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121 provisions
40 Transfer of technology of strategic concern
(1) A person must not—
(a) transfer technology of strategic concern to a place in Iran;
(b) transfer technology of strategic concern to a person connected with Iran.
(2) Paragraph (1) is subject to Part 8 (Exceptions and licences).
(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—
(a) it is a defence for a person charged with the offence of contravening paragraph (1)(a) to show that the person did not know and had no reasonable cause to suspect that the transfer was to a place in Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Iran.
41 Technical assistance relating to goods of strategic concern and technology of strategic concern
(1) A person must not directly or indirectly provide technical assistance relating to goods of strategic concern or technology of strategic concern—
(a) to a person connected with Iran, or
(b) for use in Iran.
(2) Paragraph (1) is subject to Part 8 (Exceptions and licences).
(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—
(a) it is a defence for a person charged with the offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were for use in Iran.
42 Financial services and funds relating to goods of strategic concern and technology of strategic concern
(1) A person must not directly or indirectly provide, to a person connected with Iran, financial services in pursuance of or in connection with an arrangement whose object or effect is—
(a) the export of goods of strategic concern,
(b) the direct or indirect supply or delivery ofgoods of strategic concern,
(c) directly or indirectly making goods of strategic concern or technology of strategic concern available to a person,
(d) the transfer of technology of strategic concern, or
(e) the direct or indirect provision of technical assistance relating to goods of strategic concern or technology of strategic concern.
(2) A person must not directly or indirectly make funds available to a person connected with Iran in pursuance of or in connection with an arrangement mentioned in paragraph (1).
(3) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—
(a) the export of goods of strategic concern to, or for use in, Iran,
(b) the direct or indirect supply or delivery of goods of strategic concern to a place in Iran,
(c) directly or indirectly making goods of strategic concern or technology of strategic concern available—
(i) to a person connected with Iran, or
(ii) for use in Iran,
(d) the transfer of technology of strategic concern—
(i) to a person connected with Iran, or
(ii) to a place in Iran, or
(e) the direct or indirect provision of technical assistance relating to goods of strategic concern or technology of strategic concern—
(i) to a person connected with Iran, or
(ii) for use in Iran.
(4) Paragraphs (1) to (3) are subject to Part 8 (Exceptions and licences).
(5) A person who contravenes a prohibition in any of paragraphs (1) to (3) commits an offence, but—
(a) it is a defence for a person charged with an offence of contravening paragraph (1) or (2) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Iran;
(b) it is a defence for a person charged with an offence of contravening a prohibition in paragraph (3) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.
43 Brokering services: non-UK activity relating to goods of strategic concern and technology of strategic concern
(1) A person must not directly or indirectly provide brokering services in relation to an arrangement (“arrangement A”) whose object or effect is—
(a) the direct or indirect supply or delivery of goods of strategic concern from a third country to a place in Iran,
(b) directly or indirectly making goods of strategic concern available in a third country for direct or indirect supply or delivery—
(i) to a person connected with Iran, or
(ii) to a place in Iran,
(c) directly or indirectly making technology of strategic concern available in a third country for transfer—
(i) to a person connected with Iran, or
(ii) to a place in Iran,
(d) the transfer of technology of strategic concern from a place in a third country—
(i) to a person connected with Iran, or
(ii) to a place in Iran,
(e) the direct or indirect provision, in a non-UK country, of technical assistance relating to goods of strategic concern or technology of strategic concern—
(i) to a person connected with Iran, or
(ii) for use in Iran,
(f) the direct or indirect provision, in a non-UK country, of financial services—
(i) to a person connected with Iran, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 42(1), or
(ii) where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 42(3),
(g) directly or indirectly making funds available, in a non-UK country, to a person connected with Iran, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 42(1), or
(h) the direct or indirect provision of funds from a non-UK country, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 42(3).
(2) Paragraph (1) is subject to Part 8 (Exceptions and licences).
(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with that offence to show that the person did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement mentioned in that paragraph.
(4) In this regulation—
“non-UK country” means a country that is not the United Kingdom;
“third country” means—
for the purposes of paragraph (1)(a) and (b), a country that is not the United Kingdom, the Isle of Man or Iran, and
for the purposes of any other provision of paragraph (1), a country that is not the United Kingdom or Iran.
In this Chapter—
“chartering services” means services associated with the chartering of a ship;
“crew services” means services associated with the manning of a ship or the provision of a crew or members of a crew for a ship;
“operating services” means services associated with the operation of a ship;
“ship” includes every description of vessel (including a hovercraft) used in navigation;
“specified ship” means a ship specified by the Secretary of State under regulation 51 (specification of ships).
