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(1) These Regulations may be cited as the Somalia (Sanctions) (EU Exit) Regulations 2020.
(2) These Regulations come into force in accordance with regulations made by the Secretary of State under section 56 of the Act.
In these Regulations—
“ the Act ” means the Sanctions and Anti-Money Laundering Act 2018;
“ arrangement ” includes any agreement, understanding, scheme, transaction or series of transactions, whether or not legally enforceable (but see 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;
“ the Committee ” means the Committee of the United Nations Security Council established in accordance with paragraph 11 of resolution 751 and paragraph 31 of resolution 2713 ;
“ conduct ” includes acts and omissions;
“ director disqualification licence ” means a licence under regulation 47A;
“ 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 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;
“ the EU Somalia Regulation 1 ” means Council Regulation (EU) No 147/2003 of 27 January 2003 concerning certain restrictive measures in respect of Somalia as it has effect in EU law;
“ the EU Somalia Regulation 2 ” means Council Regulation (EU) No 356/2010 of 26 April 2010 imposing certain specific restrictive measures directed against certain natural or legal persons, entities or bodies, in view of the situation in Somalia as it has effect in EU law;
“ humanitarian assistance activity ” includes the work of international and non-governmental organisations carrying out relief activities in Somalia for the benefit of the civilian population there;
“ IED component goods ” has the meaning given in regulation 19(1);
“ IED components technology ” has the meaning given in regulation 19(1);
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“ resolution 751 ” means resolution 751 (1992) adopted by the Security Council on 24 April 1992;
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“ resolution 1844 ” means resolution 1844 (2008) adopted by the Security Council on 20 November 2008;
“ resolution 2002 ” means resolution 2002 (2011) adopted by the Security Council on 29 July 2011;
“ resolution 2036 ” means resolution 2036 (2012) adopted by the Security Council on 22 February 2012;
“ resolution 2060 ” means resolution 2060 (2012) adopted by the Security Council on 25 July 2012;
“ resolution 2093 ” means resolution 2093 (2013) adopted by the Security Council on 6 March 2013;
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“ resolution 2444 ” means resolution 2444 (2018) adopted by the Security Council on 14 November 2018;
“ resolution 2498 ” means resolution 2498 (2019) adopted by the Security Council on 15 November 2019;
“resolution 2551” means resolution 2551 (2020) adopted by the Security Council on 12 November 2020;
“ resolution 2713 ” means resolution 2713 (2023) adopted by the Security Council on 1 December 2023;
“ trade licence ” means a licence under regulation 48;
“ Treasury licence ” means a licence under regulation 47;
“ United Kingdom person ” has the same meaning as in section 21 of the Act.
(1) A United Kingdom person may contravene a relevant prohibition by conduct wholly or partly outside the United Kingdom.
(2) Any person may contravene a relevant prohibition by conduct in the territorial sea.
(3) In this regulation a “ relevant prohibition ” means any prohibition imposed by—
(a) regulation 9(2) (confidential information),
(b) Part 3 (Finance),
(c) Part 5 (Trade), or
(d) 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 by conduct in the territorial sea.
(6) In this regulation a “ relevant requirement ” means any requirement imposed—
(a) by or under Part 7 (Information and records), or by reason of a request made under a power conferred by that Part, or
(b) by a condition of a Treasury licence or a trade licence.
(7) Nothing in this regulation is to be taken to prevent a relevant prohibition or a relevant requirement from applying to conduct (by any person) in the United Kingdom.
(1) The regulations contained in this instrument that are made under section 1 of the Act have the following purposes—
(a) compliance with the relevant UN obligations, and
(b) the additional purposes mentioned in paragraph (2).
(2) Those additional purposes are—
(a) promoting the peace, stability and security of Somalia;
(aa) supporting the Federal Government of Somalia to promote peace, stability, security and the rule of law;
(b) supporting the Federal Government of Somalia in its efforts to reconstruct the country;
(ba) countering terrorist and armed groups – including, but not limited to, Al-Shabaab – which operate in, from, or pose a threat to, Somalia, including by—
(i) tackling the flow and supply of arms, weapons and ammunition to Somalia contrary to paragraph 4 of resolution 2713 (arms embargo on Al-Shabaab);
(ii) disrupting the financing of terrorism;
(iii) reducing the threat posed by IED component goods and IED component technology;
(bb) supporting the Federal Government of Somalia to counter the threats posed by terrorist and armed groups – including, but not limited to, Al-Shabaab – which operate in, from, or pose a threat to, Somalia;
(c) promoting the effective delivery of the mandates of the regional and international monitoring, peace-support and protection and training missions and mechanisms in Somalia including—
(i) the African Union Transition Mission in Somalia ...,
(ii) the United Nations Assistance Mission in Somalia ,
(iii) the United Nations Support Office in Somalia ,
(iv) the European Union Training Mission in Somalia , and
(v) the Panel of Experts on Somalia ;
(d) promoting respect for humanitarian assistance activities in Somalia;
(e) promoting compliance with the rules of international humanitarian law applicable to the armed conflicts in Somalia;
(f) promoting respect for human rights in Somalia, including, in particular, respect for—
(i) the right to life of persons in Somalia;
(ii) the right of persons in Somalia not to be held in slavery or required to perform forced or compulsory labour;
(iii) the right of persons not to be subjected to cruel, inhuman or degrading treatment or punishment in Somalia;
(iv) the right to liberty and security of persons in Somalia, including freedom from arbitrary arrest, unlawful detention or enforced disappearance;
(v) the right to a fair trial of persons charged with criminal offences in Somalia;
(vi) the right of journalists, human rights defenders, civil society activists and other persons in Somalia to freedom of expression and peaceful assembly;
(vii) the enjoyment of rights and freedoms in Somalia without discrimination, including on the basis of a person's sex, race, colour, language, religion, political or other opinion, national or social origin, association with a national minority, property, birth or other status,
otherwise than by compliance with the relevant UN obligations.
