The Yemen (Sanctions) (EU Exit) Regulations 2020

Made: 9th July 2020

Laid before Parliament: 15th July 2020

Coming into force in accordance with regulation 1(2)

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PART 1 — General

Citation and commencement

1

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Interpretation

2

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Application of prohibitions and requirements outside the United Kingdom

3

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Purpose

4

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PART 2 — Designation of persons

Power to designate persons

5

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Criteria for designating a person

6

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Meaning of “owned or controlled directly or indirectly”

7

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Notification and publicity where designation power used

8

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Confidential information in certain cases where designation power used

9

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Designation of persons named by or under UN Security Council Resolutions

10

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PART 3 — Finance

Meaning of “designated person” in Part 3

11

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Asset-freeze in relation to designated persons

12

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Making funds available to designated persons

13

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Making funds available for benefit of designated persons

14

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Making economic resources available to designated persons

15

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Making economic resources available for benefit of designated persons

16

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Circumventing etc. prohibitions

17

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PART 4 — Immigration

Immigration

18

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PART 5 — Trade

Interpretation of expressions used in this Part

19

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Export of military goods

20

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Supply and delivery of military goods

21

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Making military goods and military technology available

22

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Transfer of military technology

23

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Technical assistance relating to military goods and military technology

24

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Financial services and funds relating to military goods and military technology

25

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Brokering services: non-UK activity relating to military goods and military technology

26

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Enabling or facilitating the conduct of armed hostilities

27

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Circumventing etc. prohibitions

28

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Defences

29

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PART 6 — Exceptions and licences

Finance: exceptions from prohibitions

30

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Exception for authorised conduct in a relevant country

31

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Exception for acts done for purposes of national security or prevention of serious crime

32

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Treasury licences

33

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Trade licences

34

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Licences: general provisions

35

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Finance: licensing offences

36

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Trade: licensing offences

37

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Section 8B(1) to (3) of the Immigration Act 1971: directions

38

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PART 7 — Information and records

Finance: reporting obligations

39

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“Relevant firm”

40

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Finance: powers to request information

41

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Finance: production of documents

42

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Finance: information offences

43

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Trade: application of information powers in CEMA

44

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General trade licences: records

45

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General trade licences: inspection of records

46

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Disclosure of information

47

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Part 7: supplementary

48

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PART 8 — Enforcement

Penalties for offences

49

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Liability of officers of bodies corporate etc.

50

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Jurisdiction to try offences

51

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Procedure for offences by unincorporated bodies

52

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Time limit for proceedings for summary offences

53

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Trade enforcement: application of CEMA

54

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Trade offences in CEMA: modification of penalty

55

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Application of Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005

56

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Monetary penalties

57

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PART 9 — Maritime enforcement

Exercise of maritime enforcement powers

58

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Maritime enforcement officers

59

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Power to stop, board, search etc.

60

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Seizure power

61

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Restrictions on exercise of maritime enforcement powers

62

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Interpretation of Part 9

63

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PART 10 — Supplementary and final provision

Notices

64

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Trade: overlapping offences

65

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Revocations

66

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Amendment of the United Nations and European Union Financial Sanctions (Linking) Regulations 2017

67

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Transitional provision: Treasury licences

68

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Transitional provision: trade licences

69

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Transitional provision: pending applications for trade licences

70

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Transitional provision: prior obligations

71

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SCHEDULE 1 — Rules for interpretation of regulation 7(2)

Application of Schedule

1

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Joint interests

2

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Joint arrangements

3

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Calculating shareholdings

4

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Voting rights

5

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6

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Rights to appoint or remove members of the board

7

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8

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Shares or rights held “indirectly”

9

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Shares held by nominees

10

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Rights treated as held by person who controls their exercise

11

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12

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Rights exercisable only in certain circumstances etc.

13

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Rights attached to shares held by way of security

14

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SCHEDULE 2 — Treasury licences: purposes

PART 1 — Interpretation

1

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PART 2 — Purposes

Basic needs

2

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Legal services

3

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Maintenance of frozen funds and economic resources

4

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Extraordinary expenses

5

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Pre-existing judicial decisions etc.

6

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Humanitarian assistance activities etc.