(1) A person must not directly or indirectly provide technical assistance relating to a ship to, or for the benefit of, a designated person.
(2) Paragraph (1) is subject to Part 8 (Exceptions and licences).
(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the technical assistance was provided to, or for the benefit of, a designated person.
(4) In this regulation, a “designated person” means a person designated under regulation 5 (power to designate persons) for the purposes of this regulation.
43C Provision of services relating to specified ships
(1) A person must not directly or indirectly provide in relation to a specified ship—
(a) brokering services;
(b) chartering services;
(c) crew services;
(d) financial services or funds;
(e) operating services;
(f) technical assistance;
(2) A person must not directly or indirectly provide services relating to the acquisition, sale, transfer or supply of a specified ship.
(3) Paragraphs (1) and (2) are subject to Part 8 (Exceptions and licences).
(4) A person who contravenes a prohibition in paragraph (1) or (2) commits an offence, but—
(a) it is a defence for a person charged with the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the ship in relation to which the assistance, services or funds (as the case may be) were provided was a specified ship;
(b) it is a defence for a person charged with the offence of contravening paragraph (2) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the ship in relation to whose acquisition, sale, transfer or supply the services where provided was a specified ship.
43D Procurement of services relating to specified ships
(1) A person must not directly or indirectly procure services relating to a specified ship.
(2) For the purposes of this regulation, services relating to a specified ship include, in particular, services involving the use of that specified ship.
(3) Paragraph (1) is subject to Part 8 (Exceptions and licences).
(4) A person who contravenes the prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the ship in relation to which the services were procured was a specified ship.
(1) A person must not intentionally participate in activities knowing that the object or effect of them is, whether directly or indirectly—
(a) to circumvent any of the prohibitions in Chapter 2, 3 or 4 of this Part, or
(b) to enable or facilitate the contravention of any such prohibition.
(2) A person who contravenes a prohibition in paragraph (1) commits an offence.
(1) This regulation applies where—
(a) a United Kingdom person (“P”) has been informed by the Secretary of State that goods or any technology related to the export of the goods (or both) are or may be intended, in their entirety or in part, for export, transfer or use in Iran, or to a person connected with Iran, and
(b) the goods or technology in question are subject to Part 6 (Trade) and are not for the time being specified in—
(i) Schedule 2 to the Export Control Order 2008, or
(ii) Annex 1 of the Dual-Use Regulation.
(2) Subject to Part 8 (Exceptions and licences), P shall not—
(a) export the goods in question, or
(b) transfer the technology in question.
(1) Paragraph (2) applies where a person relies on a defence under Chapter 2, 3 or 4 of this Part.
(2) If evidence is adduced which is sufficient to raise an issue with respect to the defence, the court must assume that the defence is satisfied unless the prosecution proves beyond reasonable doubt that it is not.
45A Prohibition on chartering or operating specified ships
(1) A person must not charter a specified ship, if the person knows or has reasonable cause to suspect, that the ship is a specified ship.
(2) A person must not operate a specified ship, if the person knows, or has reasonable cause to suspect, that the ship is a specified ship.
(3) Paragraphs (1) and (2) are subject to Part 8 (Exceptions and licences) (see in particular, regulation 56C (ships: exceptions from prohibitions)).
(4) A person who contravenes a prohibition in paragraph (1) or (2) commits an offence.
(1) A person must not provide a ship to which this paragraph applies with access to a port in the United Kingdom, if the person knows, or has reasonable cause to suspect, that the ship is a ship to which this paragraph applies.
(2) The master or pilot of a ship to which this paragraph applies must not cause or permit the ship to enter a port in the United Kingdom if the master or pilot knows, or has reasonable cause to suspect, that the ship is a ship to which this paragraph applies.
(3) Paragraphs (1) and (2) are subject to Part 8 (Exceptions and licences) (see, in particular, regulation 57 (ships: exceptions from prohibitions on port entry)).
(4) A person who contravenes a prohibition in paragraph (1) or (2) commits an offence.
(5) Paragraphs (1) and (2) apply to—
(a) a ship owned, controlled, chartered or operated by a designated person, or
(b) a specified ship.
(6) In paragraph (5), a “designated person” means a person who is designated under regulation 5 for the purposes of the relevant regulations of this Part.
(1) A port barring direction may be given to the master or pilot of a specified ship.
(2) A port barring direction may be given by—
(a) the Secretary of State, or
(b) a harbour authority.
(3) The Secretary of State may direct a harbour authority to take such steps as are reasonably practicable to secure that a ship mentioned in a port barring direction does not enter a port or ports in the United Kingdom specified in the direction, or any port in the United Kingdom.
