The Haiti (Sanctions) Regulations 2022

• (b) a reference to holding “more than 50% of the shares” in that person is to holding a right or rights to share in more than 50% of the capital or, as the case may be, profits of that person.

Voting rights

5

• (1) A reference to the voting rights in a person is to the rights conferred on shareholders in respect of their shares (or, in the case of a person not having a share capital, on members) to vote at general meetings of the person on all or substantially all matters.

• (2) In relation to a person that does not have general meetings at which matters are decided by the exercise of voting rights—

• (a) a reference to holding voting rights in the person is to be read as a reference to holding rights in relation to the person that are equivalent to those of a person entitled to exercise voting rights in a company;

• (b) a reference to holding “more than 50% of the voting rights” in the person is to be read as a reference to holding the right under the constitution of the person to block changes to the overall policy of the person or to the terms of its constitution.

6

In applying regulation 7(2) and this Schedule, the voting rights in a person are to be reduced by any rights held by the person itself.

Rights to appoint or remove members of the board

7

A reference to the right to appoint or remove a majority of the board of directors of a person is to the right to appoint or remove directors holding a majority of the voting rights at meetings of the board on all or substantially all matters.

8

A reference to a board of directors, in the case of a person who does not have such a board, is to be read as a reference to the equivalent management body of that person.

Shares or rights held “indirectly”

9

• (1) A person holds a share “indirectly” if the person has a majority stake in another person and that other person—

• (a) holds the share in question, or

• (b) is part of a chain of persons—

• (i) each of whom (other than the last) has a majority stake in the person immediately below it in the chain, and

• (ii) the last of whom holds the share.

• (2) A person holds a right “indirectly” if the person has a majority stake in another person and that other person—

• (a) holds that right, or

• (b) is part of a chain of persons—

• (i) each of whom (other than the last) has a majority stake in the person immediately below it in the chain, and

• (ii) the last of whom holds that right.

• (3) For these purposes, a person (“A”) has a “majority stake” in another person (“B”) if—

• (a) A holds a majority of the voting rights in B,

• (b) A is a member of B and has the right to appoint or remove a majority of the board of directors of B,

• (c) A is a member of B and controls alone, pursuant to an agreement with other shareholders or members, a majority of the voting rights in B, or

• (d) A has the right to exercise, or actually exercises, dominant influence or control over B.

• (4) In the application of this paragraph to the right to appoint or remove a majority of the board of directors, a person (“A”) is to be treated as having the right to appoint a director if—

• (a) any person’s appointment as director follows necessarily from that person’s appointment as director of A, or

• (b) the directorship is held by A itself.

Shares held by nominees

10

A share held by a person as nominee for another is to be treated as held by the other (and not by the nominee).

Rights treated as held by person who controls their exercise

11

• (1) Where a person controls a right, the right is to be treated as held by that person (and not by the person who in fact holds the right, unless that person also controls it).

• (2) A person “controls” a right if, by virtue of any arrangement between that person and others, the right is exercisable only—

• (a) by that person,

• (b) in accordance with that person’s directions or instructions, or

• (c) with that person’s consent or concurrence.

12

“Arrangement” includes—

• (a) any scheme, agreement or understanding, whether or not it is legally enforceable, and

• (b) any convention, custom or practice of any kind.

Rights exercisable only in certain circumstances etc.

13

• (1) Rights that are exercisable only in certain circumstances are to be taken into account only—

• (a) when the circumstances have arisen, and for so long as they continue to obtain, or

• (b) when the circumstances are within the control of the person having the rights.

• (2) But rights that are exercisable by an administrator or by creditors while a person is subject to relevant insolvency proceedings are not to be taken into account while the person is subject to those proceedings.

• (3) “Relevant insolvency proceedings” means—

• (a) administration within the meaning of the Insolvency Act 1986[^f00050],

• (b) administration within the meaning of the Insolvency (Northern Ireland) Order 1989[^f00051], or

• (c) proceedings under the insolvency law of another country during which a person’s assets and affairs are subject to the control or supervision of a third party or creditor.

• (4) Rights that are normally exercisable but are temporarily incapable of exercise are to continue to be taken into account.

Rights attached to shares held by way of security

14

Rights attached to shares held by way of security provided by a person are to be treated for the purposes of this Schedule as held by that person—

• (a) where apart from the right to exercise them for the purpose of preserving the value of the security, or of realising it, the rights are exercisable only in accordance with that person’s instructions, and

• (b) where the shares are held in connection with the granting of loans as part of normal business activities and apart from the right to exercise them for the purpose of preserving the value of the security, or of realising it, the rights are exercisable only in that person’s interests.

SCHEDULE 2 — Treasury licences: purposes

Interpretation

1

• (1) In this Schedule—

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

• “frozen funds or economic resources” means funds or economic resources frozen by virtue of regulation 8 (asset-freeze in relation to designated persons), and any reference to a person’s frozen funds or economic resources is to funds or economic resources frozen as a consequence of the designation of that person for the purposes of that regulation.

• (2) For the purposes of this Schedule, references to a designated person are to be read as including a person (“C”) who is owned or controlled directly or indirectly (within the meaning of regulation 7) by the designated person (“P”).

• (3) When determining for the purposes of paragraph 6 or 7 when C became a designated person, C is to be treated as having become a designated person at the same time as P.

Basic needs

2

• (1) To enable the basic needs of a designated person, or (in the case of an individual) any dependent family member of such a person, to be met.

• (2) In the case of an individual, in sub-paragraph (1) “basic needs” includes—

• (a) medical needs;

• (b) needs for—

• (i) food;

• (ii) payment of insurance premiums;

• (iii) payment of tax;

• (iv) rent or mortgage payments;

• (v) utility payments.

