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Council Regulation (EC) No 428/2009Show full title
Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (Recast)
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- Revised 31/12/20193.66 MB
- Revised 15/12/20183.49 MB
- Revised 16/12/20173.44 MB
- Revised 16/11/20163.41 MB
- Revised 25/12/20152.53 MB
- Revised 31/12/20143.61 MB
- Revised 02/07/20143.95 MB
- Revised 15/06/20123.94 MB
- Revised 07/01/20122.89 MB
- Revised 27/08/20091.98 MB
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Changes over time for: Article 9
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There are currently no known outstanding effects for the Council Regulation (EC) No 428/2009, Article 9.
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Article 9U.K.
[F11.[F2Retained] General Export Authorisations for certain exports as set out in Annexes IIa to IIf are established by this Regulation.
The [F3Secretary of State] can prohibit the exporter from using these authorisations if there is reasonable suspicion about his ability to comply with such authorisation or with a provision of [F4United Kingdom export control legislation].
F5...
[F6In order to ensure that only low-risk transactions are covered by the [F7Retained] General Export Authorisations included in Annexes IIa to IIf, the [F8Secretary of State may by regulations] remove destinations from the scope of those [F7Retained] General Export Authorisations, if such destinations become subject to an arms embargo as referred to in Article 4(2).
F9...]]
2.For all other exports for which an authorisation is required under this Regulation, such authorisation shall be granted by the [F10Secretary of State]. Subject to the restrictions specified in paragraph 4, this authorisation may be an individual, global or general authorisation.
F11...
Exporters shall supply the [F12Secretary of State] with all relevant information required for their applications for individual and global export authorisation so as to provide complete information to the F13... [F12Secretary of State] in particular on the end user, the country of destination and the end use of the item exported. The authorisation may be subject, if appropriate, to an end-use statement.
F143.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.[F15A national general export authorisation] shall:
[F1(a)[F16shall] exclude from their scope items listed in Annex IIg;]
[F17(b)may be used by all exporters, established or resident in the United Kingdom, if they meet the requirements set out in this Regulation. It must be issued in accordance with the indications set out in Annex IIIc;]
[F18(c)must not be used if the exporter has been informed by the Secretary of State that the items in question are, or may be intended, in their entirety or in part, for any of the uses referred to in paragraphs 1 and 3 of Article 4 or in paragraph 2 of Article 4 in a country subject to an arms embargo imposed through its listing as an embargoed destination in Part 1 or 2 of Schedule 4 to the Export Control Order 2008, as amended from time to time, or by a decision of the OSCE or an arms embargo imposed by a binding resolution of the Security Council of the United Nations, or if the exporter is aware that the items are intended for the abovementioned uses.]
5.[F19The Secretary of State] shall maintain [F20in] national legislation the possibility of granting a global export authorisation.
F216.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F1Substituted by Regulation (EU) No 1232/2011 of the European Parliament and of the Council of 16 November 2011 amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items.
F2Word in Art. 9(1) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(a)(i) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F3Words in Art. 9(1) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(a)(ii)(aa) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F4Words in Art. 9(1) substituted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(a)(ii)(bb) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F5Words in Art. 9(1) omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(a)(iii) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F6Inserted by Regulation (EU) No 599/2014 of the European Parliament and of the Council of 16 April 2014 amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items.
F7Word in Art. 9(1) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(a)(iv)(aa) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F8Words in Art. 9(1) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(a)(iv)(bb) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F9Words in Art. 9(1) omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(a)(v) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F10Words in Art. 9(2) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(b)(i) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F11Words in Art. 9(2) omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(b)(ii) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F12Words in Art. 9(2) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(b)(iii)(aa) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F13Word in Art. 9(2) omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(b)(iii)(bb) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F14Art. 9(3) omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(c) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F15Words in Art. 9(4) substituted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(d)(i) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F16Word in Art. 9(4)(a) inserted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(d)(ii) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F17Art. 9(4)(b) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(d)(iii) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F18Art. 9(4)(c) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(d)(iv) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F19Words in Art. 9(5) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(e)(i) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F20Word in Art. 9(5) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(e)(ii) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F21Art. 9(6) omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(9)(f) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
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