(4) It is an offence for a person to whom a direction is given under this regulation to fail to comply with the direction.
(5) The Secretary of State may notify a person that the existence of a port barring direction, any part of the content of the direction, or anything done under the direction, is to be treated as confidential.
(6) It is an offence for a person to disclose information if the Secretary of State has notified that person under paragraph (5) that the information is to be treated as confidential.
(7) In this regulation, a “port barring direction” means a direction prohibiting a ship from entering a port or ports in the United Kingdom specified in the direction, or any port in the United Kingdom.
(1) A port entry direction or a movement direction may be given by the Secretary of State to the master or pilot of—
(a) a ship owned, controlled, chartered or operated by a designated person, or
(b) a specified ship.
(2) The Secretary of State may direct a harbour authority to take such steps as are reasonably practicable to secure that a ship mentioned in paragraph (1)—
(a) proceeds to or enters a port specified in the direction,
(b) leaves a port specified in the direction,
(c) proceeds to a place specified in the direction, or
(d) remains where it is.
(3) It is an offence for a person to whom a direction is given under this regulation to fail to comply with the direction.
(4) The Secretary of State may notify a person that the existence of a port entry direction or a movement direction, any part of the content of the direction, or anything done under the direction, is to be treated as confidential.
(5) It is an offence for a person to disclose information if the Secretary of State has notified that person under paragraph (4) that the information is to be treated as confidential.
(6) In this regulation—
a “designated person” means a person who is designated under regulation 5 for the purposes of the relevant regulations of this Part;
a “movement direction” means a direction requiring a ship—
to leave a port specified in the direction,
to proceed to a place specified in the direction, or
to remain where it is;
a “port entry direction” means a direction requiring a ship to proceed to or enter a port specified in the direction.
(1) A detention direction may be given to the master of a ship referred to in paragraph (3) by—
(a) the Secretary of State, or
(b) a harbour authority.
(2) A detention direction under paragraph (1)(b) may only be given by a harbour authority to the master of a specified ship if it has received a direction from the Secretary of State in accordance with paragraph (3)(b).
(3) The Secretary of State may direct a harbour authority to give a detention direction to the master of—
(a) a ship owned, controlled, chartered or operated by a designated person, or
(b) a specified ship.
(4) A “detention direction” means a direction requiring the detention of a ship at a port or anchorage in the United Kingdom.
(5) A detention direction given in relation to a ship—
(a) must be in writing,
(b) must be delivered to the master of the ship by the person who detains the ship,
(c) must state the grounds on which the ship is detained, and
(d) must state that—
(i) it is given under this regulation, and
(ii) any requirements imposed by the direction must be complied with.
(6) Paragraph (7) applies if—
(a) the ship is not a British ship, and
(b) there is in the United Kingdom a consular officer for the country to which the ship belongs.
(7) A copy of the detention direction must be sent as soon as practicable to the nearest consular officer for the country to which the ship belongs.
(8) Section 284(1), (2), (2A), (2B), (3) and (8) of the Merchant Shipping Act 1995 (enforcing detention of ship) applies in the case of detention under a detention direction as it applies in the case of detention authorised or ordered by that Act, but as if—
(a) any reference in that section to a notice of detention were to the detention direction, and
(b) the reference in subsection (2A) of that section to a direction given under subsection (1A)(a) of that section were to any requirement imposed by the detention direction.
(9) In this regulation, “consular officer”, in relation to a foreign country, means the officer recognised by His Majesty as a consular officer of that foreign country.
(10) In this regulation a “designated person” means a person who is designated under regulation 5 for the purposes of the relevant regulations of this Part.
(1) The Registrar must refuse to register a ship if, on the basis of the information given to the Registrar by the Secretary of State or accompanying the application for registration, the ship appears to the Registrar to be—
(a) owned, controlled, chartered or operated by a designated person , or
(b) a specified ship.
(2) The Secretary of State may direct the Registrar to terminate the registration of—
(a) a ship that is owned, controlled, chartered or operated by a designated persons or
(b) a specified ship.
(3) For the purposes of this regulation—
(a) any reference to registering a ship is to registering the ship in the register of British ships maintained by the Registrar; and
(b) a “designated person” means a person who is designated under regulation 5 for the purposes of the relevant regulations of this Part.
(1) The Secretary of State may specify ships within the meaning of section 7 of the Act for for any of the following purposes—
(za) regulation 43C (provision of services relating to specified ships);
(zb) regulation 43D (procurement of services relating to specified ships);
(zc) regulation 45A (prohibition on chartering or operating specified ships);
(a) regulation 46 (prohibition on port entry),
(b) regulation 47 (directions prohibiting port entry),
(c) regulation 48 (movement of ships),
(d) regulation 49 (detention of ships), and
(e) regulation 50 (registration of ships in the United Kingdom).
