# The Iran (Sanctions) (Nuclear) (EU Exit) Regulations 2019

S.I. 2019/461 · made 5 March 2019 · revised to 29 September 2026

These Regulations are made under the Sanctions and Anti-Money Laundering Act 2018 (c.13) to establish a sanctions regime under that Act relating to nuclear activities in Iran. These Regulations are made for the purpose of complying with United Nations obligations and for the purposes of: encouraging Iran to abandon nuclear weapons programmes; restricting the ability of Iran to develop nuclear weapons and nuclear weapons delivery systems; and promoting implementation of the Joint Comprehensive Plan of Action agreed by Iran and others in 2015.

PDFs: Printed copy https://openlegislation.uk/iran-sanctions-nuclear-eu-exit-regulations-2019/pdf/uksi_20190461_en.pdf; UK Explanatory Memorandum https://openlegislation.uk/iran-sanctions-nuclear-eu-exit-regulations-2019/pdf/uksiem_20190461_en.pdf

## Introductory text

Exiting The European Union
Sanctions
Made 5th March 2019
Laid before Parliament 7th March 2019
Coming into force in accordance with regulation 1(2)
The Secretary of State , in exercise of the powers conferred by sections 1(1)(a) and (c) and (3), 3(1)(a), (b)(i) and (ii), (d)(i) and (ii) and (2)(b) and (c), 4, 5, 9(2)(a), 10(2)(a) and (c), (3) and (4), 11(2) to (9), 13, 15(2)(a) and (b), (3), (4)(b), (5) and (6), 16, 17(2) to (9), 19, 20, 21(1), 54(1)(a) and (2)(a), 56(1) and 62(4) to (6) of, and paragraphs 2(b), 3(a) and (b), 4(b) and (c), 5(a)(ii), (b), (c) and (d), 6(a)(ii), (b), 7(b), 11(a), 13(b), (h), (k), (l), (m), (n) and (w), 14(a), (f) and (k), 17, 19 to 23 and 27 of Schedule 1 to, the Sanctions and Anti-Money Laundering Act 2018 , and having decided, upon consideration of the matters set out in section 2(2) and 56(1) of that Act, that it is appropriate to do so, makes the following Regulations:

## Part 1: General

## 1 Citation and commencement

(1) These Regulations may be cited as the Iran (Sanctions) (Nuclear) (EU Exit) Regulations 2019.
(2) These Regulations come into force in accordance with regulations made by the Secretary of State under section 56 of the Act.

## 2 Interpretation

(1) In these Regulations—
“the Act” means the Sanctions and Anti-Money Laundering Act 2018;
“aircraft licence” means a licence issued by the Secretary of State under regulation 41A (aircraft licences);
“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 Committee” means the Committee of the Security Council established under paragraph 18 of resolution 1737;
“the Commissioners” means the Commissioners for Her Majesty's Revenue and Customs;
“conduct” includes acts and omissions;
“director disqualification licence” means a licence under regulation 40A;
“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 Iran Regulation” means Council Regulation (EU) No 267/2012 of 23 March 2012 concerning restrictive measures against Iran and repealing Regulation (EU) No 961/2010 as it has effect in EU law;
“the Government of Iran” includes its public bodies, corporations or agencies, its armed forces or any person acting on its behalf or at its direction;
“the Joint Comprehensive Plan of Action” means the document attached as Annex A to resolution 2231;
“non-UN designated person” means a person who is designated under regulation 5 for the purposes of regulations 12 to 17;
“resolution 1737” means resolution 1737 (2006) adopted by the Security Council on 23 December 2006;
“resolution 1747” means resolution 1747 (2007) adopted by the Security Council on 24 March 2007;
“resolution 1803” means resolution 1803 (2008) adopted by the Security Council on 3 March 2008;
“resolution 1929” means resolution 1929 (2010) adopted by the Security Council on 9 June 2010;
“resolution 2231” means resolution 2231 (2015) adopted by the Security Council on 20 July 2015;
“ships licence” means a licence issued by the Secretary of State under regulation 41B (ships licences);
“trade licence” means a licence under regulation 41;
“United Kingdom person” has the meaning given in section 21 of the Act;
“Treasury licence” means a licence under regulation 40(1).
(2) In these Regulations, a person is to be regarded as connected with Iran if the person is—
(a) an individual who is, or an association or combination of individuals who are, ordinarily resident in Iran,
(b) an individual who is, or an association or combination of individuals who are, located in Iran,
(c) a person, other than an individual, which is incorporated or constituted under the law of Iran,
(d) a person, other than an individual, which is domiciled in Iran, or
(e) a person, other than an individual, which is owned or controlled directly or indirectly (within the meaning of regulation 7) by a person within any of sub-paragraphs (a) to (d).

