Reg. 39 not in force at made date, see reg. 1(2)

Reg. 39 in force at 31.12.2020 by S.I. 2020/1514, reg. 20(2)

Reg. 40 not in force at made date, see reg. 1(2)

Reg. 40 in force at 31.12.2020 by S.I. 2020/1514, reg. 20(2)

Reg. 41 not in force at made date, see reg. 1(2)

Reg. 41 in force at 31.12.2020 by S.I. 2020/1514, reg. 20(2)

Reg. 42 not in force at made date, see reg. 1(2)

Reg. 42 in force at 31.12.2020 by S.I. 2020/1514, reg. 20(2)

Reg. 43 not in force at made date, see reg. 1(2)

Reg. 43 in force at 31.12.2020 by S.I. 2020/1514, reg. 20(2)

Reg. 44 not in force at made date, see reg. 1(2)

Reg. 44 in force at 31.12.2020 by S.I. 2020/1514, reg. 20(2)

Reg. 45 not in force at made date, see reg. 1(2)

Reg. 45 in force at 31.12.2020 by S.I. 2020/1514, reg. 20(2)

Reg. 46 not in force at made date, see reg. 1(2)

Reg. 46 in force at 31.12.2020 by S.I. 2020/1514, reg. 20(2)

Reg. 47 not in force at made date, see reg. 1(2)

Reg. 47 in force at 31.12.2020 by S.I. 2020/1514, reg. 20(2)

Reg. 48 not in force at made date, see reg. 1(2)

Reg. 48 in force at 31.12.2020 by S.I. 2020/1514, reg. 20(2)

2006 c.46.

2014 c.2.

2005 c.19.

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

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

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

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

2017 c.3.

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

2016 c.25. Amendments have been made by the Policing and Crime Act 2017, Schedule 9, paragraph 74; the Data Protection Act 2018 (c.12), Schedule 19, paragraphs 198-203; the Counter-Terrorism and Border Security Act 2019 (c.3) Schedule 4, paragraph 33; the Sanctions and Anti-Money Laundering Act 2018, section 59(4), Schedule 3, paragraph 7; the Crime (Overseas Production Orders) Act 2019 (c.5) section 16; S.I. 2018/378; S.I. 2018/652; S.I. 2018/905; S.I. 2018/1123; S.I. 2019/419; S.I. 2019/742; S.I. 2019/ 939; S.I. 2020/661. Saving provisions are made by S.I. 2017/859.

2018 c.12. There are amendments to this Act but none are relevant to these Regulations.

http://www.legislation.gov.uk/uksi/2020/1278/part/7/2020-12-31The Yemen (Sanctions) (EU Exit) (No. 2) Regulations 2020texttext/xmlenEXITING THE EUROPEAN UNIONSANCTIONSStatute Law Database2024-07-25Expert Participation2020-12-31These Regulations are made under the Sanctions and Anti-Money Laundering Act 2018 (c.13) (“the Sanctions Act”) to establish a sanctions regime in relation to Yemen for the purposes of compliance with the United Kingdom's international obligations resulting from various United Nations Security Council Resolutions, including, in particular, Resolution 2140 (2014) and Resolution 2216 (2015) and for the purpose of promoting the peace, stability and security of Yemen. These Regulations replace the Yemen (Sanctions) (EU Exit) Regulations 2020 which omitted reference to section 4 of the Sanctions Act (immigration sanctions) in the preamble of that instrument. The policy is unchanged and S.I. 2020/733 is revoked by these Regulations.PART 7Information and recordsFinance: reporting obligations39.(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 committed an offence under any provision of Part 3 (Finance) or regulation 36 (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.

(5)

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

(a)

credits a frozen account in accordance with regulation 30(4) (finance: exceptions from prohibitions), or

(b)

transfers funds from a frozen account in accordance with regulation 30(6).

(6)

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

(7)

In this regulation—

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

frozen account” has the same meaning as it has in regulation 30;

relevant firm” is to be read in accordance with regulation 40;

relevant institution” has the same meaning as it has in regulation 30.

“Relevant firm”40.(1)

The following are relevant firms for the purposes of regulation 39 (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) , or

(ii)

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

(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) ;

(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.

(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 , 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.

(4)

Paragraph (1)(a) and (b) 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 39(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.) ;

(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.

Finance: powers to request information41.(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 (Finance)—

(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 39 (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 (Finance) or regulation 36 (finance: licensing offences) or 39.

(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 (Finance).

Finance: production of documents42.(1)

A request under regulation 41 (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).

Finance: information offences43.(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 41 (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 41 or 42 (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 41 or 42.

(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.

Trade: application of information powers in CEMA44.(1)

Section 77A of CEMA applies in relation to a person carrying on a relevant activity as it applies in relation to a person concerned in the importation or exportation of goods but as if—

(a)

in subsection (1), the reference to a person concerned in the importation or exportation of goods for which for that purpose an entry is required by regulation 5 of the Customs Controls on Importation of Goods Regulations 1991 or an entry or specification is required by or under CEMA were to a person carrying on a relevant activity;

(b)

any other reference to importation or exportation were to a relevant activity;

(c)

any other reference to goods were to the goods, technology, services or funds to which the relevant activity relates.

(2)

For the purposes of paragraph (1), a “relevant activity” means an activity—

(a)

which would, unless done under the authority of a trade licence, constitute a contravention of any prohibition in Part 5 (Trade) except the prohibition in regulation 20(1) (export of military goods), or

(b)

the prohibition in regulation 28 (circumventing etc. prohibitions).

General trade licences: records45.(1)

This regulation applies in relation to a person (“P”) who does any act authorised by a general licence issued under regulation 34 (trade licences) (“the licence”).

(2)

P must keep a register or record containing such details as may be necessary to allow the following information to be identified in relation to each act done under the authority of the licence—

(a)

a description of the act;

(b)

a description of any goods, technology, services or funds to which the act relates;

(c)

the date of the act or the dates between which the act took place;

(d)

the quantity of any goods or funds to which the act relates;

(e)

P's name and address;

(f)

the name and address of any consignee of goods to which the act relates or any recipient of technology, services or funds to which the act relates;

(g)

in so far as it is known to P, the name and address of the end-user of the goods, technology, services or funds to which the act relates;

(h)

if different from P, the name and address of the supplier of any goods to which the act relates;

(i)

any further information required by the licence.

(3)

The register or record relating to an act must be kept until the end of the calendar year in which the register or record is created and for a further period of 4 years from the end of that calendar year.

(4)

P must notify the Secretary of State in writing of P's name and the address at which the register or record may be inspected, and must make a further such notification if those details change.

(5)

A notification under paragraph (4) must be given no later than 30 days after—

(a)

P first does any act authorised by the licence, or

(b)

there is any change to the details previously notified.

(6)

A person who fails to comply with a requirement in paragraph (2), (3) or (4) commits an offence.

General trade licences: inspection of records46.(1)

A person authorised by the Secretary of State or the Commissioners (an “official”) may at any reasonable hour enter premises notified under regulation 45(4) (general trade licences: records) for the purposes of monitoring compliance with, or detecting evasion of, a contravention under regulation 45(2) or (3).

(2)

An official may require any person on the premises to produce any register or record required to be kept under regulation 45, or any document included in such a register or record that is in the person's possession or control.

(3)

An official may inspect and copy any such register, record or document.

(4)

An official must, if requested to do so, produce documentary evidence that he or she is authorised to exercise a power conferred by this regulation.

(5)

A person commits an offence if, without reasonable excuse, the person—

(a)

intentionally obstructs an official in the performance of any of the official's functions under this regulation, or

(b)

fails to produce a register, record or document when reasonably required to do so by an official under this regulation.

Disclosure of information47.(1)

The Secretary of State, the Treasury or the Commissioners may, in accordance with this regulation, disclose—

(a)

any information obtained under or by virtue of Part 6 (Exceptions and licences), this Part or Part 9 (Maritime enforcement), or

(b)

any information held in connection with—

(i)

anything done under or by virtue of Part 2 (Designation of persons), Part 3 (Finance) or Part 5 (Trade), or

(ii)

any exception or licence under Part 6 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 (purposes);

(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,

(ii)

for an offence under CEMA in connection with the prohibition mentioned in regulation 20(1) (export of military goods), or

(iii)

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

(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—

(i)

under a provision in any such jurisdiction that is similar to a provision of these Regulations, or

(ii)

in connection with a prohibition in any such jurisdiction that is similar to a prohibition referred to in sub-paragraph (d)(ii);

(f)

compliance with an international obligation ;

(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, the Treasury or the Commissioners (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 6 includes—

(i)

a licence or authorisation which is treated as if it were a licence which had been issued under that Part, and

(ii)

a licence which is deemed to have been issued under that Part.

Part 7: supplementary48.(1)

A disclosure of information under regulation 47 (disclosure of information) does not breach any restriction on such disclosure imposed by statute or otherwise.

(2)

But nothing in that regulation 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 .

(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)

Regulation 47 does not limit the circumstances in which information may be disclosed apart from that regulation.

(5)

Nothing in this Part limits any conditions which may be contained in a Treasury licence or a trade 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) ;

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.