(3) In this regulation, “ the relevant UN obligations ” means the obligations that the United Kingdom has by virtue of—
(a) paragraph 4 of resolution 2713 (arms embargo on Al-Shabaab);
(b) paragraph 3 of resolution 1844 (asset-freeze etc.) to take the measures required by that provision in respect of persons for the time being named for the purposes of that provision by the Security Council or the Committee;
(c) the obligations that the United Kingdom has by virtue of paragraph 3 of resolution 1844 (asset-freeze etc.) in respect of persons—
(i) acting on behalf of or at the direction of, or
(ii) owned or controlled by,
the persons for the time being named by the Security Council or the Committee for the purposes of paragraph 3 of resolution 1844;
(d) paragraph 7 of resolution 1844 (targeted arms embargo) to take the measures required by that provision in respect of persons for the time being named for the purposes of that provision by the Security Council or the Committee;
(e) paragraph 22 of resolution 2036 (charcoal ban); and
(f) paragraph 26 of resolution 2498 and paragraph 26 of resolution 2551 (IED components ban).
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5) In paragraphs (3)(b) to (d), any reference to persons named by the Security Council or Committee for the purposes of a provision mentioned therein includes persons so named by virtue of—
(a) paragraph 8 of resolution 1844;
(b) paragraphs 1, 2 and 3 of resolution 2002;
(c) paragraph 23 of resolution 2036;
(d) paragraph 1, 2 and 3 of resolution 2060;
(e) paragraph 43 of resolution 2093; ...
(f) paragraph 50 of resolution 2444 ; and
(g) paragraph 25 of resolution 2713.
(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 12 to 16 (asset freeze etc.);
(aa) regulation 17A (director disqualification sanctions);
(b) regulation 18 (immigration);
(c) regulations 28 to 34 (targeted arms embargo) and regulation 35 (enabling or facilitating the conduct of armed hostilities: designated persons).
(2) The Secretary of State may designate different persons for the purposes of different provisions mentioned in paragraph (1).
(1) The Secretary of State may choose whether to designate a person under regulation 5 (power to designate persons) 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 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 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 regulation 5A (conditions for the designation of persons by name) , an “ involved person ” means a person who—
(a) is or has been involved in a relevant activity,
(b) is owned or controlled directly or indirectly (within the meaning of regulation 7) by a person who is or has been so involved,
(c) is acting on behalf of or at the direction of a person who is or has been so involved, or
(d) is a member of, or associated with, a person who is or has been so involved.
(3) In this regulation a “ relevant activity ” means—
(a) the commission of a serious human rights violation or abuse, or violation of international humanitarian law in Somalia, including in particular, in relation to—
(i) deliberate targeting of civilians, schools and hospitals;
(ii) rape and other forms of sexual and gender-based violence;
(iii) recruitment or use of children in armed conflicts;
(iv) abduction or enforced disappearances;
(v) the forced displacement of civilians;
(vi) any of the rights referred to in regulation 4(2)(f);
(b) obstruction of the delivery or distribution of, or access to, humanitarian assistance in Somalia;
(c) an attack against, or obstruction of, diplomatic personnel in Somalia, or the regional or international monitoring, peace-support or protection and training missions and mechanisms mentioned in ... regulation 4(2)(c);
(d) the misappropriation of Somali state funds, or taking action that may lead to such misappropriation;
(e) the resale, supply or delivery, transfer or making available of Somali military goods or technology to, or for use by, any person who is not a relevant entity;
(f) the illicit export of charcoal from Somalia or the direct or indirect import of charcoal from Somalia;
(fa) association or affiliation with, or activity in support of, terrorist or armed groups, including—
(i) the provision or supply of arms, weapons or ammunition where such flow or supply is not in compliance with paragraph 4 of resolution 2713 (arms embargo on Al-Shabaab);
(ii) the provision of IED components goods or IED components technology to a terrorist or armed group;
(iii) recruitment of persons to terrorist or armed groups;
(iv) the dissemination of extremist material ;
(g) any other acts that threaten the peace, security or stability of Somalia, including, in particular, acts that threaten the peace and reconciliation process in Somalia, or obstruct, undermine or threaten the Federal Government of Somalia and the political process in Somalia.
