date,

(b)the application is for the authorisation of conduct which would (on and after the relevant date) be prohibited under Part 3, and

(c)a decision to grant or refuse the application has not been made before that date.

(6) The application is to be treated on and after the relevant date as an application for a licence, or for the variation of a licence (as the case may be), under regulation 22(1) (Treasury licences).

(7) In this regulation—

“the 2017 Regulations” means the Republic of Mali (European Union Financial Sanctions) Regulations 2017;

“the relevant date” means—

(a)

where regulations under section 56 of the Act provide that Part 3 comes into force at a specified time on a day, that time on that day;

(b)

otherwise, the date on which Part 3 comes into force.

Commencement Information

I39Reg. 40 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Transitional provision: prior obligationsU.K.

41.—(1) Where, immediately before the relevant date, a person was named by the Security Council or the Committee for the purposes of paragraph 4 of resolution 2374, any reference in a provision mentioned in paragraph (2) to the date on which a person became a designated person is to be read as a reference to the date on which the person was so named.

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

(a)regulation 19(5) (finance: exceptions from prohibitions), and

(b)[F60paragraph] 9(a) of Schedule 2 (Treasury licences: purposes).

(3) In this regulation—

“designated person” has the same meaning as it has in Part 3 (Finance);

“the relevant date” means—

(a)

where regulations under section 56 of the Act provide that Part 3 comes into force at a specified time on a day, that time on that day;

(b)

otherwise, the date on which Part 3 comes into force.

Textual Amendments

Commencement Information

I40Reg. 41 in force at 31.12.2020 by S.I. 2020/1514, reg. 13(2)

Ahmad

Minister of State

Foreign and Commonwealth Office

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