This XML file does not appear to have any style information associated with it. The document tree is shown below.
<akomaNtoso xmlns:uk="https://www.legislation.gov.uk/namespaces/UK-AKN" xmlns:ukl="http://www.legislation.gov.uk/namespaces/legislation" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns="http://docs.oasis-open.org/legaldocml/ns/akn/3.0" xsi:schemaLocation="http://docs.oasis-open.org/legaldocml/ns/akn/3.0 http://docs.oasis-open.org/legaldocml/akn-core/v1.0/cos01/part2-specs/schemas/akomantoso30.xsd">
<act name="uksi">
<meta>
<identification source="#">
<FRBRWork>
<FRBRthis value="http://www.legislation.gov.uk/id/uksi/2020/1278"/>
<FRBRuri value="http://www.legislation.gov.uk/id/uksi/2020/1278"/>
<FRBRdate date="2020-11-12" name="made"/>
<FRBRauthor href="http://www.legislation.gov.uk/id/government/uk"/>
<FRBRcountry value="GB-UKM"/>
<FRBRsubtype value="regulation"/>
<FRBRnumber value="1278"/>
<FRBRname value="S.I. 2020/1278"/>
<FRBRprescriptive value="true"/>
</FRBRWork>
<FRBRExpression>
<FRBRthis value="http://www.legislation.gov.uk/uksi/2020/1278/2020-12-31"/>
<FRBRuri value="http://www.legislation.gov.uk/uksi/2020/1278/2020-12-31"/>
<FRBRdate date="2020-12-31" name="validFrom"/>
<FRBRauthor href="#"/>
<FRBRlanguage language="eng"/>
</FRBRExpression>
<FRBRManifestation>
<FRBRthis value="http://www.legislation.gov.uk/uksi/2020/1278/2020-12-31/data.akn"/>
<FRBRuri value="http://www.legislation.gov.uk/uksi/2020/1278/2020-12-31/data.akn"/>
<FRBRdate date="2024-11-22Z" name="transform"/>
<FRBRauthor href="http://www.legislation.gov.uk"/>
<FRBRformat value="application/akn+xml"/>
</FRBRManifestation>
</identification>
<lifecycle source="#">
<eventRef refersTo="#made" date="2020-11-12" eId="date-made" source="#"/>
<eventRef refersTo="#laid" date="2020-11-16" eId="date-laid-1" source="#united-kingdom-parliament"/>
<eventRef date="2020-12-31" eId="date-2020-12-31" source="#"/>
<eventRef date="2022-04-28" eId="date-2022-04-28" source="#"/>
<eventRef date="2022-08-09" eId="date-2022-08-09" source="#"/>
<eventRef date="2022-08-30" eId="date-2022-08-30" source="#"/>
<eventRef date="2024-06-05" eId="date-2024-06-05" source="#"/>
</lifecycle>
<analysis source="#">
<restrictions source="#">
<restriction refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#body" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#part-7" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#regulation-39" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#regulation-40" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#regulation-41" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#regulation-42" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#regulation-43" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#regulation-44" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#regulation-45" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#regulation-46" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#regulation-47" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction href="#regulation-48" refersTo="#extent-e+w+s+ni" type="jurisdiction"/>
<restriction refersTo="#period-from-2020-12-31-to-2022-04-28" type="jurisdiction"/>
<restriction href="#body" refersTo="#period-from-2020-12-31" type="jurisdiction"/>
<restriction href="#part-7" refersTo="#period-from-2020-12-31-to-2022-08-09" type="jurisdiction"/>
<restriction href="#regulation-39" refersTo="#period-from-2020-12-31" type="jurisdiction"/>
<restriction href="#regulation-40" refersTo="#period-from-2020-12-31-to-2022-08-30" type="jurisdiction"/>
<restriction href="#regulation-41" refersTo="#period-from-2020-12-31" type="jurisdiction"/>
<restriction href="#regulation-42" refersTo="#period-from-2020-12-31" type="jurisdiction"/>
<restriction href="#regulation-43" refersTo="#period-from-2020-12-31" type="jurisdiction"/>
<restriction href="#regulation-44" refersTo="#period-from-2020-12-31" type="jurisdiction"/>
<restriction href="#regulation-45" refersTo="#period-from-2020-12-31" type="jurisdiction"/>
<restriction href="#regulation-46" refersTo="#period-from-2020-12-31" type="jurisdiction"/>
<restriction href="#regulation-47" refersTo="#period-from-2020-12-31-to-2024-06-05" type="jurisdiction"/>
<restriction href="#regulation-48" refersTo="#period-from-2020-12-31-to-2022-08-09" type="jurisdiction"/>
</restrictions>
<otherAnalysis source="">
<uk:commentary href="#regulation-39" refersTo="#key-22092d8404ae7833c23fc020311533d7"/>
<uk:commentary href="#regulation-39" refersTo="#key-ef799f0b1bbedde7e8b87c1d3746c864"/>
<uk:commentary href="#regulation-40" refersTo="#key-d6a5f14a26454d79df2b944918af9424"/>
<uk:commentary href="#regulation-40" refersTo="#key-8ba82f7bba3826cb741c3df60ff5bf73"/>
<uk:commentary href="#regulation-40" refersTo="#c24334681"/>
<uk:commentary href="#regulation-40" refersTo="#c24334691"/>
<uk:commentary href="#regulation-40" refersTo="#c24334701"/>
<uk:commentary href="#regulation-40" refersTo="#c24334711"/>
<uk:commentary href="#regulation-40" refersTo="#c24334721"/>
<uk:commentary href="#regulation-41" refersTo="#key-9561270dddf908b8a285739297de0112"/>
<uk:commentary href="#regulation-41" refersTo="#key-56ab0a062a31553d81aaf16abcf5f510"/>
<uk:commentary href="#regulation-42" refersTo="#key-d8e5d79273013956ffe38ab2add7f728"/>
<uk:commentary href="#regulation-42" refersTo="#key-f820cb68fb9ce8ed914f8a28313611fc"/>
<uk:commentary href="#regulation-43" refersTo="#key-2da2b2d62236cf92cb7f6eb95c3ce0ba"/>
<uk:commentary href="#regulation-43" refersTo="#key-0bfcc1698bc3fec78b51364df7c87c54"/>
<uk:commentary href="#regulation-44" refersTo="#key-086901b435156b7f4160d94ce2749856"/>
<uk:commentary href="#regulation-44" refersTo="#key-e0281f7c48da70054f71fd34c518be14"/>
<uk:commentary href="#regulation-44" refersTo="#c24334731"/>
<uk:commentary href="#regulation-44" refersTo="#c24334741"/>
<uk:commentary href="#regulation-45" refersTo="#key-1d11be6f3061cd2f46d951cec39d3a96"/>
<uk:commentary href="#regulation-45" refersTo="#key-e604862f854d2bb7c7b3fa7339ca9596"/>
<uk:commentary href="#regulation-46" refersTo="#key-d4d41574460051816b15399a1b2cbd3c"/>
<uk:commentary href="#regulation-46" refersTo="#key-475bf5ecd19cffb68c797d761f0c7720"/>
<uk:commentary href="#regulation-47" refersTo="#key-ad7d324387d6fd3e41ea80899091fd11"/>
<uk:commentary href="#regulation-47" refersTo="#key-4a11aea15c714f71bb3fe740127ea896"/>
<uk:commentary href="#regulation-47" refersTo="#c24334751"/>
<uk:commentary href="#regulation-47" refersTo="#c24334761"/>
<uk:commentary href="#regulation-48" refersTo="#key-be43b1afa74c0f9d0aa9c120a84916a8"/>
<uk:commentary href="#regulation-48" refersTo="#key-ab763e7e0f93c104ee0597e1e38c17f5"/>
<uk:commentary href="#regulation-48" refersTo="#c24334771"/>
<uk:commentary href="#regulation-48" refersTo="#c24334781"/>
</otherAnalysis>
</analysis>
<temporalData source="#">
<temporalGroup eId="period-from-2020-12-31">
<timeInterval start="#date-2020-12-31" refersTo="#"/>
</temporalGroup>
<temporalGroup eId="period-from-2020-12-31-to-2022-04-28">
<timeInterval start="#date-2020-12-31" end="#date-2022-04-28" refersTo="#"/>
</temporalGroup>
<temporalGroup eId="period-from-2020-12-31-to-2022-08-09">
<timeInterval start="#date-2020-12-31" end="#date-2022-08-09" refersTo="#"/>
</temporalGroup>
<temporalGroup eId="period-from-2020-12-31-to-2022-08-30">
<timeInterval start="#date-2020-12-31" end="#date-2022-08-30" refersTo="#"/>
</temporalGroup>
<temporalGroup eId="period-from-2020-12-31-to-2024-06-05">
<timeInterval start="#date-2020-12-31" end="#date-2024-06-05" refersTo="#"/>
</temporalGroup>
</temporalData>
<references source="#">
<TLCOrganization eId="united-kingdom-parliament" href="" showAs="UnitedKingdomParliament"/>
<TLCEvent eId="made" href="" showAs="Made"/>
<TLCEvent eId="laid" href="" showAs="Laid"/>
<TLCLocation eId="extent-e+w+s+ni" href="" showAs="E+W+S+N.I."/>
</references>
<notes source="#">
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-22092d8404ae7833c23fc020311533d7" marker="I1">
<p>
Reg. 39 not in force at made date, see
<ref eId="n864492791f628fb8" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-ef799f0b1bbedde7e8b87c1d3746c864" marker="I2">
<p>
<ref eId="ccodpgwi4-00487" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/39">Reg. 39</ref>
in force at 31.12.2020 by
<ref eId="ccodpgwi4-00488" href="http://www.legislation.gov.uk/id/uksi/2020/1514">S.I. 2020/1514</ref>
,
<ref eId="ccodpgwi4-00489" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1514/regulation/20/2">reg. 20(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-d6a5f14a26454d79df2b944918af9424" marker="I3">
<p>
Reg. 40 not in force at made date, see
<ref eId="n7c3e4b6d30402d4b" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-8ba82f7bba3826cb741c3df60ff5bf73" marker="I4">