• (3) In the case of a person other than an individual, in sub-paragraph (1) “basic needs” includes needs for—

• (a) payment of insurance premiums;

• (b) payment of reasonable fees for the provision of property management services;

• (c) payment of remuneration, allowances or pensions of employees;

• (d) payment of tax;

• (e) rent or mortgage payments;

• (f) utility payments.

• (4) In sub-paragraph (1)—

• “dependent” means financially dependent;

• “family member” includes—the wife or husband of the designated person;the civil partner of the designated person;any parent or other ascendant of the designated person;any child or other descendant of the designated person;any person who is a brother or sister of the designated person, or a child or other descendant of such a person.

Legal services

3

To enable the payment of—

• (a) reasonable professional fees for the provision of legal services, or

• (b) reasonable expenses associated with the provision of legal services.

Maintenance of frozen funds and economic resources

4

To enable the payment of—

• (a) reasonable fees, or

• (b) reasonable service charges,

arising from the routine holding or maintenance of frozen funds or economic resources.

Extraordinary expenses

5

To enable an extraordinary expense of a designated person to be met.

Pre-existing judicial decisions etc.

6

To enable, by the use of a designated person’s frozen funds or economic resources, the implementation or satisfaction (in whole or in part) of a judicial, administrative or arbitral decision or lien, provided that—

• (a) the funds or economic resources so used are the subject of the decision or lien,

• (b) the decision or lien—

• (i) was made or established before the date on which the person became a designated person, and

• (ii) is enforceable in the United Kingdom, and

• (c) the use of the frozen funds or economic resources does not directly or indirectly benefit any other designated person.

Prior obligations

7

To enable, by the use of a designated person’s frozen funds or economic resources, the satisfaction of an obligation of that person arising under a contract, provided that—

• (a) the obligation arose before the date on which the person became a designated person, and

• (b) no payments are made to another designated person, whether directly or indirectly.

Signed

David Rutley — Parliamentary Under Secretary of State — Foreign, Commonwealth and Development Office — 2022-12-05

Explanatory note

(This note is not part of the Regulations)

EXPLANATORY NOTE

These Regulations are made under the Sanctions and Anti-Money Laundering Act 2018 (c. 13) to give effect to the United Kingdom’s international obligations resulting from United Nations Security Council Resolution 2653 (2022) imposing a sanctions regime in view of the situation in Haiti.

The Regulations provide that those persons designated by the UN as responsible for or complicit in, or having engaged in, directly or indirectly, actions that threaten the peace, security or stability of Haiti are designated for the purposes of these Regulations. Designated persons are subject to various sanctions measures set out in subsequent Parts of the Regulations.

Part 3 of the Regulations provides for designated persons to be made subject to financial sanctions, which include having their funds and/or economic resources frozen.

Part 4 of the Regulations imposes trade restrictions on military goods and military technology and associated services.

The Regulations provide for certain exceptions to this sanctions regime, in particular in relation to financial sanctions (for example to allow for frozen accounts to be credited with interest or other earnings) and also acts done for the purpose of national security or the prevention of serious crime. The Regulations also confer powers on the Treasury to issue licences in respect of activities that would otherwise be prohibited under the financial sanctions. Schedule 2 to these Regulations sets out the purposes pursuant to which the Treasury may issue such licences.

The Regulations prescribe powers for the provision and sharing of information to enable the effective implementation and enforcement of the sanctions regime. The Regulations make it a criminal offence to contravene, or circumvent, any of the prohibitions in these Regulations and prescribe the mode of trial and penalties that apply to such offences. They also provide for the application of similar types of provision in the Customs and Excise Management Act 1979 to certain offences relating to trade.

The Regulations also confer powers on specified maritime enforcement officers to stop and search ships in international and foreign waters for the purpose of enforcing specified trade sanctions and to seize goods found on board ships which are being, or have been, dealt with in contravention, or deemed contravention, of those prohibitions.

An Impact Assessment has not been produced for these Regulations. An Impact Assessment was, however, produced for the Sanctions and Anti-Money Laundering Act 2018 and can be found at:

https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/653271/Sanctions_and_Anti-Money_Laundering_Bill_Impact_Assessment_18102017.pdf.

Footnotes

[^f00001]: The power to make regulations under Part 1 of the Sanctions and Anti-Money Laundering Act 2018 (c. 13) is conferred on an “appropriate Minister”. Section 1(9)(a) of that Act defines an “appropriate Minister” as including the Secretary of State.

[^f00002]: 2018 c. 13. Section 17(5)(b)(i) (enforcement) is amended by the Sentencing Act 2020 (c. 17), Schedule 24, paragraph 443(1). Sections 1 and 16 are amended by the Economic Crime (Transparency and Enforcement) Act 2022 (c. 10), sections 57 and 65.

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

[^f00004]: “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.

[^f00005]: 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 5), the regulations must provide for those persons to be designated persons for the purposes of that provision.

[^f00007]: 2000 c. 8. Section 142D was inserted by the Financial Services (Banking Reform) Act 2013 (c. 33), section 4(1).

[^f00008]: Section 142A was inserted by the Financial Services (Banking Reform) Act 2013, section 4(1).

[^f00009]: Part 4A was inserted by the Financial Services Act 2012 (c. 21), section 11(2) and most recently amended by the Financial Services Act 2021 (c. 22), section 28 and Schedule 11, paragraphs 2 and 3.

[^f00010]: 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.

[^f00011]: S.I. 2001/544, as most recently amended by S.I. 2018/1149; S.I. 2018/1403; S.I. 2019/632; S.I. 2019/660; S.I. 2019/679; S.I. 2019/710; S.I. 2019/1361; S.I. 2020/117; and S.I. 2020/480.