7

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PART 3 — Purposes relating only to UN designated persons

Prior obligations

8

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PART 4 — Purposes relating only to non-UN designated persons

Prior obligations

9

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Diplomatic missions etc.

10

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Extraordinary situation

11

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Signed

Ahmad — Minister of State — Foreign and Commonwealth Office — 9th July 2020

Explanatory note

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Footnotes

[^f00001]: The power to make regulations under Part 1 of the Sanctions and Anti-Money Laundering Act 2018 is conferred on an “appropriate Minister”. Section 1(9)(a) of the Act defines an “appropriate Minister” as including the Secretary of State.

[^f00002]: 2018 c.13.

[^f00003]: 1979 c.2. Amendments have been made to this Act and are cited, where relevant, in respect of the applicable regulations.

[^f00004]: OJ No. L 365, 19.12.2014, p.60.

[^f00005]: A copy of the English translation of the Outcomes Document is available online at: https://www.peaceagreements.org/masterdocument/1400.

[^f00006]: A copy of the English translation of the Agreement is available online at: https://osesgy.unmissions.org/sites/default/files/gcc_initiative_yemen_english.pdf.

[^f00007]: A copy of the English translation of the Agreement is available online at: https://osesgy.unmissions.org/sites/default/files/5-yemen_mechanism_english_official_v2_0.pdf.

[^f00008]: The asset-freezing measures provided for in paragraph 11 of resolution 2140 have been renewed by paragraph 2 of resolution 2204 (2015) adopted by the Security Council on 24 February 2015, paragraph 2 of resolution 2266 (2016) adopted by the Security Council on 24 February 2016, paragraph 2 of resolution 2342 (2017) adopted by the Security Council on 23 February 2017, paragraph 2 of resolution 2402 (2018) adopted by the Security Council on 26 February 2018, paragraph 2 of resolution 2456 (2019) adopted by the Security Council on 26 February 2019, and paragraph 2 of resolution 2511 (2020) adopted by the Security Council on 25 February 2020.

[^f00009]: “Person” is defined by section 9(5) of the Sanctions and Anti-Money Laundering Act 2018 to include (in addition to an individual and a body of persons corporate or unincorporate) any organisation and any association or combination of persons.

[^f00010]: Section 13 of the Sanctions and Anti-Money Laundering Act 2018 requires that where the purposes of a provision of regulations under section 1 include compliance with a UN obligation to take particular measures in relation to UN-named persons (which is the case with the regulations mentioned in regulation 10), the regulations must provide for those persons to be designated persons for the purposes of that provision.

[^f00011]: 1971 c.77. Section 8B was inserted by the Immigration and Asylum Act 1999 (c.33), section 8 and amended by the Immigration Act 2016 (c.19), section 76; and the Sanctions and Anti-Money Laundering Act 2018, section 59 and Schedule 3, Part 1.

[^f00012]: S.I. 2008/3231. Schedule 2 was substituted by S.I. 2017/85 and subsequently amended by S.I. 2017/697; S.I. 2018/165; S.I. 2018/939; S.I. 2019/137; and S.I. 2019/989. There are other instruments which amend other parts of the Order, which are not relevant to these Regulations.

[^f00013]: 2000 c.8. Section 142D was inserted by the Financial Services (Banking Reform) Act 2013 (c.33), section 4(1).

[^f00014]: Section 142A was inserted by the Financial Services (Banking Reform) Act 2013, section 4(1).

[^f00015]: Part 4A was inserted by the Financial Services Act 2012 (c.21), section 11(2) and most recently amended by S.I. 2018/546; it is prospectively amended by S.I. 2019/632.

[^f00016]: Section 22 was amended by the Financial Guidance and Claims Act 2018 (c.10), section 27(4); the Financial Services Act 2012 (c.21), section 7(1); and S.I. 2018/135.

[^f00017]: S.I. 2001/544 as most recently amended by S.I. 2019/679; S.I. 2020/117; and S.I. 2020/480; and it is prospectively amended by S.I. 2018/1149; S.I. 2108/1403; S.I. 2019/632; S.I. 2019/660; S.I. 2019/710; and S.I. 2019/1361.