<p>
<ref eId="ccodpgwi4-00496" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/40">Reg. 40</ref>
in force at 31.12.2020 by
<ref eId="ccodpgwi4-00497" href="http://www.legislation.gov.uk/id/uksi/2020/1514">S.I. 2020/1514</ref>
,
<ref eId="ccodpgwi4-00498" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1514/regulation/20/2">reg. 20(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-9561270dddf908b8a285739297de0112" marker="I5">
<p>
Reg. 41 not in force at made date, see
<ref eId="nb2e6a0d9b726d4f2" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-56ab0a062a31553d81aaf16abcf5f510" marker="I6">
<p>
<ref eId="ccodpgwi4-00505" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/41">Reg. 41</ref>
in force at 31.12.2020 by
<ref eId="ccodpgwi4-00506" href="http://www.legislation.gov.uk/id/uksi/2020/1514">S.I. 2020/1514</ref>
,
<ref eId="ccodpgwi4-00507" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1514/regulation/20/2">reg. 20(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-d8e5d79273013956ffe38ab2add7f728" marker="I7">
<p>
Reg. 42 not in force at made date, see
<ref eId="n4ed6c36cbc724a7c" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-f820cb68fb9ce8ed914f8a28313611fc" marker="I8">
<p>
<ref eId="ccodpgwi4-00514" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/42">Reg. 42</ref>
in force at 31.12.2020 by
<ref eId="ccodpgwi4-00515" href="http://www.legislation.gov.uk/id/uksi/2020/1514">S.I. 2020/1514</ref>
,
<ref eId="ccodpgwi4-00516" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1514/regulation/20/2">reg. 20(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-2da2b2d62236cf92cb7f6eb95c3ce0ba" marker="I9">
<p>
Reg. 43 not in force at made date, see
<ref eId="n6c55b73cda6d9e61" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-0bfcc1698bc3fec78b51364df7c87c54" marker="I10">
<p>
<ref eId="ccodpgwi4-00523" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/43">Reg. 43</ref>
in force at 31.12.2020 by
<ref eId="ccodpgwi4-00524" href="http://www.legislation.gov.uk/id/uksi/2020/1514">S.I. 2020/1514</ref>
,
<ref eId="ccodpgwi4-00525" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1514/regulation/20/2">reg. 20(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-086901b435156b7f4160d94ce2749856" marker="I11">
<p>
Reg. 44 not in force at made date, see
<ref eId="n716207c31a00735d" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-e0281f7c48da70054f71fd34c518be14" marker="I12">
<p>
<ref eId="ccodpgwi4-00127" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/44">Reg. 44</ref>
in force at 31.12.2020 by
<ref eId="ccodpgwi4-00128" href="http://www.legislation.gov.uk/id/uksi/2020/1514">S.I. 2020/1514</ref>
,
<ref eId="ccodpgwi4-00129" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1514/regulation/20/2">reg. 20(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-1d11be6f3061cd2f46d951cec39d3a96" marker="I13">
<p>
Reg. 45 not in force at made date, see
<ref eId="ndca4638852fc8fad" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-e604862f854d2bb7c7b3fa7339ca9596" marker="I14">
<p>
<ref eId="ccodpgwi4-00532" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/45">Reg. 45</ref>
in force at 31.12.2020 by
<ref eId="ccodpgwi4-00533" href="http://www.legislation.gov.uk/id/uksi/2020/1514">S.I. 2020/1514</ref>
,
<ref eId="ccodpgwi4-00534" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1514/regulation/20/2">reg. 20(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-d4d41574460051816b15399a1b2cbd3c" marker="I15">
<p>
Reg. 46 not in force at made date, see
<ref eId="nbc9184966d3814b5" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-475bf5ecd19cffb68c797d761f0c7720" marker="I16">
<p>
<ref eId="ccodpgwi4-00541" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/46">Reg. 46</ref>
in force at 31.12.2020 by
<ref eId="ccodpgwi4-00542" href="http://www.legislation.gov.uk/id/uksi/2020/1514">S.I. 2020/1514</ref>
,
<ref eId="ccodpgwi4-00543" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1514/regulation/20/2">reg. 20(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-ad7d324387d6fd3e41ea80899091fd11" marker="I17">
<p>
Reg. 47 not in force at made date, see
<ref eId="nd9b83c3fc8378cc8" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-4a11aea15c714f71bb3fe740127ea896" marker="I18">
<p>
<ref eId="ccodpgwi4-00550" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/47">Reg. 47</ref>
in force at 31.12.2020 by
<ref eId="ccodpgwi4-00551" href="http://www.legislation.gov.uk/id/uksi/2020/1514">S.I. 2020/1514</ref>
,
<ref eId="ccodpgwi4-00552" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1514/regulation/20/2">reg. 20(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-be43b1afa74c0f9d0aa9c120a84916a8" marker="I19">
<p>
Reg. 48 not in force at made date, see
<ref eId="n209963340a10591d" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/1/2">reg. 1(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="I" class="commentary I" eId="key-ab763e7e0f93c104ee0597e1e38c17f5" marker="I20">
<p>
<ref eId="ccodpgwi4-00136" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/regulation/48">Reg. 48</ref>
in force at 31.12.2020 by
<ref eId="ccodpgwi4-00137" href="http://www.legislation.gov.uk/id/uksi/2020/1514">S.I. 2020/1514</ref>
,
<ref eId="ccodpgwi4-00138" class="subref operative" href="http://www.legislation.gov.uk/id/uksi/2020/1514/regulation/20/2">reg. 20(2)</ref>
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334681" marker="M1">
<p>
<ref eId="c00049" href="http://www.legislation.gov.uk/id/ukpga/2006/46">2006 c.46</ref>
.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334691" marker="M2">
<p>
<ref eId="c00050" href="http://www.legislation.gov.uk/id/ukpga/2014/2">2014 c.2</ref>
.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334701" marker="M3">
<p>
<ref eId="c00051" href="http://www.legislation.gov.uk/id/ukpga/2005/19">2005 c.19</ref>
.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334711" marker="M4">
<p>
<ref eId="c00052" href="http://www.legislation.gov.uk/id/ukpga/1979/38">1979 c.38</ref>
. Section 1 was amended by the
<ref eId="c00053" href="http://www.legislation.gov.uk/id/ukpga/1985/73">Law Reform (Miscellaneous Provisions) (Scotland) Act 1985 (c.73)</ref>
,
<ref eId="c00054" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/1985/73/schedule/1">Schedule 1</ref>
,
<ref eId="c00055" class="subref" href="http://www.legislation.gov.uk/id/ukpga/1985/73/paragraph/40">paragraph 40</ref>
; the
<ref eId="c00056" href="http://www.legislation.gov.uk/id/ukpga/1990/11">Planning (Consequential Provisions) Act 1990 (c.11)</ref>
,
<ref eId="c00057" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/1990/11/schedule/2">Schedule 2</ref>
,
<ref eId="c00058" class="subref" href="http://www.legislation.gov.uk/id/ukpga/1990/11/paragraph/42">paragraph 42</ref>
; the
<ref eId="c00059" href="http://www.legislation.gov.uk/id/ukpga/1997/11">Planning (Consequential Provisions) (Scotland) Act 1997 (c.11)</ref>
,
<ref eId="c00060" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/1997/11/schedule/2">Schedule 2</ref>
,
<ref eId="c00061" class="subref" href="http://www.legislation.gov.uk/id/ukpga/1997/11/paragraph/28">paragraph 28</ref>
; the
<ref eId="c00062" href="http://www.legislation.gov.uk/id/nia/2011/25">Planning Act (Northern Ireland) 2011 (c.25)</ref>
,
<ref eId="c00063" class="subref operative" href="http://www.legislation.gov.uk/id/nia/2011/25/schedule/6">Schedule 6</ref>
,
<ref eId="c00064" class="subref" href="http://www.legislation.gov.uk/id/nia/2011/25/paragraph/21">paragraph 21</ref>
; the
<ref eId="c00065" href="http://www.legislation.gov.uk/id/ukpga/2013/24">Enterprise and Regulatory Reform Act 2013 (c.24)</ref>
,
<ref eId="c00066" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/2013/24/section/70">section 70</ref>
;
<ref eId="c00067" href="http://www.legislation.gov.uk/id/uksi/1991/1220">S.I. 1991/1220</ref>
;
<ref eId="c00068" href="http://www.legislation.gov.uk/id/uksi/1991/2684">S.I. 1991/2684</ref>
;
<ref eId="c00069" href="http://www.legislation.gov.uk/id/ssi/2000/121">S.S.I. 2000/121</ref>
and
<ref eId="c00070" href="http://www.legislation.gov.uk/id/uksi/2001/1283">S.I. 2001/1283</ref>
.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334721" marker="M5">
<p>
<ref eId="c00071" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/section/1210">Section 1210</ref>
was amended by
<ref eId="c00072" href="http://www.legislation.gov.uk/id/uksi/2008/565">S.I. 2008/565</ref>
;
<ref eId="c00073" href="http://www.legislation.gov.uk/id/uksi/2008/1950">S.I. 2008/1950</ref>
;
<ref eId="c00074" href="http://www.legislation.gov.uk/id/uksi/2011/99">S.I. 2011/99</ref>
;
<ref eId="c00075" href="http://www.legislation.gov.uk/id/uksi/2012/1809">S.I. 2012/1809</ref>