[^f00012]: Schedule 2 was amended by the Regulation of Financial Services (Land Transactions) Act 2005 (c. 24), section 1; the Dormant Bank and Building Society Accounts Act 2008 (c. 31), section 15 and Schedule 2, paragraph 1; the Financial Services Act 2012, sections 7(2) to (5) and 8; the Financial Guidance and Claims Act 2018, section 27(13); S.I. 2013/1881; and S.I. 2018/135; and S.I. 2019/632.

[^f00013]: 2006 c. 46.

[^f00014]: 2014 c. 2.

[^f00015]: 2005 c. 19.

[^f00016]: 1979 c. 38. Section 1 was amended by the Law Reform (Miscellaneous Provisions) (Scotland) Act 1985 (c. 73), Schedule 1, paragraph 40; the Planning (Consequential Provisions) Act 1990 (c. 11), Schedule 2, paragraph 42; the Planning (Consequential Provisions) (Scotland) Act 1997 (c. 11), Schedule 2, paragraph 28; the Planning Act (Northern Ireland) 2011 (c. 25), Schedule 6, paragraph 21; the Enterprise and Regulatory Reform Act 2013 (c. 24), section 70; S.I. 1991/1220; S.I. 1991/2684; S.S.I. 2000/121; and S.I. 2001/1283.

[^f00017]: Section 1210 was amended by S.I. 2008/565; S.I. 2008/1950; S.I. 2011/99; S.I. 2012/1809; S.I. 2013/3115; S.I. 2017/516; S.I. 2017/1164; and S.I. 2019/177.

[^f00018]: Section 77A was inserted by the Finance Act 1987 (c. 16), section 10 and amended by S.I. 1992/3095.

[^f00019]: S.I. 1991/2724 is amended by S.I. 1992/3095; S.I. 1993/3014; and S.I. 2011/1043 and is prospectively revoked by S.I. 2018/1247.

[^f00020]: 2017 c. 3.

[^f00021]: Section 1(8) of the Sanctions and Anti-Money Laundering Act 2018 defines an “international obligation” as an obligation of the United Kingdom created or arising by or under any international agreement.

[^f00022]: “Sanctions regulations” has the meaning given in section 1(5) of the Sanctions and Anti-Money Laundering Act 2018.

[^f00023]: 2000 c. 22.

[^f00024]: 1994 c. 39.

[^f00025]: 2016 c. 25. Amendments have been made by the Policing and Crime Act 2017, Schedule 9, paragraph 74; the Data Protection Act 2018 (c. 12), Schedule 19, paragraphs 198-203; the Counter-Terrorism and Border Security Act 2019 (c. 3), Schedule 4, paragraph 33; the Sanctions and Anti-Money Laundering Act 2018, section 59(4), Schedule 3, paragraph 7; the Crime (Overseas Production Orders) Act 2019 (c. 5), section 16; S.I. 2018/378; S.I. 2018/652; S.I. 2018/905; S.I. 2018/1123; S.I. 2019/419; S.I. 2019/742; S.I. 2019/939; and S.I. 2020/661. Saving provisions are made by S.I. 2017/859.

[^f00026]: 2018 c. 12. There are amendments to this Act but none are relevant to these Regulations.

[^f00027]: 1995 c. 46.

[^f00028]: 1925 c. 86. Section 33 was amended by the Statute Law (Repeals) Act 2004 (c. 14), section 1(1) and Schedule 1, Part 17. Other amendments have been made to section 33 that are not relevant to these Regulations.

[^f00029]: 1980 c. 43. Amendments have been made to Schedule 3 that are not relevant to these Regulations.

[^f00030]: 1945 c. 15 (N.I.).

[^f00031]: S.I. 1981/1675 (N.I. 26).

[^f00032]: The definition of “assigned matter” in section 1(1) of CEMA was amended by the Commissioners for Revenue and Customs Act 2005 (c. 11), Schedule 4, paragraph 22(a); the Scotland Act 2012 (c. 11), section 24(7); and the Wales Act 2014 (c. 29), section 7(1).

[^f00033]: Section 138 of CEMA was amended by the Police and Criminal Evidence Act 1984 (c. 60), section 114(1), Schedule 6, paragraph 37 and Schedule 7, Part 1; the Finance Act 1988 (c. 39), section 11; the Serious Organised Crime and Police Act 2005 (c. 15), Schedule 7, paragraph 54; S.I 1989/1341 (N.I. 12); and S.I. 2007/288.

[^f00034]: “The customs and excise Acts” is defined in section 1 of CEMA.

[^f00035]: Section 145 of CEMA was amended by the Police and Criminal Evidence Act 1984, section 114(1); the Commissioners for Revenue and Customs Act 2005 (c. 11), Schedule 4, paragraph 23(a); and S.I. 2014/834. Section 147 was amended by the Magistrates Courts Act 1980 (c. 43), section 154 and Schedule 7, paragraph 176; the Criminal Justice Act 1982 (c. 48), section 77, Schedule 14, paragraph 42; the Finance Act 1989 (c. 26), section 16(2); and the Criminal Justice Act 2003 (c. 44), section 41, Schedule 3, paragraph 50. Section 152 was amended by the Commissioners for Revenue and Customs Act 2005, section 50, Schedule 4, paragraph 26, and section 52, Schedule 5. Section 155 was amended by the Commissioners for Revenue and Customs Act 2005, section 50, Schedule 4, paragraph 27, and section 52, Schedule 5.

[^f00036]: The words “7 years” were inserted in section 68(3)(b) of CEMA by the Finance Act 1988, section 12.