(4) Any reference in this regulation to being involved in a relevant activity includes being so involved in whatever way, and wherever, any actions constituting the involvement take place, and in particular includes—
(a) being responsible for, engaging in, providing support for, or promoting, any such activity;
(b) providing financial services, or making available funds or economic resources, that could contribute to any such activity;
(c) being involved in the unauthorised supply of military goods or military technology to Somalia, or in providing financial services or other assistance relating to such supply;
(d) being involved in any trade in goods which could contribute to acts which threaten the peace, security or stability of Somalia, including, in particular, trade via ports controlled by Al-Shabaab which benefits a designated person;
(e) assisting the contravention or circumvention of any relevant provision.
(5) In this regulation—
(a) “ relevant provision ” means—
(i) any provision of Part 3 (Finance) or Part 5 (Trade);
(ii) 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;
(iii) any provision of the resolutions mentioned in regulation 4(3);
(b) “ relevant entity ” in relation to Somali military goods or technology, means—
(i) the intended original recipient of Somali military goods or technology,
(ii) any regional or international monitoring, peace-support or protection and training missions and mechanisms in Somalia including those mentioned in regulation 4(2)(c), or
(iii) any person employed by, or otherwise acting under the direction or control of any of the entities mentioned in (i) or (ii);
(c) “ Somali military goods or technology ” means military goods or military technology exported, supplied or delivered, transferred or made available, to or for the benefit of—
(i) the Somali National Security Forces, or
(ii) a Federal or other state security institution in Somalia providing security for the people of Somalia ;
(d) “ extremist material ” means that which—
(i) promotes an extremist ideology, or
(ii) foments, justifies or glorifies terrorist violence;
(e) “ extremist ideology ” means the promotion or advancement of an ideology based on violence, hatred or intolerance that aims to—
(i) negate or destroy the fundamental rights or freedoms of others,
(ii) undermine, overturn or replace democracy or democratic rights, or
(iii) intentionally create a permissive environment for others to achieve the results in (i) or (ii).
(6) Nothing in any sub-paragraph of paragraphs (3) or (4) is to be taken to limit the meaning of any of the other sub-paragraphs of those paragraphs.
(7) In this regulation, “military goods” and “military technology” have the meanings given by Part 5.
(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, or
(b) has by virtue of section 22 of the Act varied or revoked a designation made under that regulation.
(2) The Secretary of State—
(a) must without delay take such steps as are reasonably practicable to inform the designated person of the designation, variation or revocation, and
(b) must take steps to publicise the designation, variation or revocation.
(3) The information given under paragraph (2)(a)—
(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(7)(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) 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) Each person for the time being named by the Security Council or the Committee for the purposes of paragraph 3 of resolution 1844 is a designated person for the purposes of regulations 12 to 16 (asset-freeze etc.) (whose purposes include compliance with the UN obligations mentioned in regulation 4(3)(b) ).
(2) Each person for the time being named by the Security Council or the Committee for the purposes of paragraph 7 of resolution 1844 is a designated person for the purposes of regulations 28 to 34 (targeted arms embargo) and regulation 35 (enabling or facilitating the conduct of armed hostilities: designated persons) (whose purposes include compliance with the UN obligations mentioned in regulation 4(3)(d)).
(3) Nothing in this regulation affects the power under regulation 5 to designate persons (in addition to those designated by this regulation) for the purpose of those regulations mentioned in paragraphs (1) and (2).
In this Part a “ designated person ” means—
(a) a person who is designated under regulation 5 (power to designate persons) for the purposes of regulations 12 to 16 (asset-freeze etc.), or
(b) a person who is a designated person for the purposes of those regulations by reason of regulation 10(1) (designation of persons named by or under UN Security Council Resolutions).
(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 6 (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 6 (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 6 (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 6 (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 6 (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 must not intentionally participate in activities knowing that the object or effect of them is, whether directly or indirectly—
(a) to circumvent any of the prohibitions in regulations 12 to 16 (asset-freeze etc.), or
(b) to enable or facilitate the contravention of any such prohibition.
(2) A person who contravenes the prohibition in paragraph (1) commits an offence.
