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(1) These Regulations may be cited as the Russia (Sanctions) (EU Exit) Regulations 2019.
(2) Subject to paragraph (3), these Regulations come into force on exit day.
(3) The following provisions of these Regulations come into force on the day after the day on which the Regulations are made—
(a) this regulation;
(b) regulation 2 (interpretation);
(c) regulation 4 (purposes);
(d) Part 2;
(e) Schedule 1 (rules for interpretation of regulations 7(2) and 16(7)).
In these Regulations—
“ the Act ” means the Sanctions and Anti-Money Laundering Act 2018;
“ aircraft licence ” means a licence under regulation 65A;
“ arrangement ” includes any agreement, understanding, scheme, transaction or series of transactions, whether or not legally enforceable (but see paragraph 12 of Schedule 1 for the meaning of that term in that Schedule);
“ CEMA ” means the Customs and Excise Management Act 1979 ;
“ the Commissioners ” means the Commissioners for Her Majesty's Revenue and Customs;
“ conduct ” includes acts and omissions;
“ Crimea ” means the Autonomous Republic of Crimea and the city of Sevastopol;
“ director disqualification licence ” means a licence under regulation 64A;
“ document ” includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include producing a copy of the information in legible form;
“ the EU Russia Regulations ” means the following, as they have effect in EU law—
Council Regulation (EU) No 269/2014 of 17 March 2014 (concerning restrictive measures in respect of actions undermining or threatening the territorial integrity, sovereignty and independence of Ukraine) ,
Council Regulation (EU) No 692/2014 of 23 June 2014 (concerning restrictive measures in response to the illegal annexation of Crimea and Sevastopol) , and
Council Regulation (EU) No 833/2014 of 31 July 2014 (concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine) ;
...
“ non-government controlled areas of the Donetsk, Kherson Luhansk and Zaporizhzhia oblasts ” means the parts of the Donetsk, Kherson, Luhansk and Zaporizhzhia oblasts which are for the time being controlled by an authority other than the Government of Ukraine;
“ non-government controlled Ukrainian territory ” means Crimea and non-government controlled areas of the Donetsk, Kherson, Luhansk and Zaporizhzhia oblasts;
“ OFCOM ” means the Office of Communications;
“ trade licence ” means a licence under regulation 65;
“ Treasury licence ” means a licence under regulation 64(1); the “ Ukraine Financial Sanctions Regulations ” means—
The Ukraine (European Union Financial Sanctions) (No.2) Regulations 2014 , and
The Ukraine (European Union Financial Sanctions) (No.3) Regulations 2014 ;
“ United Kingdom person ” has the same meaning as in section 21 of the Act;
“ working day ” means any day other than—
Saturday or Sunday,
Christmas Day or Good Friday, or
a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in any part of the United Kingdom.
(1) A United Kingdom person may contravene a relevant prohibition by conduct wholly or partly outside the United Kingdom.
(2) Any person may contravene a relevant prohibition by conduct in the territorial sea.
(3) In this regulation a “ relevant prohibition ” means any prohibition imposed—
(a) by regulation 9(2) or 9B(2) (confidential information),
(b) by Part 3 (Finance),
(c) by Part 5 (Trade),
(d) under Part 6 (Ships),
(da) by regulation 57L(6) (disclosure of confidential information), or
(e) by a condition of a Treasury licence or a trade licence.
(4) A United Kingdom person may comply, or fail to comply, with a relevant requirement by conduct wholly or partly outside the United Kingdom.
(5) Any person may comply, or fail to comply, with a relevant requirement or a requirement imposed by a direction under regulation 57J(3) (direction by air traffic control to operator or pilot of Russian aircraft), or a requirement imposed by a condition of an aircraft licence, by conduct in the territorial sea.
(6) In this regulation a “ relevant requirement ” means any requirement imposed—
(a) by or under Part 8 (Information and records), or by reason of a request made under a power conferred by that Part,
(b) by a condition of a Treasury licence or a trade licence, or
(c) by a direction under regulation 57C (movement of ships).
(7) Nothing in this regulation is to be taken to prevent a relevant prohibition or a relevant requirement from applying to conduct (by any person) in the United Kingdom.
The regulations contained in this instrument that are made under section 1 of the Act are for the purposes of —
(a) encouraging Russia to cease actions destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine.
(b) promoting the payment of compensation by Russia for damage, loss or injury suffered by Ukraine on or after 24th February 2022 as a result of Russia’s invasion of Ukraine.
(1) The Secretary of State may designate persons by name in accordance with regulation 5A (conditions for the designation of persons by name) for the purposes of any of the following—
(a) regulations 11 to 15 (asset-freeze etc.);
(aa) regulation 17A (corresponding banking relationships and processing payments) ;
(ab) regulation 18C (trust services);
(ac) regulation 19B (director disqualification sanctions);
(b) regulation 20 (immigration);
(bza) regulation 46A (technical assistance relating to aircraft and ships);
(bzb) regulation 54A (internet services);
(ba) regulations 57A and 57C to 57E (ships: prohibition on port entry etc.);
(bb) regulations 57J and 57M (aircraft).
(1A) The Secretary of State may provide that persons of a description specified by the Secretary of State are designated persons for the purposes of any of the following—
(a) regulations 11 to 15 (asset-freeze etc.);
(b) regulation 17A (corresponding banking relationships and processing payments) ;
(ba) regulation 18C (trust services);
(c) regulation 20 (immigration);
(d) regulation 46A (technical assistance relating to aircraft and ships);
(da) regulation 54A (internet services);
(e) regulations 57A and 57C to 57E (ships: prohibition on port entry etc.);
(f) regulations 57J and 57M (aircraft).
(2) The Secretary of State may designate different persons for the purposes of different provisions mentioned in paragraph (1) or (1A) .
(3) For the purposes of these Regulations, persons “designated under regulation 5” for the purpose of a particular regulation means—
(a) persons who are designated by name under paragraph (1) for the purposes of that particular regulation, and
(b) where the Secretary of State makes provision under paragraph (1A) that persons of a specified description are designated persons for the purposes of that particular regulation, persons of that description.
(1) The Secretary of State may choose whether to designate a person under regulation 5(1) (power to designate persons by name) under—
(a) the standard procedure, or
(b) the urgent procedure.
(2) Paragraph (3) applies where the Secretary of State chooses to designate a person under regulation 5(1) under the standard procedure.
(3) The Secretary of State may not designate a person except where condition A is met.
(4) Condition A is that the Secretary of State has reasonable grounds to suspect that that person is an involved person.
(5) Paragraphs (6) to (8) apply where the Secretary of State chooses to designate a person under regulation 5(1) under the urgent procedure.
(6) The Secretary of State may designate a person where condition A is not met, but conditions B and C are met.
(7) The person ceases to be a designated person at the end of the period of 56 days beginning with the day following the day on which the person became a designated person unless, within that period, the Secretary of State certifies that—
(a) condition A is met, or
(b) conditions B and C continue to be met.
(8) Where the Secretary of State makes a certification under paragraph (7)(b), the designation ceases to have effect at the end of the period of 56 days beginning with the day immediately following the period mentioned in paragraph (7), unless within that period the Secretary of State certifies that condition A is met.
(9) Condition B is that relevant provision (whenever made) applies to, or in relation to, the person under the law of—
(a) the United States of America;
(b) the European Union;
(c) Australia;
(d) Canada.
(10) Condition C is that the Secretary of State considers that it is in the public interest to make designations under the urgent procedure.
(11) For the purposes of condition B, “relevant provision” is provision that the Secretary of State considers—
(a) corresponds, or is similar, to the type of sanction or sanctions in these Regulations, or
(b) is made for purposes corresponding, or similar, to any purpose of any type of sanction or sanctions in these Regulations.
(12) In this regulation, “ involved person ” has the meaning given in regulation 6 (designation criteria: meaning of “involved person”).
(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) For the purposes of regulations 5A and 6A (conditions for the designation of persons) , an “ involved person ” means a person who—
(a) is or has been involved in—
(i) destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine, or
(ii) obtaining a benefit from or supporting the Government of Russia,
(b) is owned or controlled directly or indirectly (within the meaning of regulation 7) by a person who is or has been so involved,
(c) is acting on behalf of or at the direction of a person who is or has been so involved, or
(d) is a member of, or associated with, a person who is or has been so involved.
(3) For the purposes of this regulation, a person is “involved in destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine” if—
(a) the person is responsible for, engages in, provides support for, or promotes any policy or action which destabilises Ukraine or undermines or threatens the territorial integrity, sovereignty or independence of Ukraine;
(b) the person provides financial services, or makes available funds, economic resources, goods or technology, that could contribute to destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine;
(c) the person provides financial services, or makes available funds, economic resources, goods or technology, to—
(i) a person who is responsible for a policy or action which falls within sub-paragraph (a), or
(ii) a person who provides financial services, or makes available funds, economic resources, goods or technology, as mentioned in sub-paragraph (b);
(d) the person obstructs the work of international organisations in Ukraine;
(e) the person conducts business with a separatist group in the Donbas region;
(f) the person is a relevant person trading or operating in non-government controlled Ukrainian territory ;
(g) the person assists the contravention or circumvention of a relevant provision;
(h) the person owns or controls directly or indirectly (within the meaning of regulation 7), or is working as a director (whether executive or non-executive), trustee, or other manager or equivalent of, a person, other than an individual, which falls within sub-paragraphs (a) to (g);
(i) the person holds the right, directly or indirectly, to nominate at least one director (whether executive or non-executive), trustee or equivalent of a person, other than an individual, which falls within sub-paragraphs (a) to (g).