;
<ref eId="c00076" href="http://www.legislation.gov.uk/id/uksi/2013/3115">S.I. 2013/3115</ref>
;
<ref eId="c00077" href="http://www.legislation.gov.uk/id/uksi/2017/516">S.I. 2017/516</ref>
; and
<ref eId="c00078" href="http://www.legislation.gov.uk/id/uksi/2017/1164">S.I. 2017/1164</ref>
; and it is prospectively amended by
<ref eId="c00079" href="http://www.legislation.gov.uk/id/uksi/2019/177">S.I. 2019/177</ref>
.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334731" marker="M6">
<p>
<ref eId="c00080" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/section/77A">Section 77A</ref>
was inserted by the
<ref eId="c00081" href="http://www.legislation.gov.uk/id/ukpga/1987/16">Finance Act 1987 (c.16)</ref>
,
<ref eId="c00082" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/1987/16/section/10">section 10</ref>
and amended by
<ref eId="c00083" href="http://www.legislation.gov.uk/id/uksi/1992/3095">S.I. 1992/3095</ref>
.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334741" marker="M7">
<p>
<ref eId="c00084" href="http://www.legislation.gov.uk/id/uksi/1991/2724">S.I. 1991/2724</ref>
is amended by
<ref eId="c00085" href="http://www.legislation.gov.uk/id/uksi/1992/3095">S.I. 1992/3095</ref>
;
<ref eId="c00086" href="http://www.legislation.gov.uk/id/uksi/1993/3014">S.I. 1993/3014</ref>
; and
<ref eId="c00087" href="http://www.legislation.gov.uk/id/uksi/2011/1043">S.I. 2011/1043</ref>
and it is prospectively revoked by
<ref eId="c00088" href="http://www.legislation.gov.uk/id/uksi/2018/1247">S.I. 2018/1247</ref>
.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334751" marker="M8">
<p>
<ref eId="c00089" href="http://www.legislation.gov.uk/id/ukpga/2017/3">2017 c.3</ref>
.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334761" marker="M9">
<p>
<ref eId="c00090" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/section/1/8">Section 1(8)</ref>
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.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334771" marker="M10">
<p>
<ref eId="c00091" href="http://www.legislation.gov.uk/id/ukpga/2016/25">2016 c.25</ref>
. Amendments have been made by the Policing and Crime Act 2017, Schedule 9, paragraph 74; the
<ref eId="c00092" href="http://www.legislation.gov.uk/id/ukpga/2018/12">Data Protection Act 2018 (c.12)</ref>
,
<ref eId="c00093" class="subref operative" href="http://www.legislation.gov.uk/id/ukpga/2018/12/schedule/19">Schedule 19</ref>
,
<rref eId="c00094" class="subref" from="http://www.legislation.gov.uk/id/ukpga/2018/12/paragraph/198" upTo="http://www.legislation.gov.uk/id/ukpga/2018/12/paragraph/203" ukl:CitationRef="c00092">paragraphs 198-203</rref>
; the Counter-
<ref eId="c00095" href="http://www.legislation.gov.uk/id/ukpga/2019/3">Terrorism and Border Security Act 2019 (c.3)</ref>
Schedule 4, paragraph 33; the Sanctions and Anti-Money Laundering Act 2018, section 59(4), Schedule 3, paragraph 7; the
<ref eId="c00096" href="http://www.legislation.gov.uk/id/ukpga/2019/5">Crime (Overseas Production Orders) Act 2019 (c.5)</ref>
section 16;
<ref eId="c00097" href="http://www.legislation.gov.uk/id/uksi/2018/378">S.I. 2018/378</ref>
;
<ref eId="c00098" href="http://www.legislation.gov.uk/id/uksi/2018/652">S.I. 2018/652</ref>
;
<ref eId="c00099" href="http://www.legislation.gov.uk/id/uksi/2018/905">S.I. 2018/905</ref>
;
<ref eId="c00100" href="http://www.legislation.gov.uk/id/uksi/2018/1123">S.I. 2018/1123</ref>
;
<ref eId="c00101" href="http://www.legislation.gov.uk/id/uksi/2019/419">S.I. 2019/419</ref>
;
<ref eId="c00102" href="http://www.legislation.gov.uk/id/uksi/2019/742">S.I. 2019/742</ref>
;
<ref eId="c00103" class="subref" href="http://www.legislation.gov.uk/id/uksi/2020/1278/section/I">S.I</ref>
. 2019/ 939;
<ref eId="c00104" href="http://www.legislation.gov.uk/id/uksi/2020/661">S.I. 2020/661</ref>
. Saving provisions are made by
<ref eId="c00105" href="http://www.legislation.gov.uk/id/uksi/2017/859">S.I. 2017/859</ref>
.
</p>
</note>
<note ukl:Name="Commentary" ukl:Type="M" class="commentary M" eId="c24334781" marker="M11">
<p>
<ref eId="c00106" href="http://www.legislation.gov.uk/id/ukpga/2018/12">2018 c.12</ref>
. There are amendments to this Act but none are relevant to these Regulations.
</p>
</note>
</notes>
<proprietary xmlns:ukm="http://www.legislation.gov.uk/namespaces/metadata" xmlns:dc="http://purl.org/dc/elements/1.1/" xmlns:dct="http://purl.org/dc/terms/" source="#">
<dc:identifier>http://www.legislation.gov.uk/uksi/2020/1278/part/7/2020-12-31</dc:identifier>
<dc:title>The Yemen (Sanctions) (EU Exit) (No. 2) Regulations 2020</dc:title>
<dc:type>text</dc:type>
<dc:format>text/xml</dc:format>
<dc:language>en</dc:language>
<dc:subject scheme="SIheading">EXITING THE EUROPEAN UNION</dc:subject>
<dc:subject scheme="SIheading">SANCTIONS</dc:subject>
<dc:publisher>Statute Law Database</dc:publisher>
<dc:modified>2024-07-25</dc:modified>
<dc:contributor>Expert Participation</dc:contributor>
<dct:valid>2020-12-31</dct:valid>
<dc:description>These Regulations are made under the Sanctions and Anti-Money Laundering Act 2018 (c.13) (“the Sanctions Act”) to establish a sanctions regime in relation to Yemen for the purposes of compliance with the United Kingdom's international obligations resulting from various United Nations Security Council Resolutions, including, in particular, Resolution 2140 (2014) and Resolution 2216 (2015) and for the purpose of promoting the peace, stability and security of Yemen. These Regulations replace the Yemen (Sanctions) (EU Exit) Regulations 2020 which omitted reference to section 4 of the Sanctions Act (immigration sanctions) in the preamble of that instrument. The policy is unchanged and S.I. 2020/733 is revoked by these Regulations.</dc:description>
<ukm:SecondaryMetadata>
<ukm:DocumentClassification>
<ukm:DocumentCategory Value="secondary"/>
<ukm:DocumentMainType Value="UnitedKingdomStatutoryInstrument"/>
<ukm:DocumentStatus Value="revised"/>
<ukm:DocumentMinorType Value="regulation"/>
</ukm:DocumentClassification>
<ukm:Year Value="2020"/>
<ukm:Number Value="1278"/>
<ukm:Made Date="2020-11-12"/>
<ukm:Laid Date="2020-11-16" Class="UnitedKingdomParliament"/>
<ukm:ISBN Value="9780348215243"/>
</ukm:SecondaryMetadata>
<ukm:Notes>
<ukm:Note IdURI="http://www.legislation.gov.uk/id/uksi/2020/1278/notes"/>
<ukm:Alternatives>
<ukm:Alternative URI="http://www.legislation.gov.uk/uksi/2020/1278/pdfs/uksiem_20201278_en.pdf" Date="2020-11-17" Title="UK Explanatory Memorandum" Size="132545"/>
</ukm:Alternatives>
</ukm:Notes>
<ukm:OtherDocuments>
<ukm:OtherDocument URI="http://www.legislation.gov.uk/uksi/2020/1278/pdfs/uksiod_20201278_en_001.pdf" Date="2020-11-17" Title="Report Under Section 18 Of The Sanctions And Anti-Money Laundering Act 2018 In Relation To Criminal Offences" Size="91433"/>
<ukm:OtherDocument URI="http://www.legislation.gov.uk/uksi/2020/1278/pdfs/uksiod_20201278_en.pdf" Date="2020-11-17" Title="Report Under Section 2(4) Of The Sanctions And Anti-Money Laundering Act 2018" Size="75192"/>
</ukm:OtherDocuments>
<ukm:Alternatives>
<ukm:Alternative URI="http://www.legislation.gov.uk/uksi/2020/1278/pdfs/uksi_20201278_en.pdf" Date="2020-11-17" Size="260679"/>
</ukm:Alternatives>
<ukm:Statistics>
<ukm:TotalParagraphs Value="96"/>
<ukm:BodyParagraphs Value="71"/>
<ukm:ScheduleParagraphs Value="25"/>
<ukm:AttachmentParagraphs Value="0"/>
<ukm:TotalImages Value="0"/>
</ukm:Statistics>
</proprietary>
</meta>
<body eId="body">
<part eId="part-7" uk:target="true">
<num>
<b>PART 7</b>
</num>
<heading>Information and records</heading>
<hcontainer name="regulation" eId="regulation-39">
<heading>Finance: reporting obligations</heading>
<num>39.</num>
<paragraph eId="regulation-39-1">
<num>(1)</num>
<intro>
<p>A relevant firm must inform the Treasury as soon as practicable if—</p>
</intro>
<level class="para1" eId="regulation-39-1-a">
<num>(a)</num>
<intro>
<p>it knows, or has reasonable cause to suspect, that a person—</p>
</intro>
<level class="para2" eId="regulation-39-1-a-i">
<num>(i)</num>
<content>
<p>is a designated person, or</p>
</content>
</level>
<level class="para2" eId="regulation-39-1-a-ii">
<num>(ii)</num>
<content>
<p>has committed an offence under any provision of Part 3 (Finance) or regulation 36 (finance: licensing offences), and</p>
</content>
</level>
</level>
<level class="para1" eId="regulation-39-1-b">
<num>(b)</num>
<content>
<p>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.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-39-2">
<num>(2)</num>
<intro>
<p>Where a relevant firm informs the Treasury under paragraph (1), it must state—</p>
</intro>
<level class="para1" eId="regulation-39-2-a">
<num>(a)</num>
<content>
<p>the information or other matter on which the knowledge or suspicion is based, and</p>