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—
“ charcoal ” has the meaning given to it in Part 2 of Schedule 2;
“ IED component goods ” means—
any thing described as an IED component in Part 3 of Schedule 2 other than—
any thing which is IED component technology, or
any thing for the time being specified in Schedule 2 to the Export Control Order 2008 , and
any tangible storage medium on which IED component technology is recorded or from which it can be derived;
“ IED component technology ” means any thing described in Part 3 of Schedule 2 as software or technology;
“ 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;
(1) Paragraphs 32 and 36 of Schedule 1 to the Act (trade sanctions) apply for the purpose of interpreting expressions in this Part.
(2) In this Part any reference to the United Kingdom includes a reference to the territorial sea.
(3) In this Part—
“ 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;
“ designated person ” means a person—
who is designated under regulation 5(1)(c) for the purposes of regulations 28 to 35, or
who is a designated person by reason of regulation 10(2);
except in regulations 35 and 36, “ 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;
“ transfer ” has the meaning given by paragraph 37 of Schedule 1 to the Act.
(4) For the purposes of this Part, a person is to be regarded as “connected with” Somalia if the person is—
(a) an individual who is, or an association or combination of individuals who are, ordinarily resident in Somalia,
(b) an individual who is, or an association or combination of individuals who are, located in Somalia,
(c) a person, other than an individual, which is incorporated or constituted under the law of Somalia, or
(d) a person other than an individual, which is domiciled in Somalia.
(1) The export of military goods or IED component goods to, or for use in, Somalia is prohibited.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(1) A person must not directly or indirectly supply or deliver military goods or IED component goods from a third country to a place in Somalia.
(2) Paragraph (1) is subject to Part 6 (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 goods were destined (or ultimately destined) for Somalia.
(4) In this regulation, “ third country ” means a country that is not the United Kingdom, the Isle of Man or Somalia.
(1) A person must not—
(a) directly or indirectly make military goods, IED component goods, military technology or IED component technology available to a person connected with Somalia;
(b) directly or indirectly make military goods, IED component goods, military technology or IED component technology available for use in Somalia.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—
(a) it is a defence for a person charged with the offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Somalia;
(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 Somalia.
(1) A person must not—
(a) transfer military technology or IED component technology to a place in Somalia;
(b) transfer military technology or IED component technology to a person connected with Somalia.
(2) Paragraph (1) is subject to Part 6 (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 Somalia.
(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 Somalia.
(1) A person must not directly or indirectly provide technical assistance relating to military goods or military technology—
(a) to a person connected with Somalia, or
(b) for use in Somalia.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—
(a) it is a defence for a person charged with the offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Somalia.
(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 Somalia.
(1) A person must not directly or indirectly provide to a person connected with Somalia financial services in pursuance of or in connection with, an arrangement whose object or effect is—
(a) the export of military goods,
(b) the direct or indirect supply or delivery of military goods,
(c) directly or indirectly making military goods or military technology available to a person,
(d) the transfer of military technology, or
(e) the direct or indirect provision of technical assistance relating to military goods or military technology.
(2) A person must not directly or indirectly make funds available to a person connected with Somalia 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 military goods to, or for use in, Somalia,
(b) the direct or indirect supply or delivery of military goods to a place in Somalia,
(c) directly or indirectly making military goods or military technology available—
(i) to a person connected with Somalia, or
(ii) for use in Somalia,
(d) the transfer of military technology—
(i) to a person connected with Somalia, or
(ii) to a place in Somalia, or
(e) the direct or indirect provision of technical assistance relating to military goods or military technology—
(i) to a person connected with Somalia, or
(ii) for use in Somalia.
(4) Paragraphs (1) to (3) are subject to Part 6 (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 Somalia;
(b) it is a defence for a person charged with an offence of contravening a prohibition in paragraph (3) to show that the person did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.
(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 military goods from a third country to a place in Somalia,
(b) directly or indirectly making military goods available in a third country for direct or indirect supply or delivery—
(i) to a person connected with Somalia, or
(ii) to a place in Somalia,
(c) directly or indirectly making military technology available in a third country for transfer—
(i) to a person connected with Somalia, or
(ii) to a place in Somalia,
(d) the transfer of military technology from a place in a third country—
(i) to a person connected with Somalia,
(ii) to a place in Somalia,
(e) the direct or indirect provision, in a non-UK country, of technical assistance relating to military goods or military technology—
(i) to a person connected with Somalia,
(ii) to a place in Somalia,
(f) the direct or indirect provision, in a non-UK country, of financial services—
(i) to a person connected with Somalia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 26(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 26(3),
(g) directly or indirectly making funds available, in a non-UK country, to a person connected with Somalia, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 26(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 26(3).
(2) Paragraph (1) is subject to Part 6 (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 Somalia, and
for the purposes of any other provision of paragraph (1), a country that is not the United Kingdom or Somalia.
(1) The export of military goods to a designated person is prohibited.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(1) A person must not directly or indirectly supply or deliver military goods from a third country to a designated person.