[^f00037]: The words “7 years” were inserted in section 170(3)(b) of CEMA by the Finance Act 1988, section 12.

[^f00038]: 2005 c. 15. Chapter 1 of Part 2 has been amended by the Terrorism Act 2006 (c. 11), section 33(3) and (4); the Northern Ireland (Miscellaneous Provisions) Act 2006 (c. 33), sections 26(2) and 30(2) and Schedules 3 and 5; the Bribery Act 2010 (c. 23), section 17(2) and Schedule 1; the Criminal Justice and Licensing (Scotland) Act 2010 (asp 13), section 203 and Schedule 7, paragraph 77; the Crime and Courts Act 2013 (c. 22), section 15 and Schedule 8, paragraphs 157 and 159; the Criminal Finances Act 2017 (c. 22), section 51(1); the Sanctions and Anti-Money Laundering Act 2018, section 59(4) and Schedule 3, paragraph 4; S.I. 2006/1629; and S.I. 2014/834.

[^f00039]: See section 143(4)(f) and (4A), as inserted by the Sanctions and Anti-Money Laundering Act 2018, Schedule 3, paragraph 8(1) and (3).

[^f00040]: 1987 c. 4. Section 1 was amended by the Police Act 1996 (c. 16), Schedule 7, paragraph 41; the Police (Northern Ireland) Act 1998 (c. 32), Schedule 4, paragraph 16; the Police Reform Act 2002 (c. 30), section 79(3); and S.I. 2013/602.

[^f00041]: 2012 asp 8.

[^f00042]: 1996 c. 16. Section 27 was amended by the Police and Justice Act 2006 (c. 48), Schedule 2, paragraph 23; the Policing and Crime Act 2009 (c. 26), Schedule 7, paragraphs 1 and 6; and the Police Reform and Social Responsibility Act 2011 (c. 13), Schedule 16, paragraph 26.

[^f00043]: 1847 c. 27. Section 79 was amended by S.I. 2006/2167.

[^f00044]: 2013 c. 23.

[^f00045]: 1964 c. 40. Section 16 was amended by section 29(2) of the Wales Act 2017 (c. 4); S.I. 1970/1681; and S.I. 1999/672. Other amendments have been made to section 16 that are not relevant to these Regulations.

[^f00046]: 2009 c. 11. Designated customs officials are designated, as either a general customs official or a customs revenue official, under sections 3 and 11 of this Act respectively.

[^f00047]: 2013 c. 22.

[^f00048]: Command 8941.

[^f00049]: Article 34 was amended by the Sentencing Act 2020 (c. 17), Schedule 24, paragraph 446(1). Article 37 was amended by S.I. 2012/1910; and S.I. 2019/137. Article 38 was amended by S.I. 2017/85; and S.I. 2019/137.

[^f00050]: 1986 c. 45.

[^f00051]: S.I. 1989/2405 (N.I. 19).

Editorial notes

[^key-000abe68d8b644a702d367c0b567cb14]: Sch. 1 para. 4 in force at 28.12.2022, see reg. 1(2)

[^key-0482c9e8bef3d094cf76db9371c8a4a0]: Words in reg. 15(1) substituted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 7(b)

[^key-049fd2ca60b2e3e30285dde7a4d37165]: Reg. 45 in force at 28.12.2022, see reg. 1(2)

[^key-0b29e9584282e01db0df006488cbaa23]: Sch. 1 para. 12 in force at 28.12.2022, see reg. 1(2)

[^key-0c045535d209d18e923ddfefe5d7908b]: Reg. 7 in force at 28.12.2022, see reg. 1(2)

[^key-0c82894bb2de134b68ef992f75522a6d]: Sch. 2 para. 2 in force at 28.12.2022, see reg. 1(2)

[^key-0f6868ff119bf6b994d880be0292163f]: Words in reg. 40(1)(a) substituted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 16(a)

[^key-1151b172750036ad1d94baef617a8e18]: Reg. 39 in force at 28.12.2022, see reg. 1(2)

[^key-1315a88a9850a24f563974dda5f9fcec]: Sch. 2 para. 1 in force at 28.12.2022, see reg. 1(2)

[^key-13fd389118669f971edfdcfefca18094]: Words in reg. 16(3) substituted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 8(c)

[^key-161b39e41ce016bd14c462c0054d9543]: Sch. 2 para. 5 in force at 28.12.2022, see reg. 1(2)

[^key-169c0f371f58f6648b51bae35b475e74]: Reg. 29 in force at 28.12.2022, see reg. 1(2)

[^key-188142309b02c5ce23eaedf5404c5b35]: Reg. 33 in force at 28.12.2022, see reg. 1(2)

[^key-18fa98cc55d7b20c2d26e50c923dc16a]: Words in reg. 55(1) inserted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 21

[^key-19f6399f667abb6fb9a3714b6faba039]: Reg. 26 substituted (9.2.2023) by The Sanctions (Humanitarian Exception) (Amendment) Regulations 2023 (S.I. 2023/121), regs. 1(2), 15(3)

[^key-22aa8b5d65ce91dea1773997e522b31c]: Words in reg. 16(1) substituted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 8(b)

[^key-2912ffaadbb1fa963944861f8a7c1918]: Reg. 52 in force at 28.12.2022, see reg. 1(2)

[^key-295929c0843f1feff9ba767cb45a6c2d]: Reg. 40(2A) inserted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 16(c)

[^key-2eec9854dc9f2755194eb5b143ce4b04]: Reg. 1 in force at 28.12.2022, see reg. 1(2)