(2) The Secretary of State must specify a ship by its International Maritime Organization number or, where it is not reasonably practicable to identify it by that number, by any other means that the Secretary of State considers appropriate.
(3) The Secretary of State may not specify a ship unless the Secretary of State has reasonable grounds to suspect that the ship is, has been, or is likely to be, involved in a relevant activity.
(4) For the purposes of this regulation a ship is “involved in a relevant activity” if the ship is used for any activity whose object or effect is—
(a) to contravene or circumvent, or to enable or facilitate the contravention or circumvention of, any provision of these Regulations;
(b) the commission of a serious human rights violation or abuse in Iran;
(c) hostile activity by the Government of Iran;
(d) hostile activity by an armed group backed by the Government of Iran.
(5) For the purposes of paragraph (4), “hostile activity” includes carrying—
(a) restricted goods or restricted technology—
(i) from a place in Iran to a third country,
(ii) from a third country to a place in Iran, or
(iii) from one third country to another third country for use in Iran or a third country;
(b) further restricted goods, further restricted technology, dual-use goods, goods of strategic concern or technology of strategic concern—
(i) from a place in Iran to a third country,
(ii) from a third country to a place in Iran, or
(iii) from one third country to another third country for use in Iran or a third country;
(c) any other goods or technology that is intended to contribute to threatening, planning or conducting activity which is intended to cause the destabilisation of the United Kingdom or any other country including—
(i) activity which undermines or is intended to undermine—
(aa) the integrity, prosperity or security of the United Kingdom or any other country;
(bb) the resolution of any armed conflict or the protection of civilians in conflict zones;
(ii) activity which aids or facilitates serious organised crime in the United Kingdom or in any other country;
(d) any other goods or technology that could contribute to threatening, planning or conducting attacks against ships including the detention and sabotage of ships;
(e) any other goods or technology that could contribute to planning or conducting espionage for the Government of Iran;
(f) any other goods or technology that could contribute to carrying on business in the Iranian defence sector;
(g) oil and petroleum products that originated in Iran—
(i) from a place in Iran to a third country, or
(ii) from one third country to another third country;
(h) natural gas that originated in Iran—
(i) from a place in Iran to a third country, or
(ii) from one third country to another third country.
(6) For the purpose of paragraph (5), “carrying” includes any transfer of the goods or technology concerned between ships on which those goods or technology are being carried as mentioned in that paragraph.
(7) In this regulation—
“the 2019 Regulations” means the Iran (Sanctions) (Nuclear) (EU Exit) Regulations 2019;
“dual-use goods” means—
any thing for the time being specified in Annex I of the Dual-Use Regulation, other than any thing which is dual-use technology, and
any tangible storage medium on which dual-use technology is recorded or from which it can be derived;
“dual-use technology” means any thing for the time being specified in Annex I of the Dual-Use Regulation which is described as software or technology;
“further restricted goods” includes any thing which is a restricted good under regulation 20 of the 2019 Regulations;
“further restricted technology” include any thing which is restricted technology under regulation 20 of the 2019 Regulations;
“goods of strategic concern” has the meaning given in regulation 36;
“natural gas” means any thing specified in Schedule 1E to the 2019 Regulations;
“oil and petroleum products” means any thing specified in Schedule 1F to the 2019 Regulations;
“restricted goods” and “restricted technology” have the meanings given in regulation 8;
“technology of strategic concern” has the meaning given in regulation 36.
52 Notification and publicity where specification power used
(1) Paragraph (2) applies where the Secretary of State—
(a) has specified a ship under regulation 51(1)(specification of ships), or
(b) has by virtue of section 26 of the Act revoked a specification made under that regulation.
(2) The Secretary of State—
(a) must without delay take such steps as are reasonably practicable to inform such persons as the Secretary of State considers appropriate of the specification or revocation, and
(b) except where one or more of the restricted publicity conditions is met, must take steps to publicise the specification or revocation generally.
(3) The “restricted publicity conditions” are that the Secretary of State considers that disclosure of the specification or revocation should be restricted—
(a) in the interests of national security or international relations,
(b) for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or
(c) in the interests of justice.
(4) Paragraph (5) applies if—
(a) when a specification is made one or more of the restricted publicity conditions is met, but
(b) at any time when the specification has effect, it becomes the case that none of the restricted publicity conditions is met.
(5) The Secretary of State must take steps to publicise the specification generally.