(4) For the purposes of this regulation, being “ involved in obtaining a benefit from or supporting the Government of Russia ” means—
(a) carrying on business as a Government of Russia-affiliated entity;
(b) carrying on business of economic significance to the Government of Russia;
(c) carrying on business in a sector of strategic significance to the Government of Russia;
(d) owning or controlling directly or indirectly (within the meaning of regulation 7), or working as a director (whether executive or non-executive), trustee, or other manager or equivalent, of—
(i) a Government of Russia-affiliated entity;
(ii) a person, other than an individual, which falls within sub-paragraph (b) or (c) ;
(e) holding the right, directly or indirectly, to nominate at least one director (whether executive or non-executive), trustee or equivalent of—
(i) a Government of Russia-affiliated entity, or
(ii) a person, other than an individual, which falls within sub-paragraph (b) or (c);
(f) providing financial services, or making available funds, economic resources, goods or technology, to a person who falls within sub-paragraphs (a) to (e).
(4A) For the purposes of this regulation, a person is involved in “destabilising Ukraine or undermining or threatening the territorial integrity, sovereignty or independence of Ukraine” or “obtaining a benefit from or supporting the Government of Russia” if they work for, or are affiliated to, the Government of Russia, as—
(a) an aide or adviser to the President of the Russian Federation,
(b) a head or deputy-head of any public body, federal agency or service subordinate to the President of the Russian Federation, including the Administration of the President of the Russian Federation,
(c) a member of the Security Council of the Russian Federation, its Secretary or any of its Deputy Secretaries,
(d) the Chairman of the Government of the Russian Federation or any deputy of the Chairman,
(e) a Minister or Deputy Minister of any Ministry of the Russian Federation,
(f) a Governor or member of the Board of Directors of the Central Bank of the Russian Federation,
(g) a Presidential Plenipotentiary Envoy to a Federal District, or a regional Governor or Deputy Governor or equivalent,
(h) a head or deputy head of any other public body or agency of the Government of the Russian Federation,
(i) a member of the armed forces or law-enforcement organs of the Russian Federation of the rank of colonel, or equivalent, or higher,
(j) a member of the Russian security and intelligence services of the rank of colonel, or equivalent, or higher,
(k) a vice president, or equivalent position or higher, of a Government of Russia-affiliated entity, ...
(l) a director or manager, or equivalent position or higher, of a Government of Russia-affiliated entity, or
(m) a person providing financial services, or making available funds, economic resources, goods or technology, to a person who falls within sub-paragraphs (a) to (l).
(5) In paragraph (3)(f), a person (“ P ”) is a “relevant person” if—
(a) P is not an individual, and
(b) the ownership or control of P has been transferred contrary to the law of Ukraine;
(6) In paragraph (2)(d), being “associated with” a person includes—
(a) obtaining a financial benefit or other material benefit from that person;
(b) being an immediate family member of that person.
(7) In this regulation—
“ Government of Russia ” means—
the Presidency of the Russian Federation;
public bodies and agencies subordinate to the President of the Russian Federation, including the Administration of the President of the Russian Federation;
the Chairman of the Government of the Russian Federation and the deputies of the Chairman of the Government;
any Ministry of the Russian Federation;
any other public body or agency of the Government of the Russian Federation, including the armed forces and law-enforcement organs of the Russian Federation;
the Central Bank of the Russian Federation;
“ Government of Russia-affiliated entity ” means a person, other than an individual—
which is owned or controlled directly or indirectly by the Government of Russia (within the meaning of regulation 7),
in which the Government of Russia holds directly or indirectly a minority interest,
which receives, or has received, financing, directly or indirectly, from the Russian Direct Investment Fund or the National Wealth Fund, or
which otherwise obtains a financial benefit or other material benefit from the Government of Russia;
“ immediate family member ” means—
a wife or husband;
a civil partner;
a parent or step-parent;
a child or step-child;
a sibling or step-sibling;
a niece or nephew;
an aunt or uncle;
a grandparent;
a grandchild.
“ minority interest ” means any shareholding, voting right or right to appoint or remove members of the board of directors which does not meet the condition set out in regulation 7(2);
“ relevant provision ” means—
any provision of Part 3 (Finance) or Part 5 (Trade);
any provision of the law of a country other than the United Kingdom made for purposes corresponding to a purpose of any provision of Part 3 or Part 5;
“ sector of strategic significance to the Government of Russia ” means—
the Russian chemicals sector;
the Russian construction sector;
the Russian defence sector;
the Russian electronics sector;
the Russian energy sector;
the Russian extractives sector;
the Russian financial services sector.
the Russian information, communications and digital technologies sector;
the Russian transport sector.
(8) Nothing in any sub-paragraph of paragraph (3) or (4) is to be taken to limit the meaning of any of the other sub-paragraphs of that paragraph.
(1) The Secretary of State may choose whether persons mentioned in regulation 5(1A) (power to designate persons by description) are designated persons under—
(a) the standard procedure, or
(b) the urgent procedure.
(2) Paragraph (3) applies where the Secretary of State chooses that persons mentioned in regulation 5(1A) are designated persons under the standard procedure.
(3) The Secretary of State may not provide that persons of a specified description are designated persons under regulation 5(1A) except where conditions A and C are met.
(4) Paragraphs (5) to (7) apply where the Secretary of State chooses that persons mentioned in regulation 5(1A) are designated persons under the urgent procedure.
(5) The Secretary of State may provide that persons of a specified description are designated persons where condition C is not met, but conditions A, D and E are met.
(6) The persons of the specified description cease to be designated persons at the end of the period of 56 days beginning with the day following the day on which the persons became designated persons unless, within that period, the Secretary of State certifies that—
(a) conditions A and C are met, or
(b) conditions A, D and E continue to be met.
(7) Where the Secretary of State makes a certification under paragraph (6)(b), the designation ceases to have effect at the end of the period of 56 days beginning with the day immediately following the period mentioned in paragraph (6), unless within that period the Secretary of State certifies that conditions A and C are met.
(8) Condition A is that the description of persons specified is such that a reasonable person would know whether that person fell within it.
(9) Condition C is that the Secretary of State has reasonable grounds to suspect—
(a) in a case where the specified description is members of a particular organisation, that the organisation is an involved person, or
(b) in the case of any other specified description, that any person falling within that description would necessarily be an involved person.
(10) Condition D is that the description of persons specified is of persons (or some persons) to which, or in relation to which, relevant provision (whenever made) applies under the law of—
(a) the United States of America;
(b) the European Union;
(c) Australia;
(d) Canada.
(11) Condition E is that the Secretary of State considers that it is in the public interest to provide that persons of a specified description are designated persons under the urgent procedure.
(12) For the purposes of Condition D, “relevant provision” is provision that the Secretary of State considers—
(a) corresponds, or is similar, to the type of sanction or sanctions in these Regulations, or
(b) is made for purposes corresponding, or similar, to any purpose of any type of sanction or sanctions in these Regulations.
(13) In this regulation—
“ involved person ” has the meaning given in regulation 6 (designation criteria: meaning of “involved person”) ;
“ organisation ” includes any body, association or combination of persons.
(1) A person who is not an individual (“C”) is “owned or controlled directly or indirectly” by another person (“P”) if either of the following two conditions is met (or both are met).
(2) The first condition is that P—
(a) holds directly or indirectly more than 50% of the shares in C,
(b) holds directly or indirectly more than 50% of the voting rights in C, or
(c) holds the right directly or indirectly to appoint or remove a majority of the board of directors of C.
(3) Schedule 1 contains provision applying for the purpose of interpreting paragraph (2).
(4) The second condition is that it is reasonable, having regard to all the circumstances, to expect that P would (if P chose to) be able, in most cases or in significant respects, by whatever means and whether directly or indirectly, to achieve the result that affairs of C are conducted in accordance with P's wishes.
(1) Paragraph (2) applies where the Secretary of State—
(a) has made a designation under regulation 5(1) , or
(b) has by virtue of section 22 of the Act varied or revoked a designation made under that paragraph of that regulation .
(2) The Secretary of State—
(a) must without delay take such steps as are reasonably practicable to inform the designated person of the designation, variation or revocation, and
(b) must take steps to publicise the designation, variation or revocation.
(3) The information given under paragraph (2)(a)—
(a) where the Secretary of State designates a person under the standard procedure, must include a statement of reasons;
(b) where the Secretary of State designates a person under the urgent procedure, must include a statement—
(i) that the designation is made under the urgent procedure,
(ii) identifying the relevant provision by reference to which the Secretary of State considers that condition B is met in relation to the person, and
(iii) setting out why the Secretary of State considers that condition C is met.
(3A) Where the Secretary of State designates a person under the urgent procedure, the Secretary of State must, after the end of the period mentioned in paragraph (7) of regulation 5A (conditions for the designation of persons by name) or, if the Secretary of State has made a certification under paragraph (7)(b) of that regulation, the period mentioned in paragraph (8) of that regulation, but otherwise without delay—
(a) in a case where the person ceases to be a designated person, take such steps as are reasonably practicable to inform the person that they have ceased to be a designated person, or
(b) in any other case, take such steps as are reasonably practicable to give the person a statement of reasons.