(2) Paragraph (1) is subject to Part 6 (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 (“P”) to show that P did not know and had no reasonable cause to suspect that the person to whom the goods were supplied or delivered was a designated person.
(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 directly or indirectly make military goods or military technology available to a designated person.
(2) Paragraph (1) is subject to Part 6 (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 (“P”) to show that P did not know and had no reasonable cause to suspect that the person to whom the goods or technology were made available was a designated person.
(1) A person must not transfer military technology to a designated person.
(2) Paragraph (1) is subject to Part 6 (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 (“P”) to show that P did not know and had no reasonable cause to suspect that the person to whom the technology was transferred was a designated person.
(1) A person must not directly or indirectly provide technical assistance relating to military goods or military technology to a designated person.
(2) Paragraph (1) is subject to Part 6 (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 (“P”) to show that P did not know and had no reasonable cause to suspect that the person to whom the technical assistance was provided was a designated person.
(1) A person must not directly or indirectly provide financial services to a designated person in pursuance of or in connection with an arrangement whose object or effect is—
(a) the export of military goods,
(b) the direct or indirect supply or delivery of military goods,
(c) directly or indirectly making military goods or military technology available to a person,
(d) the transfer of military technology, or
(e) the direct or indirect provision of technical assistance relating to military goods or military technology.
(2) A person must not directly or indirectly make funds available to a designated person 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 military goods to a designated person,
(b) the direct or indirect supply or delivery of military goods to a designated person,
(c) directly or indirectly making military goods or military technology available to a designated person,
(d) the transfer of military technology to a designated person, or
(e) the direct or indirect provision of technical assistance relating to military goods or military technology to a designated person.
(4) Paragraphs (1) to (3) are subject to Part 6 (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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the person to whom the financial services were provided was a designated person;
(b) it is a defence for a person charged with the offence of contravening paragraph (2) (“P”) to show that P did not know and had no reasonable cause to suspect that the person to whom the funds were made available was a designated person;
(c) 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 in relation to an arrangement (“arrangement A”) whose object or effect is—
(a) the direct or indirect supply or delivery of military goods from a non-UK country to a designated person;
(b) directly or indirectly making military goods available in a non-UK country for direct or indirect supply or delivery to a designated person;
(c) directly or indirectly making military technology available in a non-UK country for transfer to a designated person;
(d) the transfer of military technology from a place in a non-UK country to a designated person;
(e) the direct or indirect provision, in a non-UK country, of technical assistance relating to military goods or military technology to a designated person;
(f) the direct or indirect provision, in a non-UK country, of financial services—
(i) to a designated person where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 33(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 33(3);
(g) directly or indirectly making funds available in a non-UK country to, or for the benefit of, a designated person where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 33(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 33(3).
(2) Paragraph (1) is subject to Part 6 (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—
for the purposes of paragraph (1)(a) and (b), a country that is not the United Kingdom or the Isle of Man; and
for the purposes of any other provision of paragraph (1), a country that is not the United Kingdom.
(1) A person must not directly or indirectly provide to a designated person—
(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 armed hostilities in Somalia.
(2) Paragraph (1) is subject to Part 6 (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 (“P”) to show that—
(a) P did not know and had no reasonable cause to suspect that the person to whom, or for whose benefit, the technical assistance, armed personnel, financial services or funds or brokering services were provided was a designated person, or
(b) P 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 armed hostilities in Somalia.
(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 Chapter 2 or 3 of this Part.
(1) A person must not directly or indirectly provide to a person other than a designated person—
(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, any of the services mentioned in sub-paragraphs (a) to (c).
where such provision enables or facilitates the conduct of armed hostilities in Somalia.
(2) Paragraph (1) is subject to Part 6 (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 armed hostilities in Somalia.
(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 Chapter 2 or 3 of this Part.
(1) The import of charcoal consigned from Somalia is prohibited.
(2) The import of charcoal originating from Somalia is prohibited.
(3) Paragraphs (1) and (2) are subject to Part 6 (Exceptions and licences).
(1) A person must not—
(a) directly or indirectly acquire charcoal which originates in Somalia;
(b) directly or indirectly acquire charcoal which is located in Somalia.
(2) Paragraph (1) is subject to Part 6 (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 charcoal originated in Somalia;
(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 charcoal was located in Somalia.
(1) A person must not directly or indirectly supply or deliver charcoal from a place in Somalia to a third country where the charcoal—
(a) originates in Somalia, or
(b) is consigned from Somalia.
(2) A person must not directly or indirectly supply or deliver charcoal from a place in a non-UK country to a place in a different non-UK country where the charcoal originates in Somalia.
(3) Paragraphs (1) and (2) are subject to Part 6 (Exceptions and licences).