(1) Paragraphs (2) to (4) apply in relation to a direction given under this Part.
(2) A person to whom a direction is given has a duty to comply with it.
(3) A direction may be of indefinite duration or a defined duration.
(4) A person who gives a direction may vary, revoke or suspend it at any time.
(5) A direction under regulation 48(2) (movement of ships) may be given to any harbour authority or to harbour authorities generally.
(1) For the purposes of this Part, a ship is—
(a) “owned” by a person if—
(i) the legal title to the ship, or to any share in the ship, is vested in that person, or in a person who is owned or controlled directly or indirectly (within the meaning of regulation 9) by that person, or
(ii) the person, or a person who is owned or controlled directly or indirectly (within the meaning of regulation 9) by that person, has a beneficial interest in the ship or in any share in the ship;
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(c) “controlled” by a person who is able to take decisions about its operation, including (but not limited to) decisions about the route the ship may take and the appointment of master or crew.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) Any reference in this Part to a legal title or other interest includes one held jointly with any other person or persons.
(5) For the purposes of this Part—
“beneficial interest” means any beneficial interest, however, arising (whether held by trustee or nominee or arising under a contract or otherwise), other than an interest held by any person as mortgagee;
“specified ship” means a ship specified by the Secretary of State under regulation 51 (specification of ships);
“the relevant regulations of this Part” means regulations 46, 48, 49, and 50.
(6) Any expression used in this Part and in section 7 of the Act (shipping sanctions) has the same meaning in this Part as it has in that section.
(1) The prohibition in regulation 15 (asset-freeze in relation to designated persons) is not contravened by an independent person (“P”) transferring to another person a legal or equitable interest in funds or economic resources where, immediately before the transfer, the interest—
(a) is held by P, and
(b) is not held jointly with the designated person.
(2) In paragraph (1) “independent person” means a person who—
(a) is not the designated person, and
(b) is not owned or controlled directly or indirectly (within the meaning of regulation 9) by the designated person.
(3) The prohibitions in regulations 15 to 17 (asset-freeze in relation to, and making funds available to, or for the benefit of, designated persons) are not contravened by a relevant institution crediting a frozen account with interest or other earnings due on the account.
(4) The prohibitions in regulations 16 and 17 (making funds available to, or for the benefit of, designated persons) are not contravened by a relevant institution crediting a frozen account where it receives funds transferred to that institution for crediting to that account.
(5) The prohibitions in regulations 16 and 17 are not contravened by the transfer of funds to a relevant institution for crediting to an account held or controlled (directly or indirectly) by a designated person, where those funds are transferred in discharge (or partial discharge) of an obligation which arose before the date on which the person became a designated person.
(6) The prohibitions in regulations 15 to 17 are not contravened in relation to a designated person (“P”) by a transfer of funds from account A to account B, where—
(a) account A is with a relevant institution which carries on an excluded activity within the meaning of section 142D of the Financial Services and Markets Act 2000,
(b) account B is with a ring-fenced body within the meaning of section 142A of the Financial Services and Markets Act 2000, and
(c) accounts A and B are held or controlled (directly or indirectly) by P.
(7) In this regulation—
“designated person” has the same meaning as it has in Part 3 (Finance);
“frozen account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person;
“relevant institution” means a person that has permission under Part 4A of the Financial Services and Markets Act 2000 (permission to carry on regulated activity).
(8) The definition of “relevant institution” in paragraph (7) is 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.
(9) For the purposes of paragraphs (1)(b), (5) and (6) and the definition of “frozen account” in paragraph (7), references to a designated person are to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 9) by the designated person.
(10) When determining for the purposes of paragraph (5) when a person (“C”) who is owned or controlled directly or indirectly (within the meaning of regulation 9) by the designated person (“D”) became a designated person, C is to be treated as having become a designated person at the same time as D.
55A Finance: exception from prohibitions for required payments
(1) This regulation applies to required payments within the meaning of paragraph (2).
(2) A required payment is a payment which—
(a) a designated person is required to make under or by virtue of any enactment to—
(i) the registrar of companies,
(ii) the Commissioners,
(iii) the Welsh Revenue Authority,
(iv) Revenue Scotland,
(v) the Financial Conduct Authority,
(vi) the Secretary of State,
(vii) the Welsh Ministers,
(viii) the Department of Finance in Northern Ireland, or
(ix) a local authority, and
(b) is not an excluded payment.
(3) The prohibitions in regulations 15 (asset-freeze in relation to designated persons) and 17 (making funds available for benefit of designated persons) are not contravened by a person making a required payment.