(4) In this regulation, a “ statement of reasons ” means a brief statement of the matters that the Secretary of State knows, or has reasonable grounds to suspect, in relation to the person—
(a) in the case of a designation under the standard procedure, which have led the Secretary of State to make the designation, and
(b) in the case of a designation under the urgent procedure, as a result of which the person does not cease to be a designated person at the end of the period mentioned in regulation 5A(7) or (8) (as the case may be).
(5) Matters that would otherwise be required by paragraph (4) to be included in a statement of reasons may be excluded from it where the Secretary of State considers that they should be excluded—
(a) in the interests of national security or international relations,
(b) for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or
(c) in the interests of justice.
(6) The steps taken under paragraph (2)(b) must—
(a) unless one or more of the restricted publicity conditions is met, be steps to publicise generally—
(i) the designation, variation or revocation, and
(ii) in the case of a designation, the statement of reasons;
(b) if one or more of those conditions is met, be steps to inform only such persons as the Secretary of State considers appropriate of the designation, variation or revocation and (in the case of a designation) of the contents of the statement of reasons.
(7) The “restricted publicity conditions” are as follows—
(a) the designation is of a person believed by the Secretary of State to be an individual under the age of 18;
(b) the Secretary of State considers that disclosure of the designation, variation or revocation should be restricted—
(i) in the interests of national security or international relations,
(ii) for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or
(iii) in the interests of justice.
(8) Paragraph (9) applies if—
(a) when a designation is made one or more of the restricted publicity conditions is met, but
(b) at any time when the designation has effect, it becomes the case that none of the restricted publicity conditions is met.
(9) The Secretary of State must—
(a) take such steps as are reasonably practicable to inform the designated person that none of the restricted publicity conditions is now met, and
(b) take steps to publicise generally the designation and the statement of reasons relating to it.
(1) Where the Secretary of State in accordance with regulation 8(6)(b) informs only certain persons of a designation, variation or revocation and (in the case of a designation) of the contents of the statement of reasons, the Secretary of State may specify that any of that information is to be treated as confidential.
(2) A person (“P”) who—
(a) is provided with information that is to be treated as confidential in accordance with paragraph (1), or
(b) otherwise obtains such information,
must not, subject to paragraph (3), disclose it if P knows, or has reasonable cause to suspect, that the information is to be treated as confidential.
(3) The prohibition in paragraph (2) does not apply to any disclosure made by P with lawful authority.
(4) For this purpose information is disclosed with lawful authority only if and to the extent that—
(a) the disclosure is by, or is authorised by, the Secretary of State,
(b) the disclosure is by or with the consent of the person who is or was the subject of the designation,
(c) the disclosure is necessary to give effect to a requirement imposed under or by virtue of these Regulations or any other enactment, or
(d) the disclosure is required, under rules of court, tribunal rules or a court or tribunal order, for the purposes of legal proceedings of any description.
(5) This regulation does not prevent the disclosure of information that is already, or has previously been, available to the public from other sources.
(6) A person who contravenes the prohibition in paragraph (2) commits an offence.
(7) The High Court (in Scotland, the Court of Session) may, on the application of—
(a) the person who is the subject of the information, or
(b) the Secretary of State,
grant an injunction (in Scotland, an interdict) to prevent a breach of the prohibition in paragraph (2).
(8) In paragraph (4)(c), “ enactment ” has the meaning given by section 54(6) of the Act.
(1) Paragraph (2) applies where the Secretary of State—
(a) has provided that persons of a specified description are designated persons under regulation 5(1A) (power to designate persons by description), or
(b) has by virtue of section 22 of the Act varied or revoked a designation made under that paragraph of that regulation.
(2) The Secretary of State—
(a) must without delay take such steps as are reasonably practicable to inform persons of the specified description of the designation, variation or revocation, and
(b) must take steps to publicise the designation, variation or revocation.
(3) The information given under paragraph (2)(a)—
(a) where the Secretary of State provides that persons of a specified description are designated persons under the standard procedure, must include a statement of reasons, or
(b) where the Secretary of State provides that persons of a specified description are designated persons under the urgent procedure, must include a statement—
(i) that the provision is made under the urgent procedure,
(ii) identifying the relevant provision by reference to which the Secretary of State considers that condition D is met in relation to persons of the specified description, and
(iii) setting out why the Secretary of State considers that condition E is met.
(4) Where the Secretary of State provides that persons of a specified description are designated persons under the urgent procedure, the Secretary of State must, after the end of the period mentioned in paragraph (6) of regulation 6A (conditions for the designation of persons by description), or if the Secretary of State has made a certification under paragraph (6)(b) of that regulation the period mentioned in paragraph (7) of that regulation, but otherwise without delay—
(a) in a case where the persons cease to be designated persons, take such steps as are reasonably practicable to inform persons of the specified description that they have ceased to be designated persons, or
(b) in any other case, take such steps as are reasonably practicable to give each person of the specified description a statement of reasons.
(5) In this regulation, a “ statement of reasons ”, in relation to a provision designating persons of a specified description, means a brief statement of the matters that the Secretary of State knows, or has reasonable cause to suspect, in relation to persons of the specified description—
(a) in the case of a designation under the standard procedure, which have led the Secretary of State to make the provision designating persons of that description, and
(b) in the case of a designation under the urgent procedure, as a result of which the persons do not cease to be designated persons at the end of the period mentioned in regulation 6A(6)(b) or (7) (as the case may be).
(6) Matters that would otherwise be required by paragraph (5) to be included in a statement of reasons may be excluded from it where the Secretary of State considers that they should be excluded—
(a) in the interests of national security or international relations,
(b) for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or
(c) in the interests of justice.
(7) The steps taken under paragraph (2)(b) must—
(a) unless one or more of the restricted publicity conditions is met, be steps to publicise generally—
(i) the designation, variation or revocation, and
(ii) in the case of—
(aa) a designation under the standard procedure, the statement of reasons relating to it, or
(bb) a designation under the urgent procedure, the contents of the statement required under paragraph (3)(b) relating to it;
(b) if one or more of those conditions is met, be steps to inform only such persons as the Secretary of State considers appropriate of the designation, variation or revocation and—
(i) in the case of a designation under the standard procedure, of the contents of the statement of reasons relating to it, or
(ii) in the case of a designation under the urgent procedure, of the contents of the statement required under paragraph (3)(b) relating to it.
(8) The “restricted publicity conditions” are that the Secretary of State considers that disclosure of the designation, variation 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.
(9) Paragraph (10) applies if—
(a) when a designation is made one or more of the restricted publicity conditions is met, but
(b) at any time when the designation has effect, it becomes the case that none of the restricted publicity conditions is met.
(10) The Secretary of State must—
(a) take such steps as are reasonably practicable to inform persons of the specified description that none of the restricted publicity conditions is now met, and
(b) take steps to publicise generally the designation and—
(i) in the case of a designation under the standard procedure, the statement of reasons relating to it, or
(ii) in the case of a designation under the urgent procedure, the statement required under paragraph (3)(b) relating to it.
(1) Where the Secretary of State in accordance with regulation 9A(7)(b) informs only certain persons of a designation, variation or revocation and—
(a) in the case of a designation under the standard procedure, of the content of the statement of reasons relating to it, or
(b) in the case of a designation under the urgent procedure, of the content of the statement required under regulation 9A(3)(b) relating to it,
the Secretary of State may specify that any of that information is to be treated as confidential.
(2) A person (“ P ”) who—
(a) is provided with information that is to be treated as confidential in accordance with paragraph (1), or
(b) otherwise obtains such information,
must not, subject to paragraph (3), disclose it if P knows, or has reasonable cause to suspect, that the information is to be treated as confidential.
(3) The prohibition in paragraph (2) does not apply to any disclosure made by P with lawful authority.
(4) For this purpose information is disclosed with lawful authority only if and to the extent that—
(a) the disclosure is by, or is authorised by, the Secretary of State,
(b) the disclosure is by or with the consent of the person who is or was the subject of the designation,
(c) the disclosure is necessary to give effect to a requirement imposed under or by virtue of these Regulations or any other enactment, or
(d) the disclosure is required under rules of court, tribunal rules or a court or tribunal order, for the purposes of legal proceedings of any description.
(5) This regulation does not prevent the disclosure of information that is already, or has previously been, available to the public from other sources.
(6) A person who contravenes the prohibition in paragraph (2) commits an offence.
(7) The High Court (in Scotland, the Court of Session) may, on the application of—
(a) the person who is the subject of the information, or
(b) the Secretary of State,
grant an injunction (in Scotland, an interdict) to prevent a breach of the prohibition in paragraph (2).
(8) In paragraph (4)(c), “ enactment ” has the meaning given by section 54(6) of the Act.
In this Chapter a “ designated person ” means a person who is designated under regulation 5 for the purposes of regulations 11 to 15.
(1) A person (“P”) must not deal with funds or economic resources owned, held or controlled by a designated person if P knows, or has reasonable cause to suspect, that P is dealing with such funds or economic resources.
(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).
(3) A person who contravenes the prohibition in paragraph (1) commits an offence.
(4) For the purposes of paragraph (1) a person “deals with” funds if the person—
(a) uses, alters, moves, transfers or allows access to the funds,
(b) deals with the funds in any other way that would result in any change in volume, amount, location, ownership, possession, character or destination, or
(c) makes any other change, including portfolio management, that would enable use of the funds.
(5) For the purposes of paragraph (1) a person “deals with” economic resources if the person—
(a) exchanges the economic resources for funds, goods or services, or
(b) uses the economic resources in exchange for funds, goods or services (whether by pledging them as security or otherwise).