## 2A Interpretation: commodity codes

(1) For the purposes of these Regulations—
(a) a reference to a commodity code is a reference to the relevant corresponding provision in the Goods Classification Table;
(b) a thing “falls within” a commodity code if it is, or would be, classified under that commodity code, as set out in the Goods Classification Table;
(c) a thing “falls within” a chapter if it is, or would be, classified under that chapter, as set out in the Goods Classification Table;
(d) where a commodity code or chapter is preceded by “ex”, the goods specified in these Regulations constitute only a part of the scope of the commodity code or chapter and must fall within both the description given to that code or chapter in these Regulations and the scope of the code or chapter in the Goods Classification Table.
(2) For the purposes of determining whether or not a thing is, or would be, “classified” in accordance with paragraph (1), the rules of interpretation contained in the following have effect—
(a) Part Two (Goods Classification Table Rules of Interpretation) of the Tariff of the United Kingdom;
(b) notes to a section or chapter of the Goods Classification Table.
(3) For the purposes of this regulation—
“commodity code” includes a code denoting a heading or sub-heading;
“the Goods Classification Table” means the table so named in Annex I in Part Three of the Tariff of the United Kingdom;
“the Tariff of the United Kingdom” means the document containing the legal classification and import rate for products being imported into the United Kingdom, entitled “The Tariff of the United Kingdom”, as revised or re-issued from time to time, including by any document published under regulations made under section 8(1) of the Taxation (Cross-border Trade) Act 2018 replacing the same in whole or in part.

## 3 Application of prohibitions and requirements outside the United Kingdom

(1) A United Kingdom person may contravene a relevant prohibition by conduct wholly or partly outside the United Kingdom.
(2) Any person may contravene a relevant prohibition by conduct in the territorial sea.
(3) In this regulation a “relevant prohibition” means any prohibition imposed—
(a) by regulation 9(2) (confidential information),
(b) by Part 3 (Finance),
(c) by Part 5 (Trade), ...
(ca) by or under Part 5B (Ships), or
(d) by a condition of a Treasury licence , a trade licence or a ships 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) imposed 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 , a trade licence or a ships 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
(8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

## 4 Purposes

(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 abandonment by Iran of nuclear weapons programmes, and
(b) restricting the ability of Iran to develop nuclear weapons and nuclear weapons delivery systems, ...
(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
otherwise than by compliance with the relevant UN obligations.
(3) In this regulation “the relevant UN obligations” means—
(a) the obligation that the United Kingdom has by virtue of paragraph 12 of resolution 1737 (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;
(b) the obligations that the United Kingdom has by virtue of paragraph 12 of resolution 1737 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 12 of resolution 1737;
(c) the obligations that the United Kingdom has by virtue of paragraphs 3, 4, 6 and 7 of resolution 1737 and paragraph 8 of resolution 1803 (certain nuclear-related goods and technology and connected trade);
(d) the obligations that the United Kingdom has by virtue of paragraph 5 of resolution 1737 and paragraph 8 of resolution 1929 (arms and related materiel and connected trade);
(e) the obligations that the United Kingdom has by virtue of paragraph 7 of resolution 1929 (commercial activity involving uranium mining, nuclear materials, etc);
(f) the obligations that the United Kingdom has by virtue of paragraph 18 of resolution 1929 (bunkering services in respect of Iran-related ships);
(g) the obligations that the United Kingdom has by virtue of paragraph 22 of resolution 2231 (notification etc, related to certain activities).
(4) In paragraph (3)(a) and (b), the reference to paragraph 12 of resolution 1737 is a reference to that paragraph as read with—
(a) paragraph 4 of resolution 1747;
(b) paragraph 7 of resolution 1803;
(c) paragraphs 11, 12 and 19 of resolution 1929.
(5) In paragraph (3)(c), the reference to paragraphs 3, 4, 6 and 7 of resolution 1737 is a reference to those paragraphs as read with paragraph 13 of resolution 1929.