(4) Where a required payment is made by a person other than a designated person, the prohibition in regulation 15 is not contravened by the designated person making a reimbursement payment to that person.
(5) The reference in paragraph (3) to a person making a required payment includes a designated person, but only where they are making a required payment on their own behalf.
(6) The following payments are to be treated as payments which a designated person is required to make under or by virtue of an enactment for the purposes of this regulation, where made by a designated person on their own behalf or by a person, other than a designated person, on behalf of a designated person—
(a) a payment to the Financial Conduct Authority of a levy imposed by the scheme manager of the Financial Services Compensation Scheme by virtue of section 213 of the Financial Services and Markets Act 2000 (the compensation scheme);
(b) a payment to the Financial Conduct Authority which is collected by that Authority on behalf of the Financial Reporting Council Limited.
(7) For the purposes of this regulation, references to a designated person are to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 9) by the designated person.
(8) In this regulation—
“BID levy” means a levy that is imposed on those persons who are, in respect of particular business improvement district proposals, entitled to vote in accordance with section 39(3) of the Planning etc. (Scotland) Act 2006;
“business improvement district” has the meaning given in section 33 of the Planning etc. (Scotland) Act 2006;
“designated person” has the same meaning as it has in Part 3 (Finance);
“enactment” has the meaning given in section 54(6) of the Act;
“excluded payment” means, in relation to—
the registrar of companies, a payment of fees for—
the incorporation of a firm;
the restoration of a firm to a register which is administered by the registrar;
the Financial Conduct Authority, a payment of fees for—
an application for permission from, authorisation by, registration with or recognition from the Financial Conduct Authority which relates to the carrying on of any activity falling within any function of the Financial Conduct Authority;
an application for a variation of such permission, authorisation, registration or recognition;
an application for listing or for eligibility for listing;
an application for review or approval of a document relating to listing;
an application for approval as a sponsor or primary information provider;
an application for review or approval of—
a document under rules made by the Financial Conduct Authority by virtue of Part 3 of the Public Offers and Admissions to Trading Regulations 2024;
listing particulars under section 79 of the Financial Services and Markets Act 2000 or supplementary listing particulars under section 81 of that Act;
the Secretary of State or the Welsh Ministers, a payment that a designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of Part 3 of the Local Government Finance Act 1988;
the Department of Finance in Northern Ireland, a payment that a designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of Part 2 of the Rates (Northern Ireland) Order 1977;
a local authority, a payment that a designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of—
Part 1 of the Local Government (Scotland) Act 1975;
Part 3 of the Local Government Finance Act 1988;
Parts 1 and 2 of the Local Government Finance Act 1992;
Part 4 of the Local Government Act 2003;
Part 9 of the Planning etc. (Scotland) Act 2006;
the Business Rate Supplements Act 2009;
the Business Improvement Districts Act (Northern Ireland) 2013;
“firm” has the meaning given in section 1173(1) of the Companies Act 2006;
“listing” means being included in the official list maintained by the Financial Conduct Authority in accordance with Part 6 of the Financial Services and Markets Act 2000;
“local authority” means—
in relation to England—
a district council;
a county council for any area for which there is no district council;
a London borough council;
the Common Council of the City of London in its capacity as a local authority;
the Council of the Isles of Scilly;
in relation to Wales, a county council or a county borough council;
in relation to Scotland, a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994 or a person appointed by such a council for the purposes of the administration, collection and recovery of a BID levy;
in relation to Northern Ireland, a district council;
“primary information provider” has the meaning given in section 89P(2) of the Financial Services and Markets Act 2000;
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“registrar of companies” has the meaning given in section 1060 of the Companies Act 2006 (the registrar);
“reimbursement payment” means a repayment from the designated person to the person who made a required payment which is of the same amount as that required payment;
“scheme manager” has the meaning given in section 212 of the Financial Services and Markets Act 2000;
“sponsor” has the meaning given in section 88(2) of the Financial Services and Markets Act 2000.
56 Trade: exception for emergencies in certain cases
(1) The prohibitions specified in paragraph (2) are not contravened by any act done by a person (“P”), where P provides justification to the Secretary of State within the relevant period that the act is an act dealing with an emergency.
(2) Paragraph (1) applies to the prohibitions in—
(a) regulations 28 to 34 (prohibitions relating to restricted goods, etc.);
(b) regulations 37 to 43 (prohibitions relating to goods of strategic concern, etc.);
(c) regulation 43B (technical assistance relating to ships);
(d) regulation 43C (provision of services relating to specified ships);
(e) regulation 43D (procurement of services relating to specified ships).