</content>
</level>
<level class="para1" eId="regulation-39-2-b">
<num>(b)</num>
<content>
<p>any information it holds about the person by which the person can be identified.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-39-3">
<num>(3)</num>
<intro>
<p>Paragraph (4) applies if—</p>
</intro>
<level class="para1" eId="regulation-39-3-a">
<num>(a)</num>
<content>
<p>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</p>
</content>
</level>
<level class="para1" eId="regulation-39-3-b">
<num>(b)</num>
<content>
<p>that person is a customer of the relevant firm.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-39-4">
<num>(4)</num>
<content>
<p>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.</p>
</content>
</paragraph>
<paragraph eId="regulation-39-5">
<num>(5)</num>
<intro>
<p>A relevant institution must inform the Treasury without delay if that institution—</p>
</intro>
<level class="para1" eId="regulation-39-5-a">
<num>(a)</num>
<content>
<p>credits a frozen account in accordance with regulation 30(4) (finance: exceptions from prohibitions), or</p>
</content>
</level>
<level class="para1" eId="regulation-39-5-b">
<num>(b)</num>
<content>
<p>transfers funds from a frozen account in accordance with regulation 30(6).</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-39-6">
<num>(6)</num>
<content>
<p>A person who fails to comply with a requirement in paragraph (1), (2) or (4) commits an offence.</p>
</content>
</paragraph>
<paragraph eId="regulation-39-7">
<num>(7)</num>
<intro>
<p>In this regulation—</p>
</intro>
<hcontainer name="definition">
<content>
<p>
<term refersTo="#term-designated-person" eId="term-designated-person">designated person</term>
” has the same meaning as it has in Part 3 (Finance);
</p>
</content>
</hcontainer>
<hcontainer name="definition">
<content>
<p>
<term refersTo="#term-frozen-account" eId="term-frozen-account">frozen account</term>
” has the same meaning as it has in regulation 30;
</p>
</content>
</hcontainer>
<hcontainer name="definition">
<content>
<p>
<term refersTo="#term-relevant-firm" eId="term-relevant-firm">relevant firm</term>
” is to be read in accordance with regulation 40;
</p>
</content>
</hcontainer>
<hcontainer name="definition">
<content>
<p>
<term refersTo="#term-relevant-institution" eId="term-relevant-institution">relevant institution</term>
” has the same meaning as it has in regulation 30.
</p>
</content>
</hcontainer>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-40">
<heading>“Relevant firm”</heading>
<num>40.</num>
<paragraph eId="regulation-40-1">
<num>(1)</num>
<intro>
<p>The following are relevant firms for the purposes of regulation 39 (finance: reporting obligations)—</p>
</intro>
<level class="para1" eId="regulation-40-1-a">
<num>(a)</num>
<content>
<p>a person that has permission under Part 4A of the Financial Services and Markets Act 2000 (Permission to carry on regulated activities);</p>
</content>
</level>
<level class="para1" eId="regulation-40-1-b">
<num>(b)</num>
<intro>
<p>an undertaking that by way of business—</p>
</intro>
<level class="para2" eId="regulation-40-1-b-i">
<num>(i)</num>
<content>
<p>operates a currency exchange office,</p>
</content>
</level>
<level class="para2" eId="regulation-40-1-b-ii">
<num>(ii)</num>
<content>
<p>transmits money (or any representation of monetary value) by any means, or</p>
</content>
</level>
<level class="para2" eId="regulation-40-1-b-iii">
<num>(iii)</num>
<content>
<p>cashes cheques that are made payable to customers;</p>
</content>
</level>
</level>
<level class="para1" eId="regulation-40-1-c">
<num>(c)</num>
<intro>
<p>a firm or sole practitioner that is—</p>
</intro>
<level class="para2" eId="regulation-40-1-c-i">
<num>(i)</num>
<content>
<p>
a statutory auditor within the meaning of Part 42 of the Companies Act 2006 (Statutory auditors)
<noteRef href="#c24334681" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
, or
</p>
</content>
</level>
<level class="para2" eId="regulation-40-1-c-ii">
<num>(ii)</num>
<content>
<p>
a local auditor within the meaning of section 4(1) of the Local Audit and Accountability Act 2014 (general requirements for audit)
<noteRef href="#c24334691" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
;
</p>
</content>
</level>
</level>
<level class="para1" eId="regulation-40-1-d">
<num>(d)</num>
<intro>
<p>a firm or sole practitioner that provides to other persons, by way of business—</p>
</intro>
<level class="para2" eId="regulation-40-1-d-i">
<num>(i)</num>
<content>
<p>accountancy services,</p>
</content>
</level>
<level class="para2" eId="regulation-40-1-d-ii">
<num>(ii)</num>
<content>
<p>legal or notarial services,</p>
</content>
</level>
<level class="para2" eId="regulation-40-1-d-iii">
<num>(iii)</num>
<content>
<p>advice about tax affairs, or</p>
</content>
</level>
<level class="para2" eId="regulation-40-1-d-iv">
<num>(iv)</num>
<content>
<p>trust or company services within the meaning of paragraph (2);</p>
</content>
</level>
</level>
<level class="para1" eId="regulation-40-1-e">
<num>(e)</num>
<content>
<p>a firm or sole practitioner that carries out, or whose employees carry out, estate agency work;</p>
</content>
</level>
<level class="para1" eId="regulation-40-1-f">
<num>(f)</num>
<content>
<p>
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)
<noteRef href="#c24334701" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
;
</p>
</content>
</level>
<level class="para1" eId="regulation-40-1-g">
<num>(g)</num>
<intro>
<p>a person engaged in the business of making, supplying, selling (including selling by auction) or exchanging—</p>
</intro>
<level class="para2" eId="regulation-40-1-g-i">
<num>(i)</num>
<content>
<p>articles made from gold, silver, platinum or palladium, or</p>
</content>
</level>
<level class="para2" eId="regulation-40-1-g-ii">
<num>(ii)</num>
<content>
<p>precious stones or pearls.</p>
</content>
</level>
</level>
</paragraph>
<paragraph eId="regulation-40-2">
<num>(2)</num>
<intro>
<p>
In paragraph (1) “
<term refersTo="#term-trust-or-company-services" eId="term-trust-or-company-services">trust or company services</term>
” means any of the following services—
</p>
</intro>
<level class="para1" eId="regulation-40-2-a">
<num>(a)</num>
<content>
<p>forming companies or other legal persons;</p>
</content>
</level>
<level class="para1" eId="regulation-40-2-b">
<num>(b)</num>
<intro>
<p>acting, or arranging for another person to act—</p>
</intro>
<level class="para2" eId="regulation-40-2-b-i">
<num>(i)</num>
<content>
<p>as a director or secretary of a company,</p>
</content>
</level>
<level class="para2" eId="regulation-40-2-b-ii">
<num>(ii)</num>
<content>
<p>as a partner of a partnership, or</p>
</content>
</level>
<level class="para2" eId="regulation-40-2-b-iii">
<num>(iii)</num>
<content>
<p>in a similar capacity in relation to other legal persons;</p>
</content>
</level>
</level>
<level class="para1" eId="regulation-40-2-c">
<num>(c)</num>
<content>
<p>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;</p>
</content>
</level>
<level class="para1" eId="regulation-40-2-d">
<num>(d)</num>
<intro>
<p>acting, or arranging for another person to act, as—</p>
</intro>
<level class="para2" eId="regulation-40-2-d-i">
<num>(i)</num>
<content>
<p>a trustee of an express trust or similar legal arrangement, or</p>
</content>
</level>
<level class="para2" eId="regulation-40-2-d-ii">
<num>(ii)</num>
<content>
<p>a nominee shareholder for a person.</p>
</content>
</level>
</level>
</paragraph>
<paragraph eId="regulation-40-3">
<num>(3)</num>
<intro>
<p>In paragraph (1)—</p>
</intro>
<hcontainer name="definition">
<content>
<p>
<term refersTo="#term-estate-agency-work" eId="term-estate-agency-work">estate agency work</term>
” is to be read in accordance with section 1 of the Estate Agents Act 1979
<noteRef href="#c24334711" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
, 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;
</p>
</content>
</hcontainer>
<hcontainer name="definition">
<content>
<p>
<term refersTo="#term-firm" eId="term-firm">firm</term>
” 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.
</p>
</content>
</hcontainer>
</paragraph>
<paragraph eId="regulation-40-4">
<num>(4)</num>
<content>
<p>Paragraph (1)(a) and (b) 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.</p>
</content>
</paragraph>
<paragraph eId="regulation-40-5">
<num>(5)</num>
<intro>
<p>For the purposes of regulation 39(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—</p>
</intro>
<level class="para1" eId="regulation-40-5-a">
<num>(a)</num>
<content>
<p>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;</p>
</content>
</level>
<level class="para1" eId="regulation-40-5-b">
<num>(b)</num>
<content>
<p>