## Part 2: Designation of persons

## 5 Power to designate persons

(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 17 (asset-freeze etc);
(aa) regulation 18A (director disqualification sanctions);
(b) regulation 19 (immigration);
(c) regulation 33D (technical assistance relating to ships);
(d) regulation 36A (movement of aircraft);
(e) regulation 36G (prohibition on port entry);
(f) regulation 36I (movement of ships);
(g) regulation 36J (detention of ships);
(h) regulation 36K (registration of ships in the United Kingdom);
(i) regulation 43B (technical assistance relating to ships).
(2) The Secretary of State may designate different persons for the purposes of different provisions mentioned in paragraph (1).

## 5A Conditions for the designation of persons by name

(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”).

## 6 Designation criteria: meaning of “involved person”

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) For the purposes of regulation 5A an “involved person” means a person who—
(a) is or has been involved in a relevant nuclear 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) Any reference in this regulation to being involved in a relevant nuclear 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, or facilitating, a relevant nuclear activity;
(b) providing financial services , or making available funds or economic resources , that could contribute to a relevant nuclear activity;
(c) being involved in the supply to Iran of restricted goods or restricted technology, or in providing financial services relating to such supply; or
(d) being involved in assisting the contravention or circumvention of any relevant provision.
(4) In this regulation—
“relevant nuclear activity” means—
(a)the proliferation or development of nuclear weapons in, or for use in, Iran, or an activity that could lead to the development of nuclear weapons in, or for use in, Iran, or
(b)the development of a nuclear weapon delivery system in, or for use in, Iran;
“relevant provision” means—
(a)any provision of Part 3 (Finance) or Part 5 (Trade),
(b)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 5, or
(c)any provision of a relevant resolution;
“relevant resolution” means resolution 1737, resolution 1747, resolution 1803 or resolution 1929;
“restricted goods” and “restricted technology” have the same meaning as they have in Chapter 1 of Part 5.
(5) Nothing in any sub-paragraph of paragraph (3) is to be taken to limit the meaning of any of the other sub-paragraphs of that paragraph.

## 7 Meaning of “owned or controlled directly or indirectly”

(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.

## 8 Notification and publicity where designation power used

(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.

## 9 Confidential information in certain cases where designation power used

(1) Where the Secretary of State in accordance with regulation 8(6)(b) informs only certain persons of a designation, variation or revocation and (in the case of a designation) of the contents of the statement of reasons, the Secretary of State may specify that any of that information is to be treated as confidential.
(2) A person (“P”) who—
(a) is provided with information that is to be treated as confidential in accordance with paragraph (1), or
(b) otherwise obtains such information,
must not, subject to paragraph (3), disclose it if P knows, or has reasonable cause to suspect, that the information is to be treated as confidential.
(3) The prohibition in paragraph (2) does not apply to any disclosure made by P with lawful authority.
(4) For this purpose information is disclosed with lawful authority only if and to the extent that—
(a) the disclosure is by, or is authorised by, the Secretary of State,
(b) the disclosure is by or with the consent of the person who is or was the subject of the designation,
(c) the disclosure is necessary to give effect to a requirement imposed under or by virtue of these Regulations or any other enactment, or
(d) the disclosure is required, under rules of court, tribunal rules or a court or tribunal order, for the purposes of legal proceedings of any description.
(5) This regulation does not prevent the disclosure of information that is already, or has previously been, available to the public from other sources.
(6) A person who contravenes the prohibition in paragraph (2) commits an offence.
(7) The High Court (in Scotland, the Court of Session) may, on the application of—
(a) the person who is the subject of the information, or
(b) the Secretary of State,
grant an injunction (in Scotland, an interdict) to prevent a breach of the prohibition in paragraph (2).
(8) In paragraph (4)(c), “enactment” has the meaning given by section 54(6) of the Act.