(3) In this regulation—
“an act dealing with an emergency” means an act assisting with the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health or safety, infrastructure or the environment;
“relevant period”, in relation to an act, means the period of 5 working days beginning with the day on which the act is done.
56A Trade: exceptions in relation to personal effects etc.
(1) The prohibitions in regulations 37(1) (export of goods of strategic concern), 38(1) (supply and delivery of goods of strategic concern), 39(1) (making goods of strategic concern and technology of strategic concern available), 40(1) (transfer of technology of strategic concern), 41(1) (technical assistance relating to goods of strategic concern and technology of strategic concern), 42(1) to (3) (financial services and funds relating to goods of strategic concern and technology of strategic concern), and 43(1) (brokering services: non-UK activity relating to goods of strategic concern and technology of strategic concern) are not contravened by a relevant activity in relation to any goods of strategic concern or technology of strategic concern which are—
(a) the personal effects of a person travelling to Iran,
(b) of a non-commercial nature for the personal use of a person travelling to Iran and contained in that person’s luggage, or
(c) necessary for the official purposes of a diplomatic mission or consular post in Iran, or of an international organisation enjoying immunities in accordance with international law.
(2) For the purposes of paragraph (1)—
“consular post” has the same meaning as in the Vienna Convention on Consular Relations done at Vienna on 24 April 1963, and any reference to the functions of a consular post is to be read in accordance with that Convention;
“diplomatic mission”, and any reference to the functions of a diplomatic mission, is to be read in accordance with the Vienna Convention on Diplomatic Relations done at Vienna on 18 April 1961;
“goods of strategic concern” has the meaning given in regulation 36 (interpretation);
“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions specified in paragraph (1);
“technology of strategic concern” has the meaning given in regulation 36 (interpretation).
56B Trade: exceptions from prohibitions on services provided or procured relating to specified ships
(1) The prohibitions specified in paragraph (2) are not contravened by conduct that is necessary to protect or avoid endangering—
(a) the safety of any ship, or
(b) the life of any person.
(2) Paragraph (1) applies to the prohibitions—
(a) in regulation 43C (provision of services relating to specified ships);
(b) in regulation 43D (procurement of services relating to specified ships).
56C Ships: exceptions from prohibition on operating specified ships
(1) A person does not contravene the prohibition in regulation 45A(2) (operating specified ships) by conduct in the United Kingdom or in the territorial sea where the person—
(a) is not a United Kingdom person, and
(b) the person’s presence in the United Kingdom or in the territorial sea arises directly from an exercise of either—
(i) the right of innocent passage, or
(ii) the right of transit passage,
in accordance with the provisions of the United Nations Convention on the Law of the Sea.
(2) A person does not contravene the prohibition in regulation 45A(2) by conduct necessary to protect or avoid endangering—
(a) the safety of any ship, or
(b) the life of any person.
57 Ships: exceptions from prohibition on port entry
(1) The prohibition in regulation 46(1) (prohibition on port entry) is not contravened by providing a ship with access to a port if—
(a) a port entry direction has been given in relation to the ship under regulation 48 (movement of ships), or
(b) the access is needed by the ship in a case of emergency.
(2) The prohibition in regulation 46(2) is not contravened by the entry into port of a ship if—
(a) a port entry direction has been given in relation to the ship under regulation 47, or
(b) the entry is needed by the ship in a case of emergency.
58 Exception for authorised conduct in a relevant country
(1) Where a person’s conduct in a relevant country would, in the absence of this regulation, contravene a prohibition in any of regulations 15 to 19 (asset-freeze etc.) or Chapter 2, 3 or 4 of Part 6 (Trade) (“the relevant prohibition”), the relevant prohibition is not contravened if the conduct is authorised by a licence or other authorisation which is issued—
(a) under the law of the relevant country, and
(b) for the purpose of disapplying a prohibition in that jurisdiction which corresponds to the relevant prohibition.
(2) In this regulation—
“relevant country” means—
any of the Channel Islands,
the Isle of Man, or
any British overseas territory.
59 Exception for acts done for purposes of national security or prevention of serious crime
(1) Where an act would, in the absence of this paragraph, be prohibited by the prohibition in regulation 11(2) or 13(2) (confidentiality) or any prohibition in Part 3 (Finance) or 6 (Trade), or under or by virtue of Part 7 (Ships), that prohibition does not apply to the act if the act is one which a responsible officer has determined would be in the interests of—
(a) national security, or
(b) the prevention or detection of serious crime in the United Kingdom or elsewhere.
(2) Where, in the absence of this paragraph, a thing would be required to be done under or by virtue of a provision of Part 9 (Information and records) or Part 11 (Maritime enforcement), that requirement does not apply if a responsible officer has determined that not doing the thing in question would be in the interests of—
(a) national security, or
(b) the prevention or detection of serious crime in the United Kingdom or elsewhere.