[^key-3164b1cf5b1e49176b8fd73e3be51b1c]: Reg. 5 in force at 28.12.2022, see reg. 1(2)

[^key-34a090010d86381635f01dfbac7fdc1b]: Reg. 32 in force at 28.12.2022, see reg. 1(2)

[^key-3b2e85daf6e60ef29b5828d8af7747b1]: Reg. 37 in force at 28.12.2022, see reg. 1(2)

[^key-3f70b2dae0d3544f36ef57d42e639943]: Reg. 30 in force at 28.12.2022, see reg. 1(2)

[^key-40ccec6bae3f100602beec1175ceae1e]: Reg. 41 in force at 28.12.2022, see reg. 1(2)

[^key-42770be6b0a6878211b6cb98b4157de3]: Reg. 4 in force at 28.12.2022, see reg. 1(2)

[^key-44577a30c121149729e93d1121f7692f]: Reg. 47 in force at 28.12.2022, see reg. 1(2)

[^key-45e37ea3f67253b06250e34425a9da8d]: Reg. 48 in force at 28.12.2022, see reg. 1(2)

[^key-4623224815ec8f899a9077938d02d897]: Reg. 38 in force at 28.12.2022, see reg. 1(2)

[^key-475c8f3d9fddcc4f2cec4bc65d39d561]: Reg. 50 in force at 28.12.2022, see reg. 1(2)

[^key-55b42d8e5cf43e48be7834aaa3f0facb]: Sch. 2 para. 3 in force at 28.12.2022, see reg. 1(2)

[^key-57a3e8c1466d6f235f1f34265687c419]: Reg. 12 in force at 28.12.2022, see reg. 1(2)

[^key-57ba1b9c0ade34d1bf94d412fbd40674]: Reg. 24 in force at 28.12.2022, see reg. 1(2)

[^key-5c31fe7880bd7d079794d6e08eb84028]: Sch. 1 para. 8 in force at 28.12.2022, see reg. 1(2)

[^key-5f0ec41cda759fc637121c246c8706cd]: Sch. 1 para. 14 in force at 28.12.2022, see reg. 1(2)

[^key-6550a3fb059b7679a0ea66082f7d56a6]: Regs. 36A, 36B inserted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 13

[^key-65e821fddd2f4d46301cb5b39fb710d4]: Sch. 2 para. 7 in force at 28.12.2022, see reg. 1(2)

[^key-67f48c00e415cae5a8be20373f23bc1d]: Words in reg. 40(2)(a) substituted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 16(b)

[^key-6ecfab28b308bbc3d4404c54d2683ef2]: Reg. 17 in force at 28.12.2022, see reg. 1(2)

[^key-6fca31b25b85a9cd3599077a71332a96]: Reg. 10 in force at 28.12.2022, see reg. 1(2)

[^key-73775e6474db03782247790274208854]: Reg. 34 in force at 28.12.2022, see reg. 1(2)

[^key-75dcc5d4869850ae5c6b3ba57f1d26fb]: Reg. 55 in force at 28.12.2022, see reg. 1(2)

[^key-7788e13e4c9d1d71fffff3f71f3ce9dd]: Reg. 51 in force at 28.12.2022, see reg. 1(2)

[^key-7e22d64e9133aecf319f0fc580dd5e8e]: Words in reg. 45(3) substituted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 17

[^key-819ddb9329adfbeb0e3cc300549f9503]: Reg. 46 in force at 28.12.2022, see reg. 1(2)

[^key-8363b6426d774be9f1033702706946a2]: Sch. 1 para. 1 in force at 28.12.2022, see reg. 1(2)

[^key-839d153eda39f173cc5c05c30eafeeef]: Reg. 3 in force at 28.12.2022, see reg. 1(2)

[^key-863e4bd6bc3cb36542276e67d67d80d8]: Sch. 1 para. 9 in force at 28.12.2022, see reg. 1(2)

[^key-8686d2fc0447acb3a130dbae936897e5]: Reg. 40 in force at 28.12.2022, see reg. 1(2)

[^key-86ccd4b5338df6f807023fca5c345144]: Reg. 14 in force at 28.12.2022, see reg. 1(2)

[^key-8e130826928dce3e0a2990a67ff98f7b]: Regulations extended (Isle of Man) (with modifications) (28.12.2022) by The Haiti (Sanctions) (Isle of Man) Order 2022 (S.I. 2022/1340), arts. 1(1), 2, Sch. (as amended (28.12.2023) by The Haiti (Sanctions) (Isle of Man) (Amendment) Order 2023 (S.I. 2023/1379), arts. 3-10)

[^key-9210d9a8e40feef76f5b7a489cc87baa]: Regulations extended (British Overseas Territories) (with modifications) (28.12.2022) by The Haiti (Sanctions) (Overseas Territories) Order 2022 (S.I. 2022/1347), art. 2, reg. 1(1), Sch. 1, Sch. 2 (as amended (28.12.2023) by S.I. 2023/1383, arts. 3-15 and (11.12.2025) by S.I. 2025/1307, art. 1(1), Sch. 33)

[^key-95e92de8a0afc22cd99a8557a206e7e8]: Reg. 49 in force at 28.12.2022, see reg. 1(2)

[^key-9701ba96229d5b25e49464fe4e857fa7]: Reg. 42 in force at 28.12.2022, see reg. 1(2)

[^key-970ec9d1ec80af4804b43ba180db050b]: Reg. 27 in force at 28.12.2022, see reg. 1(2)

[^key-9721830fc59c8da0045c15808eb70291]: Sch. 2 para. 6 in force at 28.12.2022, see reg. 1(2)

[^key-9e495b5ca6e8191385da5e3945bad362]: Reg. 56 in force at 28.12.2022, see reg. 1(2)