(4) A person who contravenes a prohibition in paragraph (1) or (2) commits an offence, but—
(a) it is a defence for a person charged with the offence of contravening paragraph (1)(a) or (2) to show that the person did not know and had no reasonable cause to suspect that the charcoal originated in Somalia;
(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 charcoal was consigned from Somalia.
(5) In this regulation—
“ non-UK country ” means a country that is not the United Kingdom or the Isle of Man;
“ third country ” means a country that is not the United Kingdom, the Isle of Man or Somalia.
(1) 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 import of charcoal which—
(i) originates in Somalia, or
(ii) is consigned from Somalia;
(b) the direct or indirect acquisition of charcoal which—
(i) originates in Somalia, or
(ii) is consigned from Somalia;
(c) the direct or indirect supply or delivery of charcoal from a place in Somalia to a third country, where the charcoal—
(i) originates in Somalia, or
(ii) is consigned from Somalia;
(d) the direct or indirect supply or delivery of charcoal from a place in a non-UK country to a place in a different non-UK country where the charcoal originates in Somalia.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but it is a defence for a person charged with an offence of contravening a prohibition in paragraph (1) 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.
(4) For the purposes of paragraph (1)(c), the term “ third country ” has the same meaning as in regulation 39(5).
(5) For the purposes of paragraph (1)(d), the term “ non-UK country ” has the same meaning as in regulation 39(5).
(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 Chapters 2 to 5 of this Part, or
(b) to enable or facilitate the contravention of any such prohibition.
(2) A person who contravenes a prohibition in paragraph (1) commits an offence.
(1) Paragraph (2) applies where a person relies on a defence under Chapters 2 to 5 of this Part.
(2) If evidence is adduced which is sufficient to raise an issue with respect to the defence, the court must assume that the defence is satisfied unless the prosecution proves beyond reasonable doubt that it is not.
(1) The prohibition in regulation 12 (asset-freeze in relation to designated persons) is not contravened by an independent person (“P”) transferring to another person a legal or equitable interest in funds or economic resources where, immediately before the transfer, the interest—
(a) is held by P, and
(b) is not held jointly with the designated person.
(2) In paragraph (1) “ independent person ” means a person who—
(a) is not the designated person, and
(b) is not owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.
(3) The prohibitions in regulations 12 to 14 (asset-freeze in relation to, and making funds available to, or for the benefit of, designated persons) are not contravened by a relevant institution crediting a frozen account with interest or other earnings due on the account.
(4) The prohibitions in regulations 13 and 14 (making funds available to, or for the benefit of, designated persons) are not contravened by a relevant institution crediting a frozen account where it receives funds transferred to that institution for crediting to that account.
(5) The prohibitions in regulations 13 and 14 are not contravened by the transfer of funds to a relevant institution for crediting to an account held or controlled (directly or indirectly) by a designated person, where those funds are transferred in discharge (or partial discharge) of an obligation which arose before the date on which the person became a designated person.
(6) The prohibitions in regulations 12 to 14 are not contravened in relation to a designated person (“P”) by a transfer of funds from account A to account B, where—
(a) account A is with a relevant institution which carries on an excluded activity within the meaning of section 142D of the Financial Services and Markets Act 2000 ,
(b) account B is with a ring-fenced body within the meaning of section 142A of the Financial Services and Markets Act 2000 , and
(c) accounts A and B are held or controlled (directly or indirectly) by P.
(7) In this regulation—
“ designated person ” has the same meaning as it has in Part 3 (Finance);
“ frozen account ” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person;
“ relevant institution ” means a person that has permission under Part 4A of the Financial Services and Markets Act 2000 (permission to carry on regulated activity).
(8) The definition of “relevant institution” in paragraph (7) is to be read with section 22 of the Financial Services and Markets Act 2000 , any relevant order under that section and Schedule 2 to that Act .
(9) For the purposes of paragraphs (1)(b), (5) and (6) and the definition of “frozen account” in paragraph (7), references to a designated person are to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.
(10) When determining for the purposes of paragraph (5) when a person (“ C ”) who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (“ D ”) became a designated person, C is to be treated as having become a designated person at the same time as D.
(1) This regulation applies to required payments within the meaning of paragraph (2).
(2) A required payment is a payment which—
(a) a non-UN designated person is required to make under or by virtue of any enactment to—
(i) the registrar of companies,
(ii) the Commissioners,
(iii) the Welsh Revenue Authority,
(iv) Revenue Scotland,
(v) the Financial Conduct Authority,
(vi) the Secretary of State,
(vii) the Welsh Ministers,
(viii) the Department of Finance in Northern Ireland, or
(ix) a local authority, and
(b) is not an excluded payment.
(3) The prohibitions in regulations 12 (asset-freeze in relation to designated persons) and 14 (making funds available for benefit of designated persons) are not contravened by a person making a required payment.