(3) In this regulation “responsible officer” means a person in the service of the Crown or holding office under the Crown, acting in the course of that person’s duty.
(1) The prohibitions in regulations 15 to 19 (asset-freeze etc.) do not apply to anything done under the authority of a licence issued by the Treasury under this paragraph.
(2) The Treasury may issue a licence which authorises acts by a particular person only where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Schedule 5.
The Secretary of State may issue a licence in relation to any person who is designated under regulation 5 for the purposes of regulation 21 (director disqualification sanctions) providing that the prohibitions in—
(a) section 11A of the Company Directors Disqualification Act 1986, and
(b) Article 15A of the Company Directors Disqualification (Northern Ireland) Order 2002,
do not apply to anything done under the authority of that licence.
The prohibitions in Chapters 2, 3 and 4 of Part 6 (Trade) do not apply to anything done under the authority of a licence issued by the Secretary of State under this regulation.
The prohibitions in regulation 45A(1) and (2) (prohibition on chartering or operating specified ships) do not apply to anything done under the authority of a licence issued by the Secretary of State under this regulation.
(1) This regulation applies in relation to Treasury licences, director disqualification licences , trade licences and ships licences.
(2) A licence must specify the acts authorised by it.
(3) A licence may be general or may authorise acts by a particular person or persons of a particular description.
(4) A licence may—
(a) contain conditions;
(b) be of indefinite duration or a defined duration.
(5) A person who issues a licence may vary, revoke or suspend it at any time.
(6) A person who , on the application of a person (“P”), issues a licence which authorises acts by a particular person , or varies, revokes or suspends that licence, must give written notice to P of the issue, variation, revocation or suspension of the licence.
(7) A person who issues, varies, revokes or suspends a general licence or a licence which authorises acts by persons of a particular description must take such steps as that person considers appropriate to publicise the issue, variation, revocation or suspension of the licence.
(1) A person (“P”) commits an offence if P knowingly or recklessly—
(a) provides information that is false in a material respect, or
(b) provides or produces a document that is not what it purports to be,
for the purpose of obtaining a Treasury licence (whether for P or anyone else).
(2) A person who purports to act under the authority of a Treasury licence but who fails to comply with any condition of the licence commits an offence.
(1) A person (“P”) commits an offence if P knowingly or recklessly—
(a) provides information that is false in a material respect, or
(b) provides or produces a document that is not what it purports to be,
for the purpose of obtaining a director disqualification licence (whether for P or anyone else).
(2) A person who purports to act under the authority of a director disqualification licence but who fails to comply with any condition of the licence commits an offence.
(3) A licence in respect of which an offence under paragraph (1) has been committed is to be treated as void from the time at which it was issued.
(1) A person (“P”) commits an offence if P knowingly or recklessly—
(a) provides information that is false in a material respect, or
(b) provides or produces a document that is not what it purports to be,
for the purpose of obtaining a trade licence (whether for P or anyone else).
(2) A person who purports to act under the authority of a trade licence but who fails to comply with any condition of the licence commits an offence.
(3) A licence in respect of which an offence under paragraph (1) has been committed is to be treated as void from the time at which it was issued.
(1) A person (P”) commits an offence if P knowingly or recklessly—
(a) provides information that is false in a material respect, or
(b) provides or produces a document that is not what it purports to be, for the purpose of obtaining a ships licence (whether for P or anyone else).
(2) A person who purports to act under the authority of a ships licence but who fails to comply with any condition of the licence commits an offence.
(3) A licence in respect of which an offence under paragraph (1) has been committed is to be treated as void from the time at which it was issued.
67 Section 8B(1) to (3) of Immigration Act 1971: directions
(1) The Secretary of State may direct that, in relation to any person within regulation 22 whose name is specified, or who is of a specified description, section 8B(1) and (2) of the Immigration Act 1971, or section 8B(3) of that Act, have effect subject to specified exceptions.
(2) A direction under this regulation may contain conditions.
(3) A direction under this regulation must be of a defined duration (and that duration may be expressed in any way, including, for example, being expressed in a way such that the direction ceases to have effect on, or within a specified period after, the occurrence of a specified event).
(4) The Secretary of State may vary, revoke or suspend a direction under this regulation at any time.
(5) On the issue, variation, revocation or suspension of a direction under this regulation, the Secretary of State may take such steps as the Secretary of State considers appropriate to publicise the issue, variation, revocation or suspension of the direction.
(6) In this regulation “specified” means specified in a direction under this regulation.