## 10 Designation of persons named by or under UN Security Council Resolutions

(1) Each person for the time being named for the purposes of paragraph 12 of resolution 1737 by the Security Council or the Committee is a designated person for the purposes of regulations 12 to 17 (asset freeze etc) (whose purposes include compliance with the UN obligation mentioned in regulation 4(3)(a)).
(1A) In paragraph (1), the reference to paragraph 12 of resolution 1737 is a reference to that paragraph as read with—
(a) paragraph 4 of resolution 1747,
(b) paragraph 7 of resolution 1803, and
(c) paragraphs 11, 12 and 19 of resolution 1929.
(2) Nothing in this regulation affects the power under regulation 5 to designate persons (in addition to those designated by this regulation) for the purposes of regulations 12 to 17.

## 10A Insolvency

(1) To enable anything to be done in connection with—
(a) any insolvency and restructuring proceedings relating to an insolvent person,
(b) any other relevant proceedings relating to a person other than an individual, or
(c) proceedings under the insolvency law of a country other than the United Kingdom that correspond to the proceedings in paragraph (a) or (b),
provided that any payments made directly or indirectly to a designated person are credited to a frozen account.
(2) In this paragraph—
“enactment” has the meaning given in section 54(6) of the Act;
“insolvency and restructuring proceedings” includes—
(a) the regimes and proceedings set out in Parts A1 to 6 of the Insolvency Act 1986, Parts 1A to 7 of the Insolvency (Northern Ireland) Order 1989 and so much of Part 1 of that Order as applies for the purposes of those Parts, but excluding—
(i) proceedings under Chapter 3 of Part 4 (members’ voluntary winding up) of the Insolvency Act 1986, and
(ii) proceedings under Chapter 3 of Part 5 (members’ voluntary winding up) of the Insolvency (Northern Ireland) Order 1989;
(b) arrangements and reconstructions under Part 26 of the Companies Act 2006;
(c) arrangements and reconstructions for companies in financial difficulty under Part 26A of the Companies Act 2006;
(d) the proceedings and arrangements set out in the Bankruptcy (Scotland) Act 2016;
“insolvent person” means a person (“P”), other than an individual, where—
(a) P is unable to pay its debts as they fall due, or
(b) the value of P’s assets is less than the amount of its liabilities, taking into account its contingent and prospective liabilities;
“other relevant proceedings” means—
(a) the regimes and proceedings set out in—
(i) sections 367 and 377A to 377J of, or Schedule 19C to, the Financial Services and Markets Act 2000;
(ii) the Insurers (Reorganisation and Winding Up) (Lloyd’s) Regulations 2005;
(iii) Parts 1 to 3 of the Banking Act 2009 (including Parts 2 and 3 as applied to building societies by section 90C of the Building Societies Act 1986);
(iv) the Investment Bank Special Administration Regulations 2011;
(v) Part 6 of the Financial Services (Banking Reform) Act 2013;
(vi) the Payment and Electronic Money Institution Insolvency Regulations 2021;
(vii) Schedule 11 to the Financial Services and Markets Act 2023;
(b) proceedings under any other special administration regime;
“special administration regime” means provision made by an enactment for an insolvency procedure that—
(a) is similar or corresponds to the ordinary administration procedure provided for by Schedule B1 to the Insolvency Act 1986 or Schedule B1 to the Insolvency (Northern Ireland) Order 1989, and
(b) provides for the administrator to have one or more special objectives instead of or in addition to the objectives of ordinary administration.

## 10B Judicial decisions etc.

To enable the implementation or satisfaction (in whole or in part) of a judicial, administrative or arbitral decision or lien which is enforceable in the United Kingdom (the “judicial decision”), provided that—
(a) where funds or economic resources are made available to a designated person, they are credited to a frozen account or otherwise frozen by virtue of regulation 12;
(b) where funds or economic resources are made available by a person (including a designated person) to a designated person to enable the implementation or satisfaction of the judicial decision, no other designated person benefits, directly or indirectly.

## Part 3: Finance

### Chapter 1: Asset-freeze etc.

## 11 Meaning of “designated person” in Part 3

In this Part a “designated person” means—
(a) a person who is designated under regulation 5 for the purposes of regulations 12 to 17, or
(b) a person who is a designated person for the purposes of those regulations by reason of regulation 10.

## 12 Asset-freeze in relation to designated persons

(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.

## 13 Making funds available to 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.

## 14 Making funds available for benefit of 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.

## 15 Making economic resources available to designated person

(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.