(6) The reference in paragraph (1) to funds or economic resources that are “owned, held or controlled” by a person includes, in particular, a reference to—
(a) funds or economic resources in which the person has any legal or equitable interest, regardless of whether the interest is held jointly with any other person and regardless of whether any other person holds an interest in the funds or economic resources;
(b) any tangible property (other than real property), or bearer security, that is comprised in funds or economic resources and is in the possession of the person.
(7) For the purposes of paragraph (1) funds or economic resources are to be treated as owned, held or controlled by a designated person if they are owned, held or controlled by a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.
(8) For the avoidance of doubt, the reference in paragraph (1) to a designated person includes P if P is a designated person.
(1) A person (“P”) must not make funds available directly or indirectly to a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).
(3) A person who contravenes the prohibition in paragraph (1) commits an offence.
(4) The reference in paragraph (1) to making funds available indirectly to a designated person includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.
(1) A person (“P”) must not make funds available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).
(3) A person who contravenes the prohibition in paragraph (1) commits an offence.
(3A) The reference in paragraph (1) to making funds available to any person for the benefit of a designated person includes making funds available for the benefit of a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (and references to designated person in paragraph (4) are to be read accordingly).
(4) For the purposes of this regulation—
(a) funds are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and
(b) “ financial benefit ” includes the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.
(1) A person (“P”) must not make economic resources available directly or indirectly to a designated person if P knows, or has reasonable cause to suspect—
(a) that P is making the economic resources so available, and
(b) that the designated person would be likely to exchange the economic resources for, or use them in exchange for, funds, goods or services.
(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).
(3) A person who contravenes the prohibition in paragraph (1) commits an offence.
(4) The reference in paragraph (1) to making economic resources available indirectly to a designated person includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.
(1) A person (“P”) must not make economic resources available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the economic resources so available.
(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).
(3) A person who contravenes the prohibition in paragraph (1) commits an offence.
(3A) The reference in paragraph (1) to making economic resources available to any person for the benefit of a designated person includes making economic resources available for the benefit of a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (and references to designated person in paragraph (4) are to be read accordingly).
(4) For the purposes of paragraph (1)—
(a) economic resources are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and
(b) “ financial benefit ” includes the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.
(1) A person (“P”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (2) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.
(2) A transferable security or money-market instrument falls within this paragraph if it has a maturity exceeding 30 days and is issued after 1 August 2014 by—
(a) a person mentioned in any of paragraphs 1 to 5 of Schedule 2;
(b) a person, other than an individual, which is—
(i) incorporated or constituted under the law of a non-UK country, and
(ii) owned by a person within sub-paragraph (a); or
(c) a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (a) or sub-paragraph (b).
(3) A person (“P”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (4) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.
(4) A transferable security or money-market instrument falls within this paragraph if it has a maturity exceeding 30 days and is issued after 12 September 2014 by—
(a) a person mentioned in any of paragraphs 6 to 11 of Schedule 2;
(b) a person, other than an individual, which is—
(i) incorporated or constituted under the law of a non-UK country, and
(ii) owned by a person within sub-paragraph (a); or
(c) a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (a) or sub-paragraph (b).
(4A) A person (“ P ”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (4B) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.
(4B) A transferable security or money-market instrument falls within this paragraph if it has a maturity exceeding 30 days and is issued on or after 1st March 2022 by—
(a) a person, other than an individual, which is—
(i) incorporated or constituted under the law of any part of the United Kingdom, and
(ii) owned by a person falling within Schedule 2; or
(b) a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (a).
(4C) A person (“ P ”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (4D) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.
(4D) A transferable security or money-market instrument falls within this paragraph if it is issued on or after 1st March 2022 by—
(a) a person connected with Russia, which is not—
(i) a person falling within Schedule 2,
(ii) a person, other than an individual, which on 1st March 2022 is domiciled in a country other than Russia, or
(iii) a person, other than an individual, which on 1st March 2022 is a branch or subsidiary, wherever located, of a person mentioned in paragraph (ii);
(b) a person, other than an individual, which is owned by a person falling within sub-paragraph (a); or
(c) a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (a) or sub-paragraph (b).
(4E) A person (“ P ”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (4F) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.
(4F) A transferable security or money-market instrument falls within this paragraph if it is issued on or after 1st March 2022 by, or on behalf of, the Government of Russia.
(4G) A person (“ P ”) must not, directly or indirectly, deal with a transferable security or money-market instrument falling within paragraph (4H) if P knows, or has reasonable cause to suspect, that P is dealing with such a transferable security or money-market instrument.
(4H) A transferable security or money-market instrument falls within this paragraph if it is issued—
(a) on or after 16th December 2022,
(b) by a person, other than an individual, which is not a person connected with Russia, and
(c) for the purposes of an activity mentioned in regulation 18B(2).
(5) Paragraphs (1), (3), (4A), (4C) , (4E) and (4G) are subject to Part 7 (Exceptions and licences).
(6) A person who contravenes a prohibition in paragraph (1), (3), (4A), (4C) , (4E) or (4G) commits an offence.
(7) For the purposes of this regulation, and regulations 17 (loans and credit arrangements) , 59 (exceptions relating to loans and credit arrangements) and 60ZZA (exceptions relating to investments in relation to Russia) , a person (“C”) is “owned” by another person (“P”) if P—
(a) holds directly or indirectly more than 50% of the shares in C, or
(b) holds directly or indirectly more than 50% of the voting rights in C.
(8) Schedule 1 applies for the purpose of interpreting paragraph (7).
(9) For the purposes of this regulation, a reference to “dealing with” a transferable security or money-market instrument includes a reference to purchasing or selling the security or instrument, providing investment services relating to the security or instrument or assisting in the issuance of the security or instrument.
(10) In this regulation—
“ investment services ” means—
the reception and transmission of orders in relation to one or more financial instruments,
the execution of orders on behalf of clients,
dealing on own account,
portfolio management,
the provision of investment advice,
the underwriting of financial instruments or placing of financial instruments on a firm commitment basis,
the placing of financial instruments without a firm commitment basis, or
any service in relation to the admission to trading on a regulated market or trading on a multilateral trading facility;
“ money-market instrument ” means an instrument of a kind normally dealt in on the money market, such as treasury bills, certificates of deposit and commercial papers, excluding instruments of payment;
“ non-UK country ” means a country that is not the United Kingdom;
“ transferable security ” means a security, negotiable on the capital market, of any of the following kinds, but excluding instruments of payment—
shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares;
bonds or other forms of securitised debt, including depositary receipts in respect of such securities;
any other securities giving the right to purchase or sell any security of a kind mentioned in paragraph (a) or (b).
(1) A person (“P”) must not directly or indirectly grant a relevant loan if P knows, or has reasonable cause to suspect, that P is granting a relevant loan.
(2) A person must not directly or indirectly enter into any arrangement to grant a relevant loan if the person knows, or has reasonable cause to suspect, that the arrangement relates to a relevant loan.
(2A) A person must not make funds or economic resources available to a relevant entity (“ E ”) where the purposes of making those funds or economic resources available is to enable E to grant a relevant loan on or after 16th December 2022.
(3) Paragraphs (1) , (2) and (2A) are subject to Part 7 (Exceptions and licences) .
(4) A person who contravenes a prohibition in paragraph (1) , (2) or (2A) commits an offence.
(5) In this regulation—
...
“ category 1 loan ” means a loan or credit—
with a maturity exceeding 30 days,
made or granted to—
a person falling within Schedule 2,
a person, other than an individual, which is—
incorporated or constituted under the law of a non-UK country, and
owned ... by a person within paragraph (i), or
a person, other than an individual, acting on behalf or at the direction of a person within paragraph (i) or paragraph (ii), and
which is first made or granted at any time after IP completion day;
“ category 2 loan ” means a loan or credit—
with a maturity exceeding 30 days,
made or granted to a person, other than an individual, which is—
incorporated or constituted under the law of any part of the United Kingdom, and
owned ... by a person falling within Schedule 2, and
which is first made or granted at any time on or after 1st March 2022;
“ category 3 loan ” means a loan or credit—
with a maturity exceeding 30 days,
made or granted to a person, other than an individual, which is—
connected with Russia,
owned ... by a person within sub-paragraph (i), or
a person, other than an individual, acting on behalf or at the direction of a person within paragraph (i) or paragraph (ii),
which is first made or granted at any time on or after 1st March 2022 but before 29th October 2022 , and,
which is not—
a category 1 loan, a category 2 loan or a category 4 loan, or
a loan made or granted to—
a person, other than an individual, which on 1st March 2022 is domiciled in a country other than Russia,
a person, other than an individual, which is owned by a person falling within sub-paragraph (aa), or
a person, other than an individual, acting on behalf or at the direction of a person within sub-paragraph (aa) or sub-paragraph (bb);
“ category 4 loan ” means a loan or credit—
made or granted to the Government of Russia,
which is first made or granted at any time on or after 1st March 2022;
“ category 5 loan ” means a loan or credit—
with a maturity exceeding 30 days,
made or granted to a person, other than an individual—
which is connected with Russia, other than—
a person which on 29th October 2022 is incorporated or constituted in a country other than Russia, or
a person which is owned by a person falling within paragraph (aa),
a person which is owned by a person within sub-paragraph (i), or
a person which is owned by a person connected with Russia who is an individual,
which is first made or granted at any time on or after 29th October 2022 , and
which is not a category 1 loan, a category 2 loan, a category 3 loan or a category 4 loan.