[^key-9ef34dbc2e45075ecd47ab0647c1ebed]: Sch. 1 para. 6 in force at 28.12.2022, see reg. 1(2)

[^key-9f3fe9cdd516a3447f89d02588ab8580]: Reg. 29A inserted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 11

[^key-a3cf561cb618263130af94dc3ebe9f6e]: Reg. 43 in force at 28.12.2022, see reg. 1(2)

[^key-a3e26ab921bef366387307419f7a0e93]: Reg. 54 in force at 28.12.2022, see reg. 1(2)

[^key-af46fc92c8ec876c5cf890623066bd63]: Reg. 23 in force at 28.12.2022, see reg. 1(2)

[^key-b2ee553adb782e63d4e88f44d104841d]: Sch. 1 para. 2 in force at 28.12.2022, see reg. 1(2)

[^key-b540dd97d09f142897f95109f6981378]: Reg. 6 in force at 28.12.2022, see reg. 1(2)

[^key-ba577ad105a41a8d10682ca72b9d374c]: Sch. 1 para. 5 in force at 28.12.2022, see reg. 1(2)

[^key-bbd32bdc5b6b2439b7836f34a22115a0]: Reg. 15 in force at 28.12.2022, see reg. 1(2)

[^key-bbdcfa8082d1f7d4cc28d8bef6c68ccd]: Reg. 2 in force at 28.12.2022, see reg. 1(2)

[^key-be0795cdb2f7028958787503a43883e3]: Reg. 28 in force at 28.12.2022, see reg. 1(2)

[^key-be901ba194faf3ea836677dca11274cf]: Reg. 13 in force at 28.12.2022, see reg. 1(2)

[^key-bfe4f81d0eb5bb10d1719646007ed53b]: Words in reg. 3(3)(c) inserted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 4(a)

[^key-c1d273f202629cb3ae50d2332800aee5]: Reg. 36 in force at 28.12.2022, see reg. 1(2)

[^key-c3c7ff016a6b176d17ad9c4226381ed7]: Reg. 25 in force at 28.12.2022, see reg. 1(2)

[^key-c739831d5e9e7f4850482795472c47f6]: Sch. 1 para. 10 in force at 28.12.2022, see reg. 1(2)

[^key-c7fb624f41808ceb3a82cb3412248b01]: Reg. 11 in force at 28.12.2022, see reg. 1(2)

[^key-cdde20c5208f274326d812024bed11f2]: Sch. 2 para. 4 in force at 28.12.2022, see reg. 1(2)

[^key-d334ba0a39ab5ac5fbf5e736d97adcb1]: Reg. 44 in force at 28.12.2022, see reg. 1(2)

[^key-d94ced63f6fb489fe87ab4e860ee1838]: Sch. 1 para. 3 in force at 28.12.2022, see reg. 1(2)

[^key-e5716adf61ce668c0d8b44dc818cbcfb]: Reg. 31 in force at 28.12.2022, see reg. 1(2)

[^key-ea946b29f15f816d37c21409c025b238]: Words in reg. 2 inserted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 3

[^key-ed532919e058fa3c9f233cba4906f821]: Words in reg. 3(6)(b) inserted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 4(b)

[^key-eed7f650d9794f4edd6f4a6efefcafee]: Sch. 1 para. 7 in force at 28.12.2022, see reg. 1(2)

[^key-eee1e5f7d84dd3ba5de1ec9f119a577c]: Reg. 53 in force at 28.12.2022, see reg. 1(2)

[^key-f4937b03e443180ee5fe3fdb029bcf0b]: Reg. 16 in force at 28.12.2022, see reg. 1(2)

[^key-f585ea43bd4f54dc9fc5009e4397d2ac]: Reg. 9 in force at 28.12.2022, see reg. 1(2)

[^key-f5fb452333d9ddd9d4c2196d3399990e]: Reg. 8 in force at 28.12.2022, see reg. 1(2)

[^key-fa49284740c76c06e54d98f303cd72bf]: Reg. 35 in force at 28.12.2022, see reg. 1(2)

[^key-fb3b464b4a16ea90144730a187a2e529]: Sch. 1 para. 13 in force at 28.12.2022, see reg. 1(2)

[^key-fb5af867e825be5b20a01e40e170aafd]: Reg. 30A inserted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 12

[^key-fd4ff4850acc0d6f37215b5471f6b2c5]: Words in reg. 54(2) substituted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 20

[^key-fe340f6b70ac9891e4f624b22d56fca5]: Sch. 1 para. 11 in force at 28.12.2022, see reg. 1(2)

[^key-fff48d9beb8f7d1b99e0c5206b39fa42]: Words in reg. 39(5) inserted (28.12.2023) by The Haiti (Sanctions) (Amendment) Regulations 2023 (S.I. 2023/1320), regs. 1(2), 15

[^key-4158d2bd8897206fdbbecf43dd055b87]: Words in reg. 36(2)(a) substituted (14.3.2024) by The Haiti (Sanctions) (Amendment) Regulations 2024 (S.I. 2024/178), regs. 1(2), 2(5)

[^key-df66aef6d2bbd599fb5e414ecaaf8ef1]: Words in reg. 46(1) substituted (14.3.2024) by The Haiti (Sanctions) (Amendment) Regulations 2024 (S.I. 2024/178), regs. 1(2), 2(6)

[^key-fad7ac51ba4ac8cf3a58497f4da522f3]: Reg. 10(3A) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(2)

[^key-d485155850e1f081c3973b7b1d3725e0]: Reg. 12(3A) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(3)

[^key-91c022ac146a4557ee8a3a3558b080cd]: Reg. 25(9)(10) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(4)