## 16 Making economic resources available for benefit of 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.

### Chapter 2: Investment, financial services and financial markets

## 17 Financial messaging services

(1) A person (“P”) must not provide specialised financial messaging services to a designated person if P knows or has reasonable cause to suspect that P is providing such services 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.
(4) In paragraph (1), “specialised financial messaging services” means specialised services enabling credit or financial institutions to electronically transmit messages effecting financial transactions or containing information about financial transactions.

## 17A Investments in relation to Iran

(1) A person (“P”) must not directly or indirectly grant a loan or credit to a relevant person (“Q”), where P knows or has reasonable cause to suspect that Q is a relevant person.
(2) A person (“P”) must not directly or indirectly acquire or extend a participation, or acquire any ownership interest, in a relevant person (“Q”) who is not an individual, where P knows or has reasonable cause to suspect that Q is a relevant person.
(3) A person (“P”) must not directly or indirectly create a joint venture with a relevant person (“Q”), where P knows or has reasonable cause to suspect that Q is a relevant person.
(4) Paragraphs (1), (2) and (3) are subject to Part 6 (Exceptions and licences).
(5) A person who contravenes a prohibition in paragraph (1), (2) or (3) commits an offence.
(6) In this regulation, a “relevant person” is any person connected with Iran engaged in—
(a) the manufacture of—
(i) any thing falling within a commodity code mentioned in column 1 of the table in Part 2 of Schedule 4 to the 2023 Regulations, or
(ii) any item specified by description in Part 3 of Schedule 4 to the 2023 Regulations,
(b) the exploration for, or production of, oil or gas,
(c) the refining of fuels or the liquefaction of gas,
(d) the petrochemical industry, or
(e) uranium mining or the enrichment or reprocessing of uranium.
(7) In this regulation—
“the 2023 Regulations” mean the Iran (Sanctions) Regulations 2023;
“exploration”, in relation to oil and gas, includes the exploration for oil and gas reserves, prospecting for and management of oil and gas reserves, as well as the provision of geological services in relation to such reserves;
“petrochemical industry” means production plants for the manufacturing of any of the items listed in Annex V to the EU Iran Regulation;
“production”, in relation to oil and gas, includes bulk gas transmission services for the purpose of transit or delivery to directly interconnected grids;
“refining” means the processing, conditioning or preparation for the final sale of fuels.

## 17B UK credit or financial institutions: accounts and corresponding banking relationships etc.

(1) A UK credit or financial institution must not—
(a) open a bank account with,
(b) establish a correspondent banking relationship with, or
(c) establish a joint venture with,
a person falling within paragraph (5), if the UK credit or financial institution knows or has reasonable cause to suspect that the bank account, correspondent banking relationship or joint venture is with a person falling within paragraph (5).
(2) A UK credit or financial institution must not—
(a) open a representative office of that institution in Iran, or
(b) establish a branch or subsidiary of that institution in Iran.
(3) A person (“P”) must not—
(a) open a representative office or establish a branch or subsidiary in the United Kingdom of a person falling within paragraph (5);
(b) enter into an arrangement for, or on behalf of, a person falling within paragraph (5) which relates to the opening of a representative office or the establishment of a branch or subsidiary in the United Kingdom, if P knows or has reasonable cause to suspect that the arrangement is for, or on behalf of such a person;
(c) authorise the taking up and pursuit of new business by a representative office, branch or subsidiary of a person falling within paragraph (5), if the representative office, branch or subsidiary was not already authorised for such a purpose before 8th September 2026.
(4) A person falling within paragraph (5) must not directly or indirectly acquire or extend a participation, or acquire any ownership interest, in a UK credit or financial institution.
(5) The following persons fall within this paragraph—
(a) a credit or financial institution domiciled in Iran;
(b) a branch or subsidiary, wherever located, of a credit or financial institution domiciled in Iran;
(c) a credit or financial institution that is not domiciled in Iran, but is owned or controlled directly or indirectly (within the meaning of regulation 7) by a person domiciled in Iran.
(6) Paragraphs (1), (2), (3) and (4) are subject to Part 6 (Exceptions and licences).
(7) A person who contravenes a prohibition in paragraph (1), (2), (3) or (4) commits an offence.
(8) In this regulation—
“branch” means, in relation to a credit or financial institution domiciled in Iran, or a UK credit or financial institution, a place of business which forms a legally dependent part of that institution and which carries out all or some of the transactions inherent in the business of that institution;
“credit or financial institution domiciled in Iran” means—
(a)a person, other than an individual, which is domiciled in Iran and 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 a registered office, its head office) in the United Kingdom, or
(b)an undertaking domiciled in Iran which by way of business—
(i)operates a currency exchange,
(ii)transmits money (or any representation of monetary value) by any means, or
(iii)cashes cheques that are made payable to customers;
“subsidiary” has the meaning given in section 1159 of the Companies Act 2006;
“UK credit or financial institution” means—
(a)a person that has permission under Part 4A of the Financial Services and Markets Act 2000 (permission to carry on regulated activity), or
(b)an undertaking domiciled in the United Kingdom which by way of business—
(i)operates a currency exchange office,
(ii)transmits money (or any representation of monetary value) by any means, or
(iii)cashes cheques that are made payable to customers.