“ category 6 loan ” means a loan or credit—
made or granted to a relevant entity,
which is for the purposes of an activity mentioned in regulation 18B(2),
which is first made or granted at any time on or after 16th December 2022, and
which is not a category 1 loan, a category 2 loan, a category 3 loan, a category 4 loan or a category 5 loan;
“ non-UK country ” means a country that is not the United Kingdom;
“ owned ” means owned within the meaning of regulation 16(7);
“ relevant entity ” has the meaning given in regulation 18B(8);
“ relevant loan ” means a category 1 loan, a category 2 loan, a category 3 loan , a category 4 loan , a category 5 loan or a category 6 loan ;
...
(1) A UK credit or financial institution (“ C ”) (“the correspondent”) must not establish or continue a correspondent banking relationship with the following (“ the respondent ”)—
(a) a designated person (“ D ”),
(b) a UK credit or financial institution, which is owned or controlled directly or indirectly (within the meaning of regulation 7) by D, or
(c) a non-UK credit or financial institution, which is owned or controlled directly or indirectly (within the meaning of regulation 7) by D,
if C knows, or has reasonable cause to suspect, that the correspondent banking relationship is with a designated person.
(2) C must not process a ... payment to, from or via –
(a) D,
(b) a UK credit or financial institution, which is owned or controlled directly or indirectly (within the meaning of regulation 7) by D, or
(c) a non-UK credit or financial institution, which is owned or controlled directly or indirectly (within the meaning of regulation 7) by D,
if C knows, or has reasonable cause to suspect, that the ... payment is to, from or via such a person.
(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).
(4) A person who contravenes a prohibition in paragraph (1) or (2) commits an offence.
(5) For the purposes of this regulation, a reference to “processing” a payment—
(a) includes the clearing and settlement of a payment; but
(b) does not include the act of crediting a payment, for the first time, to C where that payment is credited to an account which is—
(i) in the name of C; and
(ii) not held on behalf of, or for the benefit of, a customer of C.
(6) In this regulation—
“ correspondent banking relationship ” means the provision of banking services by a correspondent to a respondent including providing a current or other liability account and related services, such as cash management, international funds transfers, cheque clearing, providing customers of the respondent with direct access to accounts with the correspondent (and vice versa) and providing foreign exchange services;
“ designated person ” means a person who is designated under regulation 5 (power to designate persons) for the purposes of this regulation;
“ non-UK credit or financial institution ” means—
a person, other than an individual, which would satisfy the threshold conditions for permission under Part 4A of the Financial Services and Markets Act 2000 if it had its registered office (or if it does not have one, its head office) in the United Kingdom, or
an undertaking, other than a UK credit or financial institution, which by way of business—
operates a currency exchange office,
transmits money (or any representation of monetary value) by any means, or
cashes cheques that are made payable to customers;
“ UK credit or financial institution ” means—
a person that has permission under Part 4A of the Financial Services and Markets Act 2000 (permission to carry on regulated activities), or
an undertaking domiciled in the United Kingdom which by way of business—
operates a currency exchange office,
transmits money (or any representation of monetary value) by any means, or
cashes cheques that are made payable to customers.
(1) A person (“P”) must not carry on an activity mentioned in paragraph (2) if P knows, or has reasonable cause to suspect, that P is carrying on such an activity.
(2) The activities in this paragraph are—
(a) directly or indirectly acquiring or extending a participation, or acquiring any ownership interest, in land located in non-government controlled Ukrainian territory ;
(b) directly or indirectly acquiring or extending a participation, or acquiring any ownership interest in or control over, a relevant entity;
(c) directly or indirectly granting any loan or credit, entering into any arrangement to grant any loan or credit, or otherwise providing funds, including for example equity capital—
(i) to a relevant entity, or
(ii) for the documented purpose of financing any such entity;
(d) directly or indirectly establishing any joint venture—
(i) in non-government controlled Ukrainian territory , or
(ii) with a relevant entity;
(e) providing investment services directly related to an activity referred to in sub-paragraphs (a) to (d) above.
(3) Paragraph (1) is subject to Part 7 (Exceptions and licences) .
(4) A person who contravenes a prohibition in paragraph (1) commits an offence.
(5) In this regulation—
“ investment services ” has the same meaning as it has in regulation 16;
“ relevant entity ” means a person, other than an individual, which has a place of business located in non-government controlled Ukrainian territory .
(1) A person (“ P ”) must not provide financial services to a person mentioned in paragraph (2) where—
(a) the financial services are for the purpose of foreign exchange reserve and asset management; and
(b) P knows, or has reasonable cause to suspect, that the financial services are provided to such a person.
(2) The persons mentioned in this paragraph are—
(a) the Central Bank of the Russian Federation,
(b) the National Wealth Fund of the Russian Federation,
(c) the Ministry of Finance of the Russian Federation,
(d) a person owned or controlled directly or indirectly (within the meaning of regulation 7) by a person mentioned in sub-paragraphs (a) to (c), or
(e) a person acting on behalf of or at the direction of a person mentioned in sub-paragraphs (a) to (c).
(3) Paragraph (1) is subject to Part 7 (Exceptions and licences).
(4) A person who contravenes the prohibition in paragraph (1) commits an offence.
(1) A person (“ P ”) must not carry on an activity mentioned in paragraph (2) if P knows, or has reasonable cause to suspect, that P is carrying on such an activity.
(2) The activities in this paragraph are—
(a) directly acquiring any ownership interest in land located in Russia;
(b) indirectly acquiring any ownership interest in land located in Russia for the purpose mentioned in paragraph (3);
(c) directly acquiring any ownership interest in or control over a person, other than an individual, connected with Russia;
(d) indirectly acquiring any ownership interest in or control over a person, other than an individual, connected with Russia for the purpose mentioned in paragraph (3);
(e) directly or indirectly acquiring any ownership interest in or control over a relevant entity for the purpose mentioned in paragraph (3);
(f) directly or indirectly establishing any joint venture with a person connected with Russia;
(g) opening a representative office or establishing a branch or subsidiary located in Russia; or
(h) providing investment services directly related to an activity referred to in sub-paragraphs (a) to (g).
(3) The purpose mentioned in paragraph 2(b), (d) and (e) above is making funds or economic resources available—
(a) directly or indirectly to a person connected with Russia; or
(b) for the benefit of a person connected with Russia.
(4) For the purposes of paragraph (3)—
(a) economic resources are made available to a person connected with Russia only if that person would be likely to exchange the economic resources for, or use them in exchange for, funds, goods or services;
(b) making funds or economic resources indirectly available to a person connected with Russia includes, in particular, a reference to making them available to a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by a person connected with Russia; and
(c) funds or economic resources are made available for the benefit of a person connected with Russia only if that person thereby obtains, or is able to obtain, a significant financial benefit, and “ financial benefit ” includes the discharge (or partial discharge) of a financial obligation for which the person connected with Russia is wholly or partly responsible.
(5) Paragraph (1) is subject to Part 7 (Exceptions and licences).
(6) A person who contravenes a prohibition in paragraph (1) commits an offence.
(7) In this regulation, the reference to a person (“ P ”) directly or indirectly acquiring any ownership interest in or control over a person or entity means—
(a) P directly or indirectly acquiring any share in the person or entity;
(b) P directly or indirectly acquiring any voting rights in the person or entity;
(c) P directly or indirectly acquiring any right to appoint or remove a majority of the board of directors of the person or entity; or
(d) P directly or indirectly acquiring any means of ensuring that the affairs of the person or entity are conducted in accordance with the wishes of P where it is reasonable, having regard to all of the circumstances, to expect that P would (if P chose to) in most cases or significant respects, by whatever means, be able to do so.
(8) In this regulation—
“ branch ” means, in relation to a person other than an individual, a place of business which forms a legally dependent part of that person and which carries out all or some of the transactions inherent in the business of that person;
“ investment services ” has the same meaning as it has in regulation 16 (dealing with transferable securities or money-market instruments);
“ relevant entity ” means a person, other than an individual, which ... is not a person connected with Russia.
(1) A person must not provide trust services to or for the benefit of a designated person.
(2) A person (“ P ”) must not provide trust services to or for the benefit of a person connected with Russia (“ C ”) unless pursuant to an ongoing arrangement pursuant to which P provided those trust services to or for the benefit of C immediately before 16th December 2022.
(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).
(4) A person who contravenes a prohibition in paragraph (1) or (2) commits an offence.
(5) For the purposes of paragraphs (1) and (2), trust services are provided for the benefit of a person (“ B ”) where—
(a) B is a beneficiary of a trust or similar arrangement,
(b) B is referred to as a potential beneficiary in a document from the settlor relating to a trust or similar arrangement (such as a letter of wishes), or
(c) having regard to all the circumstances, B might reasonably be expected to obtain, or to be able to obtain, a significant financial benefit from the trust or similar arrangement.
(6) For the purpose of paragraph (5), “beneficiary”, “potential beneficiary” and “ settlor ”, in relation to an arrangement similar to a trust, means those persons who hold equivalent or similar positions to those described in sub-paragraphs (a) to (c) of that paragraph in respect of a trust.
(7) In this regulation—
“ designated person ” means a person who is designated under regulation 5 (power to designate persons) for the purposes of this regulation;
“ trust services ” means—
the creation of a trust or similar arrangement,
the provision of a registered office, business address, correspondence address or administrative address for a trust or similar arrangement,
the operation or management of a trust or similar arrangement, ...
acting or arranging for another person to act as trustee of a trust or similar arrangement, where “ trustee ”, in relation to an arrangement similar to a trust, means a person who holds an equivalent or similar position to a trustee of a trust , or
acting as a nominee shareholder.
