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Article 35 Offences relating to prohibitions and restrictions in the assimilated dual-use RegulationF27F28

United Kingdom

(1)

Subject to paragraph (8), a person who contravenes a prohibition or restriction in Article 3(1) (controls on listed goods), 4(2) (military end-use control), 4(3) (end-use control relating to use in items exported or transferred without authorisation) F1... of the F2F3assimilated dual-use Regulation commits an offence and shall be liable on summary conviction to a fine not exceeding F4level 4 on the standard scale.

(2)

A person who—

(a)

contravenes a prohibition or restriction in Article 4(1) (WMD purposes end-use control) F5or Article 5(1) (brokering services) of the F6assimilated dual-use Regulation; or

(b)

fails to comply with the requirement in Article 4(4) (requirement to notify F7the Secretary of State in the case of awareness of end-use for F8certain military or WMD purposes) of the assimilated dual-use Regulation

commits an offence and may be arrested.

(3)

A person guilty of an offence under paragraph (2) shall be liable—

F9(a)

on summary conviction in F10... Scotland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding twelve months, or to both; or

F11(iii)

in England and Wales, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding the general limit in a magistrates’ court, or to both; or

(b)

on conviction on indictment to a fine or to imprisonment for a term not exceeding two years, or to both.

(4)

Subject to paragraph (8), a person knowingly concerned in an activity prohibited or restricted by Article 3(1), 4(1), 4(2), 4(3) F12, 5(1) F13... of the F14assimilated dual-use Regulation with intent to evade the relevant prohibition or restriction commits an offence and may be arrested.

(5)

A person guilty of an offence under paragraph (4) shall be liable—

F15(a)

on summary conviction in F16... Scotland, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding twelve months, or to both; or

F17(iii)

in England and Wales, to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding the general limit in a magistrates’ court, or to both; or

(b)

on conviction on indictment to a fine or to imprisonment for a term not exceeding ten years, or to both.

(6)

A person who fails to comply with F18Article 9(2) (provision of relevant information for export authorisation applications) or 10(2) (provision of relevant information for authorisation applications for brokering services) of the F19assimilated dual-use Regulation commits an offence and shall be liable on summary conviction to a fine not exceeding F20level 4 on the standard scale and any licence which may have been granted in connection with the application shall be void as from the time it was granted.

F21(7)

A person who fails to comply with Article 20 (record-keeping) F22... of the assimilated dual-use Regulation commits an offence and shall be liable on summary conviction to a fine not exceeding F23level 4 on the standard scale.

(8)

Paragraphs (1) and (4) do not create offences related to prohibitions or restrictions on the exportation of goods from the United Kingdom (as to which see CEMA).

(9)

In F24paragraphs (3)(a)(iii) and (5)(a)(iii) as they apply to England and Wales in the case of an offence committed before F252nd May 2022, for “F26the general limit in a magistrates’ court” substitute “six months”.

Annotations

Textual amendments

F1

Words in art. 35(1) omitted (31.12.2020) by virtue of The Export Control (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/137), regs. 1, 4(24)(a); 2020 c. 1, Sch. 5 para. 1(1)

F2

Words in art. 35 substituted (7.12.2022) by The Export Control (Amendment) (EU Exit) Regulations 2022 (S.I. 2022/1300), regs. 1(1), 9(2)(a)

F3

Word in art. 35(1) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 6 para. 4(2)(g)

F4

Words in art. 35(1) substituted (20.5.2025) by The Export Control (Amendment) Regulations 2025 (S.I. 2025/532), regs. 1(2), 3(2)

F5

Words in art. 35(2) inserted (27.8.2009) by The Export Control (Amendment) (No. 3) Order 2009 (S.I. 2009/2151), art. 1, Sch. para. 8(b)

F6

Word in art. 35(2)(a)(b) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 6 para. 4(2)(g)

F7

Words in art. 35(2) substituted (31.12.2020) by The Export Control (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/137), regs. 1, 4(24)(b); 2020 c. 1, Sch. 5 para. 1(1)