## 17C Insurance and reinsurance services

(1) A person (“P”) must not provide insurance or reinsurance services to a person falling within paragraph (2), if P knows or has reasonable cause to suspect that P is providing such services to a person falling with paragraph (2).
(2) A person (“Q”) falls within this paragraph if—
(a) Q is connected with Iran, or
(b) Q is acting on behalf of or at the direction of a person connected with Iran.
(3) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(4) A person who contravenes the prohibition in paragraph (1) commits an offence.
(5) Nothing in this regulation prohibits compliance with an insurance or reinsurance agreement concluded before 8th September 2026, provided that the agreement concerned was not prohibited at the date on which it was made.
(6) For the purposes of this regulation—
“insurance and reinsurance services” include the provision of services relating to the extension or renewal of an insurance or reinsurance agreement, except where there is an obligation, which arose before 8th September 2026, of the insurer or re-insurer to accept the extension or renewal;
“person acting at the direction of a person connected with Iran” does not include any person who is acting under a direction which is given in relation to a ship or aircraft for the purposes of docking, loading or unloading the ship or aircraft or for any purpose in connection with the safe transit of the ship or aircraft in the territorial sea adjacent to Iran or in the airspace above it.

## 17D Sale or purchase of bonds

(1) A person (“P”) must not directly or indirectly—
(a) sell to a person falling within paragraph (4), or
(b) purchase from such a person,
Iranian bonds or bonds guaranteed by the Government of Iran and issued after 8th September 2026 if P knows, or has reasonable cause to suspect, that the sale or purchase of such bonds is directly or indirectly to or from such a person.
(2) A person (“P”) must not provide brokering services to a person falling within paragraph (4) in respect of Iranian bonds or bonds guaranteed by the Government of Iran and issued after 8th September 2026, if P knows, or has reasonable cause to suspect, that the person falls within paragraph (4).
(3) A person (“P”) must not provide—
(a) brokering services,
(b) advertising services, or
(c) any other service,
if P knows, or has reasonable cause to suspect, that the provision of the service assists a person falling within paragraph (4) to issue Iranian bonds or bonds guaranteed by the Government of Iran.
(4) The following persons fall within this paragraph—
(a) the Government of Iran,
(b) a person falling within regulation 17B(5) (Iranian credit or financial institutions);
(c) a person acting on behalf of or at the direction of a person falling within sub-paragraph (a), or (b);
(d) a person, other than an individual, which is owned or controlled directly or indirectly (within the meaning of regulation 7) by a person falling within sub-paragraph (a), (b) or (c).
(5) Paragraphs (1) to (3) are subject to Part 6 (Exceptions and licences).
(6) A person who contravenes a prohibition in paragraph (1), (2) or (3) commits an offence.
(7) For the purposes of this regulation, “Iranian bonds” means bonds issued by the Government of Iran.

### Chapter 3: Further Provision

## 18 Circumventing etc prohibitions

(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 17D, 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.

## Part 3A: Director disqualification sanctions

## 18A Director disqualification sanctions

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.

## Part 4: Immigration

## 19 Immigration

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 .

## Part 5: Trade

### Chapter 1: Exports and related activities: restricted goods and restricted technology

## 20 Meaning of “restricted goods” and “restricted technology” in this Chapter

In this Chapter—
“restricted goods” means—
(za) maritime goods,
(a)military goods,
(b)missile-list goods,
(c)nuclear-list goods,
(d)graphite and relevant metals,
(e)other restricted goods;
“restricted technology” means—
(za) maritime technology,
(a)military technology,
(b)missile-list technology,
(c)nuclear-list technology,
(d)other restricted technology.
(e)...