(8) For the purposes of this regulation “ acting as a nominee shareholder ” means undertaking the following activities as the legal owner of the shares—
(a) exercising the voting rights of those shares in accordance with the wishes of the beneficial owner of those shares (“ O ”), or
(b) receiving dividends in respect of those shares held on behalf of O,
where the activities are undertaken in accordance with an arrangement with O that involves a trust or similar arrangement.
(1) A person must not intentionally participate in activities knowing that the object or effect of them is (whether directly or indirectly)—
(a) to circumvent any of the prohibitions in regulations 11 to 18C , or
(b) to enable or facilitate the contravention of any such prohibition.
(2) A person who contravenes the prohibition in paragraph (1) commits an offence.
(1) In this Part—
“ branch ” means, in relation to a credit or financial institution, a place of business which forms a legally dependent part of that institution and which carries out all or some of the transactions inherent in the business of that institution;
“ credit or financial institution ” means a “UK credit or financial institution” or a “non-UK credit or financial institution;
“ foreign exchange reserve and asset management ” means activities relating to the reserves or assets of the persons mentioned in paragraph (2) of regulation 18A, such reserves or assets to include the following—
money market instruments (including cheques, bills and certificates of deposit);
foreign exchange;
derivative products (including futures and options);
exchange rate and interest rate instruments (including products such as swaps and forward rate agreements);
transferable securities;
other negotiable instruments and financial assets (including bullion);
special drawing rights.
“ Government of Russia ” has the same meaning as in regulation 6;
“ subsidiary ” has the meaning given by section 1159 of the Companies Act 2006;
(2) For the purposes of this Part, a person is to be regarded as “connected with” Russia if the person is—
(a) an individual who is, or an association or combination of individuals who are, ordinarily resident in Russia,
(b) an individual who is, or an association or combination of individuals who are, located in Russia,
(c) a person, other than an individual, which is incorporated or constituted under the law of Russia, or
(d) a person, other than an individual, which is domiciled in Russia.
(3) In this Part, the definitions of—
(a) “non-UK credit or financial institution”, and
(b) “UK credit or financial institution”,
have the meaning given in regulation 17A (corresponding banking relationships and processing payments) and 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.
A person who is designated under regulation 5 (power to designate persons) for the purposes of this regulation is a person subject to director disqualification sanctions for the purposes of—
(a) section 11A of the Company Directors Disqualification Act 1986, and
(b) Article 15A of the Company Directors Disqualification (Northern Ireland) Order 2002.
A person who is designated under regulation 5 for the purposes of this regulation is an excluded person for the purposes of section 8B of the Immigration Act 1971 .
(1) In this Part—
“ aviation and space goods ” means—
any thing specified in Schedule 2C, other than any thing which is aviation and space technology, and
any tangible storage medium on which aviation and space technology is recorded or from which it can be derived;
“ aviation and space technology ” means any thing described in Schedule 2C as software or technology;
“ brokering service ” means any service to secure, or otherwise in relation to, an arrangement, including (but not limited to)—
the selection or introduction of persons as parties or potential parties to the arrangement,
the negotiation of the arrangement,
the facilitation of anything that enables the arrangement to be entered into, and
the provision of any assistance that in any way promotes or facilitates the arrangement;
“ coal and coal products ” means any thing specified in Schedule 3H;
“ critical-industry goods ” means—
any thing specified in Schedule 2A, other than—
any thing which is critical-industry technology, or
any thing for the time being specified in—
Schedule 2 ... to the Export Control Order 2008, ...
Annex I of the Dual-Use Regulation, or
Part 3 of Schedule 3C, and
any tangible storage medium on which critical-industry technology is recorded or from which it can be derived;
“ critical-industry technology ” means any thing described in Schedule 2A as software or technology, other than any thing for the time being specified in—
Schedule 2 ... to the Export Control Order 2008, ...
Annex I of the Dual-Use Regulation; or
Part 3 of Schedule 3C,
“ defence and security goods ” means—
interception and monitoring goods,
internal repression goods, and
goods relating to chemical and biological weapons;
“ defence and security technology ” means—
interception and monitoring technology,
internal repression technology, and
technology relating to chemical and biological weapons;
“ 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;
“ the Dual-Use Regulation ” means Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items;
“ 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;
“ energy-related goods ” means any thing falling within Part 2 of Schedule 3;
“ energy-related technology ” means any thing described in Schedule 3 as technology other than any thing for the time being specified in—
Schedule 2 to the Export Control Order 2008;
Annex 1 of the Dual-Use Regulation,
(but see paragraph (4CA));
“ G7 dependency and further goods ” means any thing specified in Schedule 3E other than any thing for the time being specified in—
Schedule 2 ... to the Export Control Order 2008,
Annex 1 of the Dual-Use Regulation, or
Schedule 2A;
“ G7 dependency and further technology ” means any thing described in Schedule 3E as technology other than any thing for the time being specified in—
Schedule 2 to the Export Control Order 2008;
Annex 1 of the Dual-Use Regulation,
(but see paragraph (4CA));
“ gold ” means the gold and products related to gold specified in Part 2 of Schedule 3G;
“ gold jewellery ” means the gold products specified in Part 3 of Schedule 3G;
“ goods relating to chemical and biological weapons ” means—
any thing specified in Part 4 of Schedule 3C, other than technology relating to chemical and biological weapons (but see paragraph (4A)), and
any tangible storage medium on which technology relating to chemical and biological weapons is recorded or from which it can be derived ,
other than any thing for the time being specified in Schedule 2 to the Export Control Order 2008 or in Annex 1 of the Dual-Use Regulation;
“ infrastructure-related goods ” means any thing falling within Part 3 of Schedule 3;
“ interception and monitoring goods ” means any item mentioned in paragraph (a) or (b), provided that it may be used for interception and monitoring services—
a relevant Part 2 item,
any tangible storage medium on which interception and monitoring technology is recorded or from which it can be derived;
“ interception and monitoring technology ” means any thing—
which is described as software in paragraph 2 of Part 2 of Schedule 3C provided that it may be used for interception and monitoring services, and
which is described as other software or other technology in paragraph 3 of Part 2 of Schedule 3C (but see paragraph (4C));
“ internal repression goods ” means—
any thing specified in Part 3 of Schedule 3C, other than—
any thing which is internal repression technology,
any thing for the time being specified in Schedule 2 to the Export Control Order 2008, or
any thing for the time being specified in Annex Ⅰ of the Dual-Use Regulation, and
any tangible storage medium on which internal repression technology is recorded or from which it can be derived;
“ internal repression technology ” means any thing which is described in Part 3 of Schedule 3C as software or technology;
“ luxury goods ” means any thing specified in Schedule 3A, other than any thing for the time being specified in—
Schedule 2 to the Export Control Order 2008,
Annex 1 of the Dual-Use Regulation, or
Schedule 2A;
“maritime goods” and “maritime technology” mean respectively any goods and technology specified in Chapter 4 (Navigation Equipment) and Chapter 5 (Radio-Communication Equipment) of Annex 1 of the Merchant Shipping Notice 1874 but not including any thing in those Chapters for the time being specified in—
Schedule 2 to the Export Control Order 2008,
Annex I to the Dual Use Regulation, or
Schedule 2A;
“ medical device ” means—
a medical device within the meaning given in regulation 2 of the Medical Devices Regulations 2002 in so far as those Regulations apply to England, Wales and Scotland, and
a medical device within the meaning given in—
article 2 of Regulation (EU) 2017/745 of the European Parliament and of the Council of 5 April 2017 on medical devices, amending Directive 2001/83/EC , Regulation (EC) No 178/2002 and Regulation (EC) No 1223/2009 and repealing Council Directives 90/385/EEC and 93/42/EEC , and
article 2 of Regulation (EU) 2017/746 of the European Parliament and of the Council of 5 April 2017 on in vitro diagnostic medical devices and repealing Directive 98/79/EC and Commission Decision 2010/227/EU ,
in so far as those Regulations apply to Northern Ireland;
“ military goods ” means—
any thing for the time being specified in Schedule 2 to the Export Control Order 2008 , other than any thing which is military technology, and
any tangible storage medium on which military technology is recorded or from which it can be derived;
“ military technology ” means any thing for the time being specified in Schedule 2 to the Export Control Order 2008 which is described as software or technology;
“ oil and oil products ” means any thing specified in Schedule 3F;
“ oil refining goods ” means—
any thing specified in Schedule 2D, other than—
any thing which is oil refining technology, or
any thing for the time being specified in—
Schedule 2 to the Export Control Order 2008,
Annex 1 of the Dual-Use Regulation,
Schedule 2A, or
Part 2 of Schedule 3, and
any tangible storage medium on which oil refining technology is recorded or from which it can be derived;
“ oil refining technology ” means any thing described in Schedule 2D as software or technology, other than any thing for the time being specified in —
Schedule 2 to the Export Control Order 2008,
Annex 1 of the Dual-Use Regulation, or
Schedule 2A;
...