[^key-b110705aacd08903cde81dc3b1b3c5d3]: Words in reg. 29(5) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(5)(a)

[^key-f7ad6abe267dccf6687c6d69c2551404]: Word in reg. 29(5) substituted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(5)(b)

[^key-8618f606ab22ccba5bde965571ab9868]: Words in reg. 29(5) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(5)(c)

[^key-9603def01b4ba757a73104aba818847f]: Word in reg. 29(5) substituted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(5)(d)

[^key-e246cb93eba5347b784f5ce3f16fec5d]: Words in reg. 31(1)(a)(ii) substituted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(6)(a)

[^key-833072b0c2cf975f0de097df0ec0b3cb]: Reg. 31(4A)-(4C) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(6)(b)

[^key-7683b7d3504cdf93492675ca8b3075ba]: Reg. 31(6A) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(6)(c)

[^key-5516f00b05321da67ca213c0382ddfe0]: Sch. 2 para. 1 renumbered as Sch. 2 para. 1(1) (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(8)(a)

[^key-a596ac77132dfac663823010343a9f53]: Sch. 2 para. 1(2)(3) inserted (5.12.2024) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2), 34(8)(b)

[^key-a25d928264733f59c4d26430d686dad9]: Reg. 32(1)(j)-(m) inserted (14.5.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2)(z6), 34(7)(a)

[^key-4a362f849c07401ec3595bd5d9bf56a8]: Reg. 32(6A)-(6H) inserted (14.5.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2)(z6), 34(7)(b)

[^key-69e5f4d482899dede2bd6e94ee753c29]: Reg. 32(8)(da) inserted (14.5.2025) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2024 (S.I. 2024/1157), regs. 1(2)(z6), 34(7)(c)

[^key-0bc50bdcb5da48cd941f9edb572323eb]: Reg. 25A inserted (10.7.2025) by The Sanctions (EU Exit) (Treasury Debt) Regulations 2025 (S.I. 2025/712), regs. 1(1), 6

[^key-d0380382a547031ec96621a62f847364]: Sch. 1A omitted (23.7.2025) by virtue of The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 15

[^key-1096fcc87bbe71eb90f2734544f6cedb]: Regs. 18-22 inserted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 9

[^key-9ec465d768ebe7904332f29876655609]: Words in reg. 2 inserted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 3

[^key-8ac330fe02017c3751adc62bf72b9bef]: Words in reg. 4(2) substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 4(a)

[^key-8eeb60bfb2d51695104088a9495d473b]: Reg. 4(3) substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 4(b)

[^key-56c51b050c07c6a6b653d91d56e65fbb]: Reg. 14(3) substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 5(a)

[^key-9f7ce3e761760383b23baa31fe863834]: Reg. 14(4) inserted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 5(b)

[^key-bfc1928167786f0dd653e356f5b42549]: Words in reg. 15 substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 6

[^key-6bf208c3dccf8f02ca726b2e8fd108e6]: Words in reg. 16 substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 7

[^key-fbab99fcf4ba8f44b396932450516e65]: Words in reg. 17 heading substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 8(a)

[^key-629677bb2a741a4e5b7a3780cc71764d]: Words in reg. 17(1) omitted (23.7.2025) by virtue of The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 8(b)

[^key-eb7d3db9fc533cbedeaef42fa55fd00a]: Reg. 17(1)(a)(b) and punctuation mark inserted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 8(c)

[^key-cf02f8679a7b20b4b69a8008a48aa2f0]: Words in reg. 17(3) omitted (23.7.2025) by virtue of The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 8(d)

[^key-18aea1d56459d5907f3df7d8ef8f6de0]: Reg. 17(3)(a)(b) and punctuation mark inserted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 8(e)

[^key-9812c562f6fc9d64e67485e5f6c0dc78]: Words in reg. 36(2)(a) substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 10

[^key-563a5e85329aa4d7539a5824dd1e614f]: Words in reg. 37(2)(d)(ii) substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 11

[^key-1a2c4a0fbc669ab5b1c3259a8f46c394]: Words in reg. 46(1) substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 12

[^key-2c436f399ea25e7fec87400ab81dbc4d]: Words in reg. 48(a) substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 13(a)

[^key-f55f4cfb81ecd40a47d84c6d4c0e8955]: Reg. 48(b)-(e) inserted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 13(b)

[^key-df9ba30baf4b31d87d9c442192bccea9]: Reg. 49(2)(d)(e) inserted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 14(c)

[^key-49a60e01032f571d8c419df2268485df]: Words in reg. 49(2)(a) substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 14(a)

[^key-d689e9155243c3240fe771e1d886cb68]: Words in reg. 49(2)(b) substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 14(a)

[^key-25f72eb6cd5aa4c6c66f3bf554a8e958]: Words in reg. 49(2)(c) substituted (23.7.2025) by The Haiti (Sanctions) (Amendment) Regulations 2025 (S.I. 2025/786), regs. 1(2), 14(b)

Export of small arms, light weapons and ammunition

Supply and delivery of small arms, light weapons and ammunition

Small arms, light weapons and ammunition available

Trade licences

29A

• (1) The prohibitions in Part 4 (Trade) do not apply to anything done under the authority of a licence issued by the Secretary of State under this regulation.

• (2) A licence must specify the acts authorised by it.

• (3) A licence may be general or may authorise acts by a particular person or persons of a particular description.

• (4) A licence may—

• (a) contain conditions;

• (b) be of indefinite duration or a defined duration.

• (5) A person who issues a licence may vary, revoke or suspend it at any time.