(4) Where a required payment is made by a person other than a non-UN designated person, the prohibition in regulation 12 is not contravened by the non-UN designated person making a reimbursement payment to that person.
(5) The reference in paragraph (3) to a person making a required payment—
(a) does not include a UN designated person, and
(b) only includes a non-UN designated person where they are making a required payment on their own behalf.
(6) The following payments are to be treated as payments which a non-UN designated person is required to make under or by virtue of an enactment for the purposes of this regulation, where made by a non-UN designated person on their own behalf or by a person, other than a designated person, on behalf of a non-UN designated person—
(a) a payment to the Financial Conduct Authority of a levy imposed by the scheme manager of the Financial Services Compensation Scheme by virtue of section 213 of the Financial Services and Markets Act 2000 (the compensation scheme);
(b) a payment to the Financial Conduct Authority which is collected by that Authority on behalf of the Financial Reporting Council Limited.
(7) For the purposes of this regulation—
(a) references to a non-UN designated person are to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the non-UN designated person,
(b) the reference in paragraph (5) to a UN designated person is to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the UN designated person, and
(c) the reference in paragraph (6) to a designated person is to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person.
(8) In this regulation—
“ BID levy ” means a levy that is imposed on those persons who are, in respect of particular business improvement district proposals, entitled to vote in accordance with section 39(3) of the Planning etc. (Scotland) Act 2006;
“ business improvement district ” has the meaning given in section 33 of the Planning etc. (Scotland) Act 2006;
“ designated person ” has the same meaning as it has in Part 3 (Finance);
“ enactment ” has the meaning given in section 54(6) of the Act;
“ excluded payment ” means, in relation to—
the registrar of companies, a payment of fees for—
the incorporation of a firm;
the restoration of a firm to a register which is administered by the registrar;
the Financial Conduct Authority, a payment of fees for—
an application for permission from, authorisation by, registration with or recognition from the Financial Conduct Authority which relates to the carrying on of any activity falling within any function of the Financial Conduct Authority;
an application for a variation of such permission, authorisation, registration or recognition;
an application for listing or for eligibility for listing;
an application for review or approval of a document relating to listing;
an application for approval as a sponsor or primary information provider;
an application for review or approval of—
a document under rules made by the Financial Conduct Authority by virtue of Part 3 of the Public Offers and Admissions to Trading Regulations 2024;
listing particulars under section 79 of the Financial Services and Markets Act 2000 or supplementary listing particulars under section 81 of that Act;
the Secretary of State or the Welsh Ministers, a payment that a non-UN designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of Part 3 of the Local Government Finance Act 1988;
the Department of Finance in Northern Ireland, a payment that a non-UN designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of Part 2 of the Rates (Northern Ireland) Order 1977;
a local authority, a payment that a non-UN designated person is required to make under or by virtue of an enactment other than a payment under or by virtue of—
Part 1 of the Local Government (Scotland) Act 1975;
Part 3 of the Local Government Finance Act 1988;
Parts 1 and 2 of the Local Government Finance Act 1992;
Part 4 of the Local Government Act 2003;
Part 9 of the Planning etc. (Scotland) Act 2006;
the Business Rate Supplements Act 2009;
the Business Improvement Districts Act (Northern Ireland) 2013;
“ firm ” has the meaning given in section 1173(1) of the Companies Act 2006;
“ listing ” means being included in the official list maintained by the Financial Conduct Authority in accordance with Part 6 of the Financial Services and Markets Act 2000;
“ local authority ” means—
in relation to England—
a district council;
a county council for any area for which there is no district council;
a London borough council;
the Common Council of the City of London in its capacity as a local authority;
the Council of the Isles of Scilly;
in relation to Wales, a county council or a county borough council;
in relation to Scotland, a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994 or a person appointed by such a council for the purposes of the administration, collection and recovery of a BID levy;
in relation to Northern Ireland, a district council;
“ non-UN designated person ” means a person—
who is designated under regulation 5 for the purposes of regulations 12 to 16 (asset-freeze etc.), and
whose designation, in the opinion of the Secretary of State, is not required by a provision mentioned in regulation 4(3);
“ primary information provider ” has the meaning given in section 89P(2) of the Financial Services and Markets Act 2000;
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“ registrar of companies ” has the meaning given in section 1060 of the Companies Act 2006 (the registrar);
“ reimbursement payment ” means a repayment from the non-UN designated person to the person who made a required payment which is of the same amount as that required payment;
“ scheme manager ” has the meaning given in section 212 of the Financial Services and Markets Act 2000;
“ sponsor ” has the meaning given in section 88(2) of the Financial Services and Markets Act 2000;
“ UN designated person ” means—
a person who is a designated person for the purposes of regulations 12 to 16 by reason of regulation 10(1) (designation of persons named by or under UN Security Council resolutions), or
a person who is designated under regulation 5(1)(a) (power to designate persons) for the purposes of regulations 12 to 16 and whose designation is (in the opinion of the Secretary of State) required by a provision mentioned in regulation 4(3).