“ quantum computing and advanced materials goods ” means—
any thing specified in Schedule 2E, other than—
any thing which is quantum computing and advanced materials technology, or
any thing for the time being specified in—
Schedule 2 ... to the Export Control Order 2008,
Annex 1 of the Dual-Use Regulation,
Schedule 2A,
Schedule 2C,
Schedule 2D, or
Part 2 of Schedule 3, and
any tangible storage medium on which quantum computing and advanced materials technology is recorded or from which it can be derived;
“ quantum computing and advanced materials technology ” means any thing described in Schedule 2E as software or technology, other than anything for the time being specified in—
Schedule 2 ... to the Export Control Order 2008,
Annex 1 of the Dual-Use Regulation,
Schedule 2A,
Schedule 2C, or
Schedule 2D.
restricted goods” means—
critical-industry goods;
dual-use goods;
military goods;
aviation and space goods;
oil refining goods;
quantum computing and advanced materials goods;
defence and security goods;
maritime goods;
“ restricted technology ” means—
critical-industry technology;
dual-use technology;
military technology;
aviation and space technology;
oil refining technology;
quantum computing and advanced materials technology;
defence and security technology;
maritime technology;
“ Russia’s vulnerable goods ” means any thing specified in Schedule 3I other than any thing for the time being specified in—
Schedule 2 ... to the Export Control Order 2008,
Annex 1 of the Dual-Use Regulation, or
Schedule 2A;
“ Russia’s vulnerable technology ” means any thing described in Schedule 3I as technology other than any thing for the time being specified in—
Schedule 2 to the Export Control Order 2008;
Annex 1 of the Dual-Use Regulation,
(but see paragraph (4CA));
“ sectoral software and technology ” means any thing described in Schedule 3IA other than any thing for the time being specified in—
Schedule 2 to the Export Control Order 2008;
Annex 1 of the Dual-Use Regulation,
(but see paragraph (4CB));
“ technical assistance ”, in relation to goods or technology, means—
technical support relating to the repair, development, production, assembly, testing, use or maintenance of the goods or technology, or
any other technical service relating to the goods or technology;
...
“ technology relating to chemical and biological weapons ” means any thing specified as technology or software in Part 4 of Schedule 3C (except any thing for the time being specified in Schedule 2 to the Export Control Order 2008 or in Annex 1 of the Dual-Use Regulation) , other than technology which is—
the minimum necessary for—
the installation, operation, maintenance and repair of any goods which are not subject to a prohibition under this Part, or
patent applications,
in the public domain,
a medical device, or
used for basic scientific research;
“ transfer ” has the meaning given in paragraph 37 of Schedule 1 to the Act.
(2) For the purposes of this Part, a person is to be regarded as “connected with” Russia if the person is—
(a) an individual who is, or an association or combination of individuals who are, ordinarily resident in Russia,
(b) an individual who is, or an association or combination of individuals who are, located in Russia,
(c) a person, other than an individual, which is incorporated or constituted under the law of Russia, or
(d) a person, other than an individual, which is domiciled in Russia.
(3) For the purposes of this Part, a person is to be regarded as “connected with” non-government controlled Ukrainian territory if the person is—
(a) an individual who is, or an association or combination of individuals who are, ordinarily resident in non-government controlled Ukrainian territory ,
(b) an individual who is, or an association or combination of individuals who are, located in non-government controlled Ukrainian territory , or
(c) a person, other than an individual, which has its registered office, central administration or principal place of business located in non-government controlled Ukrainian territory .
(4) Paragraphs 32 to 36 of Schedule 1 to the Act (trade sanctions) apply for the purpose of interpreting expressions in this Part.
(4A) The definition of “goods relating to chemical and biological weapons” does not apply to anything specified in Part 4 of Schedule 3C—
(a) which is—
(i) a pharmaceutical formulation designed for human administration in the treatment of a medical condition; and
(ii) pre-packaged for distribution as a medicinal product; or
(b) which is a medical device.
(4B) For the purpose of the definition of “interception and monitoring goods” in paragraph (1) “ a relevant Part 2 item ” means any thing described in Part 2 of Schedule 3C, other than—
(a) any thing which is interception and monitoring technology, or
(b) any thing for the time being specified in—
(i) Schedule 2 to the Export Control Order 2008, or
(ii) Annex Ⅰ of the Dual-Use Regulation.
(4C) The definition of “interception and monitoring technology” does not apply to software which is—
(a) generally available to the public, or
(b) in the public domain.
(4CA) The definitions of “energy-related technology”, “G7 dependency and further technology” and “Russia’s vulnerable technology” do not apply to technology which is—
(a) in the public domain; or
(b) basic scientific research.
(4CB) The definition of “sectoral software and technology” in paragraph (1) does not apply to software or technology which is—
(a) in the public domain; or
(b) used for basic scientific research.
(4D) For the purposes of this Part, the following terms have the meaning given to them in the Dual-Use Regulation—
“basic scientific research”;
“in the public domain”.
(5) In this Part, any reference to the United Kingdom includes a reference to the territorial sea.
(1) For the purposes of this Part, “ interception and monitoring services ” means any service that has as its object or effect the interception of a communication in the course of its transmission by means of a telecommunication system.
(2) A person intercepts a communication in the course of its transmission by means of a telecommunication system if, and only if—
(a) the person does a relevant act in relation to the system; and
(b) the effect of the relevant act is to make any content of the communication available, at a relevant time, to a person who is not the sender or intended recipient of the communication.
(3) In paragraph (2) a “ relevant act ”, in relation to a telecommunication system, means—
(a) modifying, or interfering with, the system or its operation;
(b) monitoring transmissions made by means of the system;
(c) monitoring transmissions made by wireless telegraphy to or from apparatus that is part of the system.
(4) In paragraph (2), a “ relevant time ”, in relation to a communication transmitted by means of a telecommunication system, means—
(a) any time while the communication is being transmitted; and
(b) any time when the communication is stored in or by the system (whether before or after its transmission).
(5) For the purpose of paragraph (2), the cases in which any content of a communication is to be taken to be made available to a person at a relevant time include any case in which any of the communication is diverted or recorded at a relevant time so as to make the content of the communication available to a person after that time.
(6) In paragraph (3), references to modifying a telecommunication system include references to attaching any apparatus to, or otherwise modifying or interfering with—
(a) any part of the system; or
(b) any wireless telegraphy apparatus used for making transmissions to or from apparatus that is part of the system.
(7) For the purposes of this regulation, the following definitions also apply—
“ apparatus ” includes any equipment, machinery or device (whether physical or logical) and any wire or cable;
“communication”, for the purpose of a telecommunication system, includes—
anything comprising speech, music, sounds, visual images or data of any description; and
signals serving for the impartation of anything between persons, between a person and a thing or between things, for the actuation or control of any apparatus;
“ content ”, in relation to a communication and a telecommunication system, means any element of the communication, or any data attached to or logically associated with the communication, which reveals anything of what might reasonably be considered to be the meaning (if any) of the communication, but—
any meaning arising from the fact of the communication or from any data relating to the transmission of the communication is to be disregarded; and
anything which is systems data is not content;
“ systems data ” means any data that enables or facilitates, or identifies or describes anything connected with enabling or facilitating, the functioning of a telecommunication system (including any apparatus forming part of the system);
“ a telecommunication system ” means a system (including the apparatus comprised in it) that exists for the purpose of facilitating the transmission of communications by any means involving the use of electrical or electromagnetic energy;
“ wireless telegraphy ” and “ wireless telegraphy apparatus ” have the same meaning as in sections 116 and 117 of the Wireless Telegraphy Act 2006.
(1) The export of restricted goods to, or for use in, Russia is prohibited.
(1A) The export of maritime goods for the placing on board of a Russian-flagged vessel is prohibited.
(2) Paragraphs (1) and (1A) are subject to Part 7 (Exceptions and licences).
(1) The import of arms and related materiel which are consigned from Russia is prohibited.
(2) The import of arms and related materiel which originate in Russia is prohibited.
(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).
(4) In this regulation “ arms and related materiel ” means—
(a) military goods, and
(b) any thing which falls within chapter 93 of the Goods Classification Table, other than military goods.
(5) For the purposes of the definition of “arms and related materiel”, whether a thing “falls within chapter 93 of the Goods Classification Table” is to be interpreted in accordance with paragraph 1 of Schedule 3.
(1) A person must not—
(a) directly or indirectly supply or deliver restricted goods from a third country to a place in Russia;
(b) directly or indirectly supply or deliver military goods from a place in Russia to a third country.
(c) directly or indirectly supply or deliver maritime goods from a third country for the placing on board of a Russian-flagged vessel.
(2) Paragraph (1) is subject to Part 7 (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 goods were destined (or ultimately destined) for Russia;
(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 supply or delivery was from a place in Russia, whether directly or indirectly.
(c) it is a defence for a person charged with the offence of contravening paragraph (1)(c) to show that the person did not know and had no reasonable cause to suspect that the supply or delivery was for the placing on board of a Russian-flagged vessel, whether directly or indirectly.
(4) In this regulation “ third country ” means a country that is not the United Kingdom, the Isle of Man or Russia.
(1) A person must not—
(a) directly or indirectly make restricted goods or restricted technology available to a person connected with Russia;
(b) directly or indirectly make restricted goods or restricted technology available for use in Russia;
(c) directly or indirectly acquire military goods or military technology from a person connected with Russia;
(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(e) directly or indirectly acquire military goods or military technology located in Russia.
(f) directly or indirectly make maritime goods or maritime technology available for the placing on board of a Russian-flagged vessel.
(2) Paragraph (1) is subject to Part 7 (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 an offence of contravening paragraph (1)(a) or (c) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Russia;
(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 Russia;
(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d) it is a defence for a person charged with the offence of contravening paragraph (1)(e) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were located in Russia.