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.)
<noteRef href="#c24334721" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
;
</p>
</content>
</level>
<level class="para1" eId="regulation-40-5-c">
<num>(c)</num>
<content>
<p>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;</p>
</content>
</level>
<level class="para1" eId="regulation-40-5-d">
<num>(d)</num>
<content>
<p>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;</p>
</content>
</level>
<level class="para1" eId="regulation-40-5-e">
<num>(e)</num>
<content>
<p>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.</p>
</content>
</level>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-41">
<heading>Finance: powers to request information</heading>
<num>41.</num>
<paragraph eId="regulation-41-1">
<num>(1)</num>
<intro>
<p>The Treasury may request a designated person to provide information about—</p>
</intro>
<level class="para1" eId="regulation-41-1-a">
<num>(a)</num>
<content>
<p>funds or economic resources owned, held or controlled by or on behalf of the designated person, or</p>
</content>
</level>
<level class="para1" eId="regulation-41-1-b">
<num>(b)</num>
<content>
<p>any disposal of such funds or economic resources.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-41-2">
<num>(2)</num>
<intro>
<p>The Treasury may request a designated person to provide such information as the Treasury may reasonably require about expenditure—</p>
</intro>
<level class="para1" eId="regulation-41-2-a">
<num>(a)</num>
<content>
<p>by the designated person, or</p>
</content>
</level>
<level class="para1" eId="regulation-41-2-b">
<num>(b)</num>
<content>
<p>for the benefit of the designated person.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-41-3">
<num>(3)</num>
<content>
<p>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.</p>
</content>
</paragraph>
<paragraph eId="regulation-41-4">
<num>(4)</num>
<content>
<p>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).</p>
</content>
</paragraph>
<paragraph eId="regulation-41-5">
<num>(5)</num>
<intro>
<p>The Treasury may request a person acting under a Treasury licence to provide information about—</p>
</intro>
<level class="para1" eId="regulation-41-5-a">
<num>(a)</num>
<content>
<p>funds or economic resources dealt with under the licence, or</p>
</content>
</level>
<level class="para1" eId="regulation-41-5-b">
<num>(b)</num>
<content>
<p>funds or economic resources made available under the licence.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-41-6">
<num>(6)</num>
<content>
<p>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.</p>
</content>
</paragraph>
<paragraph eId="regulation-41-7">
<num>(7)</num>
<intro>
<p>Information within this paragraph is such information as the Treasury may reasonably require for the purpose of—</p>
</intro>
<level class="para1" eId="regulation-41-7-a">
<num>(a)</num>
<intro>
<p>establishing for the purposes of any provision of Part 3 (Finance)—</p>
</intro>
<level class="para2" eId="regulation-41-7-a-i">
<num>(i)</num>
<content>
<p>the nature and amount or quantity of any funds or economic resources owned, held or controlled by or on behalf of a designated person,</p>
</content>
</level>
<level class="para2" eId="regulation-41-7-a-ii">
<num>(ii)</num>
<content>
<p>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</p>
</content>
</level>
<level class="para2" eId="regulation-41-7-a-iii">
<num>(iii)</num>
<content>
<p>the nature of any financial transactions entered into by a designated person;</p>
</content>
</level>
</level>
<level class="para1" eId="regulation-41-7-b">
<num>(b)</num>
<intro>
<p>monitoring compliance with or detecting evasion of—</p>
</intro>
<level class="para2" eId="regulation-41-7-b-i">
<num>(i)</num>
<content>
<p>any provision of Part 3,</p>
</content>
</level>
<level class="para2" eId="regulation-41-7-b-ii">
<num>(ii)</num>
<content>
<p>regulation 39 (finance: reporting obligations), or</p>
</content>
</level>
<level class="para2" eId="regulation-41-7-b-iii">
<num>(iii)</num>
<content>
<p>any condition of a Treasury licence;</p>
</content>
</level>
</level>
<level class="para1" eId="regulation-41-7-c">
<num>(c)</num>
<content>
<p>detecting or obtaining evidence of the commission of an offence under Part 3 (Finance) or regulation 36 (finance: licensing offences) or 39.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-41-8">
<num>(8)</num>
<content>
<p>The Treasury may specify the way in which, and the period within which, information is to be provided.</p>
</content>
</paragraph>
<paragraph eId="regulation-41-9">
<num>(9)</num>
<content>
<p>If no such period is specified, the information which has been requested must be provided within a reasonable time.</p>
</content>
</paragraph>
<paragraph eId="regulation-41-10">
<num>(10)</num>
<content>
<p>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.</p>
</content>
</paragraph>
<paragraph eId="regulation-41-11">
<num>(11)</num>
<content>
<p>Information requested under this regulation may relate to any period of time during which a person is, or was, a designated person.</p>
</content>
</paragraph>
<paragraph eId="regulation-41-12">
<num>(12)</num>
<content>
<p>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).</p>
</content>
</paragraph>
<paragraph eId="regulation-41-13">
<num>(13)</num>
<content>
<p>Expressions used in this regulation have the same meaning as they have in Part 3 (Finance).</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-42">
<heading>Finance: production of documents</heading>
<num>42.</num>
<paragraph eId="regulation-42-1">
<num>(1)</num>
<content>
<p>A request under regulation 41 (finance: powers to request information) may include a request to produce specified documents or documents of a specified description.</p>
</content>
</paragraph>
<paragraph eId="regulation-42-2">
<num>(2)</num>
<intro>
<p>Where the Treasury request that documents be produced, the Treasury may—</p>
</intro>
<level class="para1" eId="regulation-42-2-a">
<num>(a)</num>
<content>
<p>take copies of or extracts from any document so produced,</p>
</content>
</level>
<level class="para1" eId="regulation-42-2-b">
<num>(b)</num>
<content>
<p>request any person producing a document to give an explanation of it, and</p>
</content>
</level>
<level class="para1" eId="regulation-42-2-c">
<num>(c)</num>
<intro>
<p>where that person is a body corporate, partnership or unincorporated body other than a partnership, request any person who is—</p>
</intro>
<level class="para2" eId="regulation-42-2-c-i">
<num>(i)</num>
<content>
<p>in the case of a partnership, a present or past partner or employee of the partnership, or</p>
</content>
</level>
<level class="para2" eId="regulation-42-2-c-ii">
<num>(ii)</num>
<content>
<p>in any other case, a present or past officer or employee of the body concerned,</p>
</content>
</level>
<wrapUp>
<p>to give such an explanation.</p>
</wrapUp>
</level>
</paragraph>
<paragraph eId="regulation-42-3">
<num>(3)</num>
<intro>
<p>Where the Treasury request a designated person or a person acting under a Treasury licence to produce documents, that person must—</p>
</intro>
<level class="para1" eId="regulation-42-3-a">
<num>(a)</num>
<content>
<p>take reasonable steps to obtain the documents (if they are not already in the person's possession or control);</p>
</content>
</level>
<level class="para1" eId="regulation-42-3-b">
<num>(b)</num>
<content>
<p>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).</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-42-4">
<num>(4)</num>
<content>
<p>
In this regulation “
<term refersTo="#term-designated-person" eId="term-designated-person">designated person</term>
” has the same meaning as it has in Part 3 (Finance).
</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-43">
<heading>Finance: information offences</heading>
<num>43.</num>
<paragraph eId="regulation-43-1">
<num>(1)</num>
<intro>
<p>A person commits an offence if that person—</p>
</intro>
<level class="para1" eId="regulation-43-1-a">
<num>(a)</num>
<content>
<p>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 41 (finance: powers to request information);</p>
</content>
</level>
<level class="para1" eId="regulation-43-1-b">
<num>(b)</num>
<content>
<p>knowingly or recklessly gives any information, or produces any document, which is false in a material particular in response to such a request;</p>
</content>
</level>
<level class="para1" eId="regulation-43-1-c">
<num>(c)</num>
<content>
<p>with intent to evade any provision of regulation 41 or 42 (finance: production of documents), destroys, mutilates, defaces, conceals or removes any document;</p>
</content>
</level>
<level class="para1" eId="regulation-43-1-d">
<num>(d)</num>
<content>