F8

Words in art. 35(2)(b) inserted (16.6.2009) by The Export Control (Amendment) Order 2009 (S.I. 2009/1305), arts. 1(1), 2

F9

Art. 35(3)(a) substituted (7.12.2022) by The Export Control (Amendment) (EU Exit) Regulations 2022 (S.I. 2022/1300), regs. 1(1), 9(2)(b)

F10

Words in art. 35(3)(a) omitted (7.2.2023 at 12.00 p.m.) by virtue of The Judicial Review and Courts Act 2022 (Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 32(2)

F11

Art. 35(3)(a)(iii) inserted (E.W.) (7.2.2023 at 12.00 p.m.) by virtue of The Judicial Review and Courts Act 2022 (Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 32(3)

F12

Words in art. 35(4) substituted (27.8.2009) by The Export Control (Amendment) (No. 3) Order 2009 (S.I. 2009/2151), art. 1, Sch. para. 8(c)

F13

Words in art. 35(4) omitted (31.12.2020) by virtue of The Export Control (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/137), regs. 1, 4(24)(c); 2020 c. 1, Sch. 5 para. 1(1)

F14

Word in art. 35(4) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 6 para. 4(2)(g)

F15

Art. 35(5)(a) substituted (7.12.2022) by The Export Control (Amendment) (EU Exit) Regulations 2022 (S.I. 2022/1300), regs. 1(1), 9(2)(c)

F16

Words in art. 35(5)(a) omitted (7.2.2023 at 12.00 p.m.) by virtue of The Judicial Review and Courts Act 2022 (Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 32(2)

F17

Art. 35(5)(a)(iii) inserted (E.W.) (7.2.2023 at 12.00 p.m.) by virtue of The Judicial Review and Courts Act 2022 (Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 32(3)

F18

Words in art. 35(6) substituted (27.8.2009) by The Export Control (Amendment) (No. 3) Order 2009 (S.I. 2009/2151), art. 1, Sch. para. 8(d)

F19

Word in art. 35(6)(7) substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 6 para. 4(2)(g)

F20

Words in art. 35(6) substituted (20.5.2025) by The Export Control (Amendment) Regulations 2025 (S.I. 2025/532), regs. 1(2), 3(2)

F21

Art. 35(7) substituted (27.8.2009) by The Export Control (Amendment) (No. 3) Order 2009 (S.I. 2009/2151), art. 1, Sch. para. 8(e)

F22

Words in art. 35(7) omitted (31.12.2020) by virtue of The Export Control (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/137), regs. 1, 4(24)(d); 2020 c. 1, Sch. 5 para. 1(1)

F23

Words in art. 35(7) substituted (20.5.2025) by The Export Control (Amendment) Regulations 2025 (S.I. 2025/532), regs. 1(2), 3(2)

F24

Words in art. 35(9) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022 (Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 32(5)

F25

Words in art. 35(9) substituted (28.4.2022) by The Criminal Justice Act 2003 (Commencement No. 33) and Sentencing Act 2020 (Commencement No. 2) Regulations 2022 (S.I. 2022/500), regs. 1(2), 5(2), Sch. Pt. 2

F26

Words in art. 35(9) substituted (7.2.2023 at 12.00 p.m.) by The Judicial Review and Courts Act 2022 (Magistrates’ Court Sentencing Powers) Regulations 2023 (S.I. 2023/149), regs. 1(2), 2(2), Sch. Pt. 2 table

F27

Words in art. 35 heading substituted (7.12.2022) by The Export Control (Amendment) (EU Exit) Regulations 2022 (S.I. 2022/1300), regs. 1(1), 9(1)

F28

Word in art. 35 heading substituted (27.2.2025) by The Retained EU Law (Revocation and Reform) Act 2023 (Consequential Amendments) Regulations 2025 (S.I. 2025/82), reg. 1(2), Sch. 6 para. 4(2)(g)