(e) it is a defence for a person charged with the offence of contravening paragraph (1)(f) to show that the person did not know and had no reasonable cause to suspect that the goods or technology were to be made available for the placing on board of a Russian-flagged vessel.
(1) A person must not—
(a) transfer restricted technology to a place in Russia;
(b) transfer restricted technology to a person connected with Russia;
(c) transfer military technology to persons outside the United Kingdom or to a place outside the United Kingdom, where the transfer is from a place in Russia.
(d) transfer maritime technology to a Russian-flagged vessel.
(2) Paragraph (1) is subject to Part 7 (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 Russia;
(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 Russia;
(c) it is a defence for a person charged with the offence of contravening paragraph (1)(c) to show that the person did not know and had no reasonable cause to suspect that the transfer was from a place in Russia.
(d) it is a defence for a person charged with the offence of contravening paragraph (1)(d) to show that the person did not know and had no reasonable cause to suspect that the transfer was to a Russian-flagged vessel.
(1) A person must not directly or indirectly provide technical assistance relating to restricted goods or restricted technology —
(a) to a person connected with Russia, or
(b) for use in Russia.
(2) Paragraph (1) is subject to Part 7 (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 an 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 Russia;
(b) it is a defence for a person charged with an 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 Russia.
(1) A person must not directly or indirectly provide, to a person connected with Russia, financial services in pursuance of or in connection with an arrangement whose object or effect is—
(a) the export of restricted goods ,
(b) the direct or indirect supply or delivery of restricted goods ,
(c) directly or indirectly making restricted goods or restricted technology available to a person,
(d) the transfer of restricted technology , or
(e) the direct or indirect provision of technical assistance relating to restricted goods or restricted technology .
(2) A person must not directly or indirectly make funds available to a person connected with Russia 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 restricted goods to, or for use in, Russia;
(b) the direct or indirect supply or delivery of restricted goods to a place in Russia;
(c) directly or indirectly making restricted goods or restricted technology available—
(i) to a person connected with Russia, or
(ii) for use in Russia;
(d) the transfer of restricted technology —
(i) to a person connected with Russia, or
(ii) to a place in Russia; or
(e) the direct or indirect provision of technical assistance relating to restricted goods or restricted technology —
(i) to a person connected with Russia, or
(ii) for use in Russia.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(6) Paragraphs (1) to (3) are subject to Part 7 (Exceptions and licences).
(7) 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 Russia;
(b) it is a defence for a person charged with the offence of contravening 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 .
(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(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 restricted goods from a third country to a place in Russia;
(b) directly or indirectly making restricted goods available in a third country for direct or indirect supply or delivery—
(i) to a person connected with Russia, or
(ii) to a place in Russia;
(c) directly or indirectly making restricted technology available in a third country for transfer—
(i) to a person connected with Russia, or
(ii) to a place in Russia;
(d) the transfer of restricted technology from a place in a third country—
(i) to a person connected with Russia, or
(ii) to a place in Russia;
(e) the direct or indirect provision, in a non-UK country, of technical assistance relating to restricted goods or restricted technology —
(i) to a person connected with Russia, or
(ii) for use in Russia;
(f) the direct or indirect provision, in a non-UK country, of financial services—
(i) to a person connected with Russia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 28(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 28(3);
(g) directly or indirectly making funds available, in a non-UK country, to a person connected with Russia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 28(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 28(3).
(2) Paragraph (1) is subject to Part 7 (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 Russia,
for the purposes of any other provision of paragraph (1), a country that is not the United Kingdom or Russia.
(1) A person must not directly or indirectly provide insurance or reinsurance services relating to aviation and space goods or aviation and space technology—
(a) to a person connected with Russia, or
(b) for use in Russia.
(2) Paragraph (1) is subject to Part 7 (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 an 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 Russia;
(b) it is a defence for a person charged with an 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 Russia.
(1) A person must not directly or indirectly provide—
(a) technical assistance,
(b) armed personnel,
(c) financial services or funds, or
(d) brokering services in relation to an arrangement whose object or effect is to provide, in a non-UK country, anything mentioned in sub-paragraphs (a) to (c),
where such provision enables or facilitates the conduct of military activities carried on or proposed to be carried on by the Russian military or any other military end-user who is a person connected with Russia.
(2) Paragraph (1) is subject to Part 7 (Exceptions and licences).
(3) A person who contravenes the 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 provision as mentioned in paragraph (1) would enable or facilitate the conduct of military activities carried on or proposed to be carried on by the Russian military or any other military end-user who is a person connected with Russia.
(4) In this regulation—
“ non-UK country ” means a country that is not the United Kingdom;
“ technical assistance ” means the provision of technical support or any other technical service.
(5) Nothing in this regulation is to be taken to limit the meaning of any of the prohibitions contained in this Part.
In this Chapter—
“ relevant restricted goods ” means only those restricted goods which are not infrastructure-related goods but which are military goods;
“ relevant restricted technology ” means only that restricted technology which is military technology.
(1) The export of relevant restricted goods to, or for use in, Crimea is prohibited.
(2) The export of relevant restricted goods to, or for use in, non-government controlled areas of the Donetsk, Kherson, Luhansk and Zaporizhzhia oblasts is prohibited.
(3) Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences).
(4) It is a defence for a person charged with the offence under section 68(1) (offences in relation to exportation of prohibited or restricted goods) of CEMA in relation to the prohibition in paragraph (2) to show that they did not know and had no reasonable cause to suspect that the export was, or would have been, to, or the goods were for use in, non-government controlled areas of the Donetsk, Kherson, Luhansk and Zaporizhzhia oblasts.
(1) A person must not directly or indirectly supply or deliver relevant restricted goods from a third country to a place in non-government controlled Ukrainian territory.
(2) Paragraph (1) is subject to Part 7 (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 the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the goods were destined (or ultimately destined) for non-government controlled Ukrainian territory.
(4) In this regulation, “ third country ” means a country that is not the United Kingdom or the Isle of Man.
(1) A person must not—
(a) directly or indirectly make relevant restricted goods or relevant restricted technology available to a person connected with non-government controlled Ukrainian territory; or
(b) directly or indirectly make relevant restricted goods or relevant restricted technology available for use in non-government controlled Ukrainian territory.
(2) Paragraph (1) is subject to Part 7 (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 an 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 non-government controlled Ukrainian territory;
(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 non-government controlled Ukrainian territory.
(1) A person must not—
(a) transfer relevant restricted technology to a place in non-government controlled Ukrainian territory; or
(b) transfer relevant restricted technology to a person connected with non-government controlled Ukrainian territory.
(2) Paragraph (1) is subject to Part 7 (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 non-government controlled Ukrainian territory;
(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 non-government controlled Ukrainian territory.
(1) A person must not directly or indirectly provide technical assistance relating to relevant restricted goods or relevant restricted technology—
(a) to a person connected with non-government controlled Ukrainian territory; or
(b) for use in non-government controlled Ukrainian territory.
(2) Paragraph (1) is subject to Part 7 (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 an 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 non-government controlled Ukrainian territory;
(b) it is a defence for a person charged with an 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 non-government controlled Ukrainian territory.
(1) A person must not directly or indirectly provide, to a person connected with non-government controlled Ukrainian territory, financial services in pursuance of or in connection with an arrangement whose object or effect is—
(a) the export of relevant restricted goods;
(b) the direct or indirect supply or delivery of relevant restricted goods;
(c) directly or indirectly making relevant restricted goods or relevant restricted technology available to a person;
(d) the transfer of relevant restricted technology; or
(e) the direct or indirect provision of technical assistance relating to relevant restricted goods or relevant restricted technology.
(2) A person must not directly or indirectly provide funds to a person connected with non-government controlled Ukrainian territory 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 relevant restricted goods to, or for use in, non-government controlled Ukrainian territory;
(b) the direct or indirect supply or delivery of relevant restricted goods to a place in non-government controlled Ukrainian territory;
(c) directly or indirectly making relevant restricted goods or relevant restricted technology available—
(i) to a person connected with non-government controlled Ukrainian territory, or
(ii) for use in non-government controlled Ukrainian territory;
(d) the transfer of relevant restricted technology—
(i) to a person connected with non-government controlled Ukrainian territory, or
(ii) to a place in non-government controlled Ukrainian territory; or
(e) the direct or indirect provision of technical assistance relating to relevant restricted goods or relevant restricted technology—
(i) to a person connected with non-government controlled Ukrainian territory, or
(ii) for use in non-government controlled Ukrainian territory.
(4) Paragraphs (1) to (3) are subject to Part 7 (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 non-government controlled Ukrainian territory;
(b) it is a defence for a person charged with the offence of contravening 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.
(1) A person must not directly or indirectly provide brokering services to a person connected with non-government controlled Ukrainian territory in relation to an arrangement whose object or effect is—
(a) the export of relevant restricted goods;
(b) the direct or indirect supply or delivery of relevant restricted goods;
(c) directly or indirectly making relevant restricted goods or relevant restricted technology available to a person;
(d) the transfer of relevant restricted technology; or
(e) the direct or indirect provision of technical assistance relating to relevant restricted goods or relevant restricted technology.
(2) Paragraph (1) is subject to Part 7 (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.
The Russia (Sanctions) (EU Exit) Regulations 2019 (legislation.gov.uk, OGL v3.0). Retrieved via LawPlayer, https://lawplayer.com/uk/act/uksi-2019-855
Contains public sector information licensed under the Open Government Licence v3.0.
本頁資料來源：legislation.gov.uk (The National Archives)·整理提供：法律人 LawPlayer· lawplayer.com