<p>otherwise intentionally obstructs the Treasury in the exercise of their powers under regulation 41 or 42.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-43-2">
<num>(2)</num>
<content>
<p>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.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-44">
<heading>Trade: application of information powers in CEMA</heading>
<num>44.</num>
<paragraph eId="regulation-44-1">
<num>(1)</num>
<intro>
<p>
Section 77A of CEMA
<noteRef href="#c24334731" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
applies in relation to a person carrying on a relevant activity as it applies in relation to a person concerned in the importation or exportation of goods but as if—
</p>
</intro>
<level class="para1" eId="regulation-44-1-a">
<num>(a)</num>
<content>
<p>
in subsection (1), the reference to a person concerned in the importation or exportation of goods for which for that purpose an entry is required by regulation 5 of the Customs Controls on Importation of Goods Regulations 1991
<noteRef href="#c24334741" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
or an entry or specification is required by or under CEMA were to a person carrying on a relevant activity;
</p>
</content>
</level>
<level class="para1" eId="regulation-44-1-b">
<num>(b)</num>
<content>
<p>any other reference to importation or exportation were to a relevant activity;</p>
</content>
</level>
<level class="para1" eId="regulation-44-1-c">
<num>(c)</num>
<content>
<p>any other reference to goods were to the goods, technology, services or funds to which the relevant activity relates.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-44-2">
<num>(2)</num>
<intro>
<p>
For the purposes of paragraph (1), a “
<term refersTo="#term-relevant-activity" eId="term-relevant-activity">relevant activity</term>
” means an activity—
</p>
</intro>
<level class="para1" eId="regulation-44-2-a">
<num>(a)</num>
<content>
<p>which would, unless done under the authority of a trade licence, constitute a contravention of any prohibition in Part 5 (Trade) except the prohibition in regulation 20(1) (export of military goods), or</p>
</content>
</level>
<level class="para1" eId="regulation-44-2-b">
<num>(b)</num>
<content>
<p>the prohibition in regulation 28 (circumventing etc. prohibitions).</p>
</content>
</level>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-45">
<heading>General trade licences: records</heading>
<num>45.</num>
<paragraph eId="regulation-45-1">
<num>(1)</num>
<content>
<p>
This regulation applies in relation to a person (“P”) who does any act authorised by a general licence issued under regulation 34 (trade licences) (“
<term refersTo="#term-the-licence" eId="term-the-licence">the licence</term>
”).
</p>
</content>
</paragraph>
<paragraph eId="regulation-45-2">
<num>(2)</num>
<intro>
<p>P must keep a register or record containing such details as may be necessary to allow the following information to be identified in relation to each act done under the authority of the licence—</p>
</intro>
<level class="para1" eId="regulation-45-2-a">
<num>(a)</num>
<content>
<p>a description of the act;</p>
</content>
</level>
<level class="para1" eId="regulation-45-2-b">
<num>(b)</num>
<content>
<p>a description of any goods, technology, services or funds to which the act relates;</p>
</content>
</level>
<level class="para1" eId="regulation-45-2-c">
<num>(c)</num>
<content>
<p>the date of the act or the dates between which the act took place;</p>
</content>
</level>
<level class="para1" eId="regulation-45-2-d">
<num>(d)</num>
<content>
<p>the quantity of any goods or funds to which the act relates;</p>
</content>
</level>
<level class="para1" eId="regulation-45-2-e">
<num>(e)</num>
<content>
<p>P's name and address;</p>
</content>
</level>
<level class="para1" eId="regulation-45-2-f">
<num>(f)</num>
<content>
<p>the name and address of any consignee of goods to which the act relates or any recipient of technology, services or funds to which the act relates;</p>
</content>
</level>
<level class="para1" eId="regulation-45-2-g">
<num>(g)</num>
<content>
<p>in so far as it is known to P, the name and address of the end-user of the goods, technology, services or funds to which the act relates;</p>
</content>
</level>
<level class="para1" eId="regulation-45-2-h">
<num>(h)</num>
<content>
<p>if different from P, the name and address of the supplier of any goods to which the act relates;</p>
</content>
</level>
<level class="para1" eId="regulation-45-2-i">
<num>(i)</num>
<content>
<p>any further information required by the licence.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-45-3">
<num>(3)</num>
<content>
<p>The register or record relating to an act must be kept until the end of the calendar year in which the register or record is created and for a further period of 4 years from the end of that calendar year.</p>
</content>
</paragraph>
<paragraph eId="regulation-45-4">
<num>(4)</num>
<content>
<p>P must notify the Secretary of State in writing of P's name and the address at which the register or record may be inspected, and must make a further such notification if those details change.</p>
</content>
</paragraph>
<paragraph eId="regulation-45-5">
<num>(5)</num>
<intro>
<p>A notification under paragraph (4) must be given no later than 30 days after—</p>
</intro>
<level class="para1" eId="regulation-45-5-a">
<num>(a)</num>
<content>
<p>P first does any act authorised by the licence, or</p>
</content>
</level>
<level class="para1" eId="regulation-45-5-b">
<num>(b)</num>
<content>
<p>there is any change to the details previously notified.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-45-6">
<num>(6)</num>
<content>
<p>A person who fails to comply with a requirement in paragraph (2), (3) or (4) commits an offence.</p>
</content>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-46">
<heading>General trade licences: inspection of records</heading>
<num>46.</num>
<paragraph eId="regulation-46-1">
<num>(1)</num>
<content>
<p>A person authorised by the Secretary of State or the Commissioners (an “official”) may at any reasonable hour enter premises notified under regulation 45(4) (general trade licences: records) for the purposes of monitoring compliance with, or detecting evasion of, a contravention under regulation 45(2) or (3).</p>
</content>
</paragraph>
<paragraph eId="regulation-46-2">
<num>(2)</num>
<content>
<p>An official may require any person on the premises to produce any register or record required to be kept under regulation 45, or any document included in such a register or record that is in the person's possession or control.</p>
</content>
</paragraph>
<paragraph eId="regulation-46-3">
<num>(3)</num>
<content>
<p>An official may inspect and copy any such register, record or document.</p>
</content>
</paragraph>
<paragraph eId="regulation-46-4">
<num>(4)</num>
<content>
<p>An official must, if requested to do so, produce documentary evidence that he or she is authorised to exercise a power conferred by this regulation.</p>
</content>
</paragraph>
<paragraph eId="regulation-46-5">
<num>(5)</num>
<intro>
<p>A person commits an offence if, without reasonable excuse, the person—</p>
</intro>
<level class="para1" eId="regulation-46-5-a">
<num>(a)</num>
<content>
<p>intentionally obstructs an official in the performance of any of the official's functions under this regulation, or</p>
</content>
</level>
<level class="para1" eId="regulation-46-5-b">
<num>(b)</num>
<content>
<p>fails to produce a register, record or document when reasonably required to do so by an official under this regulation.</p>
</content>
</level>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-47">
<heading>Disclosure of information</heading>
<num>47.</num>
<paragraph eId="regulation-47-1">
<num>(1)</num>
<intro>
<p>The Secretary of State, the Treasury or the Commissioners may, in accordance with this regulation, disclose—</p>
</intro>
<level class="para1" eId="regulation-47-1-a">
<num>(a)</num>
<content>
<p>any information obtained under or by virtue of Part 6 (Exceptions and licences), this Part or Part 9 (Maritime enforcement), or</p>
</content>
</level>
<level class="para1" eId="regulation-47-1-b">
<num>(b)</num>
<intro>
<p>any information held in connection with—</p>
</intro>
<level class="para2" eId="regulation-47-1-b-i">
<num>(i)</num>
<content>
<p>anything done under or by virtue of Part 2 (Designation of persons), Part 3 (Finance) or Part 5 (Trade), or</p>
</content>
</level>
<level class="para2" eId="regulation-47-1-b-ii">
<num>(ii)</num>
<content>
<p>any exception or licence under Part 6 or anything done in accordance with such an exception or under the authority of such a licence.</p>
</content>
</level>
</level>
</paragraph>
<paragraph eId="regulation-47-2">
<num>(2)</num>