(1) The prohibitions in regulations 12 to 16 (asset-freeze etc.) are not contravened by a person (“ P ”) carrying out a relevant activity which is necessary—
(a) to ensure the timely delivery of humanitarian assistance, or
(b) to support other activities that support basic human needs,
where Conditions A and B are met.
(2) Condition A is that the humanitarian assistance or other activities mentioned in paragraph (1) are carried out by—
(a) the United Nations, including its—
(i) programmes and funds,
(ii) other entities and bodies, and
(iii) specialised agencies and related organisations,
(b) international organisations,
(c) humanitarian organisations having observer status with the United Nations General Assembly and members of those humanitarian organisations,
(d) bilaterally or multilaterally funded non-governmental organisations participating in the United Nations Humanitarian Response Plans, Refugee Response Plans, other United Nations appeals, or humanitarian clusters coordinated by the United Nations Office for the Coordination of Humanitarian Affairs,
(e) any grantee, subsidiary, or implementing partner of any organisation falling within sub-paragraphs (a) to (d) while and to the extent that they are acting in those capacities,
(f) any other persons authorised by the Committee for the purposes of resolution 2664.
(3) Condition B is that P believes that carrying out the relevant activity is so necessary and there is no reasonable cause for P to suspect otherwise.
(4) For the purposes of this regulation—
“ relevant activity ” means any activity which would, in the absence of this regulation, contravene the prohibitions in regulations 12 to 16;
“ resolution 2664 ” means resolution 2664 (2022) adopted by the Security Council on 9th December 2022.
(1) Where a person's conduct in a relevant country would, in the absence of this regulation, contravene a prohibition in any of regulations 12 to 16 (asset-freeze etc.), Chapter 2 of Part 5 (Trade) or regulation 36 (enabling or facilitating the conduct of armed hostilities) (“the relevant prohibition”), the relevant prohibition is not contravened if the conduct is authorised by a licence or other authorisation which is issued—
(a) under the law of the relevant country, and
(b) for the purpose of disapplying a prohibition in that jurisdiction which corresponds to the relevant prohibition.
(2) In this regulation, “ relevant country ” means—
(a) any of the Channel Islands;
(b) the Isle of Man;
(c) any British overseas territory.
(3) Nothing in this regulation affects the application of a prohibition in a case where it would be incompatible with a UN obligation for the prohibition not to apply.
(1) Where an act would, in the absence of this paragraph, be prohibited by regulation 9(2) (confidentiality) or any prohibition in Part 3 (Finance) or Part 5 (Trade), that prohibition does not apply to the act if the act is one which a responsible officer has determined would be in the interests of—
(a) national security, or
(b) the prevention or detection of serious crime in the United Kingdom or elsewhere.
(2) Where, in the absence of this paragraph, a thing would be required to be done under or by virtue of a provision of Part 7 (Information and records) or 9 (Maritime enforcement), that requirement does not apply if a responsible officer has determined that not doing the thing in question would be in the interests of—
(a) national security, or
(b) the prevention or detection of serious crime in the United Kingdom or elsewhere.
(3) In this regulation “ responsible officer ” means a person in the service of the Crown or holding office under the Crown, acting in the course of that person's duty.
(4) Nothing in this regulation affects the application of a prohibition or requirement in a case where it would be incompatible with a UN obligation for the prohibition or requirement not to apply.
(1) The prohibitions in regulations 12 to 16 (asset-freeze etc.) do not apply to anything done under the authority of a licence issued by the Treasury under this paragraph.
(2) The Treasury may issue a licence which authorises acts in relation to a non-UN designated person only where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 2 or 3 of Schedule 3 .
(3) The Treasury may issue a licence which authorises acts in relation to a UN designated person only where the Treasury consider that it is appropriate to issue the licence for a purpose set out in Part 2 or 2A of Schedule 3.
(4) In this regulation “ UN designated person ” means—
(a) a person who is a designated person for the purposes of regulations 12 to 16 by reason of regulation 10(1) (designation of persons named by or under UN Security Council resolutions), or
(b) a person who is designated under regulation 5(1)(a) (power to designate persons) for the purposes of regulations 12 to 16 and whose designation is (in the opinion of the Secretary of State) required by a provision mentioned in regulation 4(3) (purposes).
(5) The reference in paragraph (2) to a non-UN designated person is to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the non-UN designated person.
(6) The reference in paragraph (3) to a UN designated person is to be read as including a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the UN designated person.
The Somalia (Sanctions) (EU Exit) Regulations 2020 (legislation.gov.uk, OGL v3.0). Retrieved via LawPlayer, https://lawplayer.com/uk/act/uksi-2020-642
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