• (6) A person who issues, varies, revokes or suspends a licence which authorises acts by a particular person must give written notice to that person of the issue, variation, revocation or suspension of the licence.

• (7) A person who issues, varies, revokes or suspends a general licence or a licence which authorises acts by persons of a particular description must take such steps as that person considers appropriate to publicise the issue, variation, revocation or suspension of the licence.

Finance: licensing offences

Trade: licensing offences

30A

• (1) A person (“P”) commits an offence is P knowingly or recklessly—

• (a) provides information that is false in a material respect, or

• (b) provides or produces a document that is not what it purports to be,

for the purpose of obtaining a trade licence (whether for P or anyone else).

• (2) A person who purports to act under the authority of a trade licence but who fails to comply with any condition of the licence commits an offence.

• (3) A licence in respect of which an offence under paragraph (1) has been committed is to be treated as void from the time at which it was issued.

General trade licences: records

36A

• (1) This regulation applies in relation a person (“P”) who does any act authorised by a general licence issued under regulation 29A (trade licences) (“the licence”).

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

• (a) a description of the act;

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

• (c) the date of the act or the dates between which the act took place;

• (d) the quantity of any goods or funds to which the act relates;

• (e) P’s name and address;

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

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

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

• (i) any further information required by the licence.

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

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

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

• (a) P first does any act authorised by the licence, or

• (b) there is any change to the details previously notified.

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

General trade licences: inspection of records

36B

• (1) A person authorised by the Secretary of State or the Commissioners (an “official”) may at any reasonable hour enter premises notified under regulation 36A(4) for the purposes of monitoring compliance with, or detecting evasion of, regulation 36A(2) or (3).

• (2) An official may require any person on the premises to produce any register or record required to be kept under regulation 36A, or any document included in such a register or record, that is in the person’s possession or control.

• (3) An official may inspect and copy any such register, record or document.

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

• (5) A person commits an offence if, without reasonable excuse, the person—

• (a) intentionally obstructs an official in the performance of any of the official’s functions under this regulation, or

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

Disclosure of information

Finance: disclosure to the Treasury

Part 6: supplementary

SCHEDULE 1A — Definition of small arms, light weapons and ammunition

Definitions

1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Small arms and light weapons within ML1 and ML2

2

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Accessories and ammunition for small arms and light weapons within ML1 and ML2

3

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Non-military firearms

4

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Light weapons within ML4

5

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Ammunition for light weapons within ML4

6

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Finance: exceptions relating to payment of Treasury debt

25A

• (1) The prohibitions in regulations 8 to 10 (asset-freeze in relation to, and making funds available to, or for the benefit of, designated persons) are not contravened by any act done by a person to transfer funds to—

• (a) a designated person (“D”) in order to satisfy an obligation owed by the Treasury to D in respect of Treasury debt where the conditions in paragraph (2) are met; or

• (b) a person (“B”) in respect of Treasury debt where the effect of the transfer is to make funds available to or for the benefit of D and the conditions in paragraph (3) are met.

• (2) The person (“P”) making the transfer of funds to D knows or has reasonable cause to suspect that the obligation referred to in paragraph (1) arose before the date on which D was designated and P takes reasonable steps to satisfy itself that the funds to be transferred to D are credited to a specified account.

• (3) The person (“P”) making the transfer of funds to B knows or has reasonable cause to suspect that the effect of such a transfer will be to enable the satisfaction of an obligation of any person to D in respect of Treasury debt and P takes reasonable steps to satisfy itself that such obligation arose before the date on which D was designated and the funds to be transferred to D are ultimately credited to a specified account.

• (4) The prohibitions in regulations 8 to 10 are not contravened by any act done by a person (where that person is not P in paragraph (2) or (3)) to enable a transfer of funds to any person in respect of Treasury debt—

• (a) in order to satisfy an obligation owed by the Treasury to D, or

• (b) where the effect of the transfer will be to enable the satisfaction of an obligation of any person to D in respect of Treasury debt.

• (5) For the purposes of this regulation, references to a designated person, in so far as they relate to a designated person within the meaning of regulation 6, 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.

• (6) In this regulation—

• “corresponding non-UK country” means a non-UK country whose laws contain relevant—prohibitions and exceptions corresponding to regulations 8 to 10 and regulation 25 (finance: exceptions from prohibitions); andgrounds for licences to be issued that correspond to the purposes in Schedule 2 (Treasury licences: purposes);

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

• “frozen account” has the meaning given in regulation 25(7);

• “non-UK country” means a country that is not the United Kingdom;

• “non-UK relevant 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, oran undertaking which by way of business—operates a currency exchange office,transmits money (or any representation of monetary value) by any means, orcashes cheques that are made payable to customers;

• “recognised CSD” has the meaning given in section 285(1)(e) of the Financial Services and Markets Act 2000;

• “relevant 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;

• “relevant 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);

• “specified account” means—a frozen account of a person;an account held by or for the benefit of a person with a recognised CSD;an account held by or for the benefit of a person with a non-UK relevant institution in a corresponding non-UK country; oran account held by or for the benefit of a person with a third country CSD in a corresponding non-UK country—where the person referred to in (a) to (d) above is also D in paragraph (2) or (3);

• “third country CSD” has the meaning given in section 285(1)(g) of the Financial Services and Markets Act 2000;

• “Treasury debt” means any relevant transferable security, relevant money market instrument, loan or credit entered into or issued by, or on behalf of the Treasury in respect of funds borrowed by or on behalf of the Treasury.

Finance: humanitarian exception

Exception for authorised conduct in a relevant country

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

Treasury licences

Trade licences

Finance: licensing offences

Trade: licensing offences

Military goods and military technology available