<intro>
<p>Information referred to in paragraph (1) may be disclosed for, or in connection with, any of the following purposes—</p>
</intro>
<level class="para1" eId="regulation-47-2-a">
<num>(a)</num>
<content>
<p>any purpose stated in regulation 4 (purposes);</p>
</content>
</level>
<level class="para1" eId="regulation-47-2-b">
<num>(b)</num>
<content>
<p>the exercise of functions under these Regulations;</p>
</content>
</level>
<level class="para1" eId="regulation-47-2-c">
<num>(c)</num>
<content>
<p>facilitating, monitoring or ensuring compliance with these Regulations;</p>
</content>
</level>
<level class="para1" eId="regulation-47-2-d">
<num>(d)</num>
<intro>
<p>taking any action with a view to instituting, or otherwise for the purposes of, any proceedings in the United Kingdom—</p>
</intro>
<level class="para2" eId="regulation-47-2-d-i">
<num>(i)</num>
<content>
<p>for an offence under any provision of these Regulations,</p>
</content>
</level>
<level class="para2" eId="regulation-47-2-d-ii">
<num>(ii)</num>
<content>
<p>for an offence under CEMA in connection with the prohibition mentioned in regulation 20(1) (export of military goods), or</p>
</content>
</level>
<level class="para2" eId="regulation-47-2-d-iii">
<num>(iii)</num>
<content>
<p>
in relation to a monetary penalty under section 146 of the Policing and Crime Act 2017 (breach of financial sanctions legislation)
<noteRef href="#c24334751" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
;
</p>
</content>
</level>
</level>
<level class="para1" eId="regulation-47-2-e">
<num>(e)</num>
<intro>
<p>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—</p>
</intro>
<level class="para2" eId="regulation-47-2-e-i">
<num>(i)</num>
<content>
<p>under a provision in any such jurisdiction that is similar to a provision of these Regulations, or</p>
</content>
</level>
<level class="para2" eId="regulation-47-2-e-ii">
<num>(ii)</num>
<content>
<p>in connection with a prohibition in any such jurisdiction that is similar to a prohibition referred to in sub-paragraph (d)(ii);</p>
</content>
</level>
</level>
<level class="para1" eId="regulation-47-2-f">
<num>(f)</num>
<content>
<p>
compliance with an international obligation
<noteRef href="#c24334761" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
;
</p>
</content>
</level>
<level class="para1" eId="regulation-47-2-g">
<num>(g)</num>
<content>
<p>facilitating the exercise by an authority outside the United Kingdom or by an international organisation of functions which correspond to functions under these Regulations.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-47-3">
<num>(3)</num>
<intro>
<p>Information referred to in paragraph (1) may be disclosed to the following persons—</p>
</intro>
<level class="para1" eId="regulation-47-3-a">
<num>(a)</num>
<content>
<p>a police officer;</p>
</content>
</level>
<level class="para1" eId="regulation-47-3-b">
<num>(b)</num>
<intro>
<p>any person holding or acting in any office under or in the service of—</p>
</intro>
<level class="para2" eId="regulation-47-3-b-i">
<num>(i)</num>
<content>
<p>the Crown in right of the Government of the United Kingdom,</p>
</content>
</level>
<level class="para2" eId="regulation-47-3-b-ii">
<num>(ii)</num>
<content>
<p>the Crown in right of the Scottish Government, the Northern Ireland Executive or the Welsh Government,</p>
</content>
</level>
<level class="para2" eId="regulation-47-3-b-iii">
<num>(iii)</num>
<content>
<p>the States of Jersey, Guernsey or Alderney or the Chief Pleas of Sark,</p>
</content>
</level>
<level class="para2" eId="regulation-47-3-b-iv">
<num>(iv)</num>
<content>
<p>the Government of the Isle of Man, or</p>
</content>
</level>
<level class="para2" eId="regulation-47-3-b-v">
<num>(v)</num>
<content>
<p>the Government of any British overseas territory;</p>
</content>
</level>
</level>
<level class="para1" eId="regulation-47-3-c">
<num>(c)</num>
<content>
<p>any law officer of the Crown for Jersey, Guernsey or the Isle of Man;</p>
</content>
</level>
<level class="para1" eId="regulation-47-3-d">
<num>(d)</num>
<content>
<p>the Scottish Legal Aid Board;</p>
</content>
</level>
<level class="para1" eId="regulation-47-3-e">
<num>(e)</num>
<content>
<p>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;</p>
</content>
</level>
<level class="para1" eId="regulation-47-3-f">
<num>(f)</num>
<content>
<p>any other regulatory body (whether or not in the United Kingdom);</p>
</content>
</level>
<level class="para1" eId="regulation-47-3-g">
<num>(g)</num>
<content>
<p>any organ of the United Nations;</p>
</content>
</level>
<level class="para1" eId="regulation-47-3-h">
<num>(h)</num>
<content>
<p>the Council of the European Union, the European Commission or the European External Action Service;</p>
</content>
</level>
<level class="para1" eId="regulation-47-3-i">
<num>(i)</num>
<content>
<p>the Government of any country;</p>
</content>
</level>
<level class="para1" eId="regulation-47-3-j">
<num>(j)</num>
<content>
<p>any other person where the Secretary of State, the Treasury or the Commissioners (as the case may be) consider that it is appropriate to disclose the information.</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-47-4">
<num>(4)</num>
<content>
<p>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.</p>
</content>
</paragraph>
<paragraph eId="regulation-47-5">
<num>(5)</num>
<content>
<p>
In paragraph (4) “
<term refersTo="#term-in-their-own-right" eId="term-in-their-own-right">in their own right</term>
” means not merely in the capacity as a servant or agent of another person.
</p>
</content>
</paragraph>
<paragraph eId="regulation-47-6">
<num>(6)</num>
<intro>
<p>In paragraph (1)(b)—</p>
</intro>
<level class="para1" eId="regulation-47-6-a">
<num>(a)</num>
<content>
<p>the reference to information includes information obtained at a time when any provision of these Regulations is not in force, and</p>
</content>
</level>
<level class="para1" eId="regulation-47-6-b">
<num>(b)</num>
<intro>
<p>the reference to a licence under Part 6 includes—</p>
</intro>
<level class="para2" eId="regulation-47-6-b-i">
<num>(i)</num>
<content>
<p>a licence or authorisation which is treated as if it were a licence which had been issued under that Part, and</p>
</content>
</level>
<level class="para2" eId="regulation-47-6-b-ii">
<num>(ii)</num>
<content>
<p>a licence which is deemed to have been issued under that Part.</p>
</content>
</level>
</level>
</paragraph>
</hcontainer>
<hcontainer name="regulation" eId="regulation-48">
<heading>Part 7: supplementary</heading>
<num>48.</num>
<paragraph eId="regulation-48-1">
<num>(1)</num>
<content>
<p>A disclosure of information under regulation 47 (disclosure of information) does not breach any restriction on such disclosure imposed by statute or otherwise.</p>
</content>
</paragraph>
<paragraph eId="regulation-48-2">
<num>(2)</num>
<intro>
<p>But nothing in that regulation authorises a disclosure that—</p>
</intro>
<level class="para1" eId="regulation-48-2-a">
<num>(a)</num>
<content>
<p>contravenes the data protection legislation, or</p>
</content>
</level>
<level class="para1" eId="regulation-48-2-b">
<num>(b)</num>
<content>
<p>
is prohibited by any of Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016
<noteRef href="#c24334771" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
.
</p>
</content>
</level>
</paragraph>
<paragraph eId="regulation-48-3">
<num>(3)</num>
<content>
<p>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.</p>
</content>
</paragraph>
<paragraph eId="regulation-48-4">
<num>(4)</num>
<content>
<p>Regulation 47 does not limit the circumstances in which information may be disclosed apart from that regulation.</p>
</content>
</paragraph>
<paragraph eId="regulation-48-5">
<num>(5)</num>
<content>
<p>Nothing in this Part limits any conditions which may be contained in a Treasury licence or a trade licence.</p>
</content>
</paragraph>
<paragraph eId="regulation-48-6">
<num>(6)</num>
<intro>
<p>In this regulation—</p>
</intro>
<hcontainer name="definition">
<content>
<p>
<term refersTo="#term-the-data-protection-legislation" eId="term-the-data-protection-legislation">the data protection legislation</term>
” has the same meaning as in the Data Protection Act 2018 (see section 3 of that Act)
<noteRef href="#c24334781" uk:name="commentary" ukl:Name="CommentaryRef" class="commentary"/>
;
</p>
</content>
</hcontainer>
<hcontainer name="definition">
<content>
<p>
<term refersTo="#term-privileged-information" eId="term-privileged-information">privileged information</term>
” means information with respect to which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings.
</p>
</content>
</hcontainer>
</paragraph>
</hcontainer>
</part>
</body>
</act>
</akomaNtoso>