## 21 Export of restricted goods to, or for use in, Iran

(1) The export of restricted goods to, or for use in, Iran is prohibited.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).

## 22 Supply and delivery of restricted goods from a third country to Iran

(1) A person must not directly or indirectly supply or deliver restricted goods from a third country to a place in Iran.
(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 Iran.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

## 23 Making available restricted goods and restricted technology

(1) A person must not—
(a) directly or indirectly make restricted goods or restricted technology available to a person connected with Iran;
(b) directly or indirectly make restricted goods or restricted technology available for use in Iran.
(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 Iran;
(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 Iran.

## 24 Transfer of restricted technology to a place in Iran or a person connected with Iran

(1) A person must not—
(a) transfer restricted technology to a place in Iran;
(b) transfer restricted technology to a person connected with Iran.
(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 Iran;
(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 Iran.

## 25 Technical assistance relating to restricted goods and restricted technology

(1) A person must not directly or indirectly provide technical assistance relating to restricted goods or restricted technology—
(a) to a person connected with Iran, or
(b) for use in Iran.
(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 Iran;
(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 Iran.

## 26 Financial services and funds relating to restricted goods and restricted technology

(1) A person must not directly or indirectly provide, to a person connected with Iran, financial services in pursuance of or in connection with an arrangement whose object or effect is—
(a) the export of restricted goods,
(b) the direct or indirect supply or delivery of restricted goods,
(c) directly or indirectly making restricted goods or restricted technology available to a person,
(d) the transfer of restricted technology, or
(e) the direct or indirect provision of technical assistance relating to restricted goods or restricted technology.
(2) A person must not directly or indirectly make funds available to a person connected with Iran in pursuance of or in connection with an arrangement mentioned in paragraph (1).
(3) A person must not directly or indirectly provide financial services or funds in pursuance of or in connection with an arrangement whose object or effect is—
(a) the export of restricted goods to, or for use in, Iran,
(b) the direct or indirect supply or delivery of restricted goods to a place in Iran,
(c) directly or indirectly making restricted goods or restricted technology available—
(i) to a person connected with Iran, or
(ii) for use in Iran,
(d) the transfer of restricted technology—
(i) to a person connected with Iran, or
(ii) for use in Iran,
(e) the direct or indirect provision of technical assistance relating to restricted goods—
(i) to a person connected with Iran, or
(ii) for use in Iran.
(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 Iran;
(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.

## 27 Brokering services: non-UK activity relating to restricted goods and restricted technology

(1) A person must not directly or indirectly provide brokering services in relation to an arrangement (“arrangement A”) whose object or effect is—
(a) the direct or indirect supply or delivery of restricted goods from a third country to a place in Iran;
(b) directly or indirectly making restricted goods available in a third country for direct or indirect supply or delivery—
(i) to a person connected with Iran, or
(ii) to a place in Iran;
(c) directly or indirectly making restricted technology available in a third country for transfer—
(i) to a person connected with Iran, or
(ii) to a place in Iran;
(d) the transfer of restricted technology from a place in a third country—
(i) to a person connected with Iran, or
(ii) to a place in Iran;
(e) the direct or indirect provision, in a non-UK country, of technical assistance relating to restricted goods or restricted technology—
(i) to a person connected with Iran, or
(ii) for use in Iran;
(f) the direct or indirect provision, in a non-UK country, of financial services—
(i) to a person connected with Iran, 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 Iran, 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 or the Isle of Man;
...
(5) For the purposes of this regulation, the definition of “country” in section 62(1) of the Act does not apply.

### Chapter 1A: Exports and related activities: gold, precious metals and diamonds

## 27A Export of gold, precious metals and diamonds to Iran

(1) The export of gold, precious metals or diamonds to, or for use in, Iran is prohibited.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).

## 27B Supply and delivery of gold, precious metals and diamonds to Iran

(1) A person must not directly or indirectly supply or deliver gold, precious metals or diamonds from a third country to a place in Iran.
(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 gold, precious metals or diamonds were destined (or ultimately destined) for Iran.

## 27C Making available gold, precious metals and diamonds

(1) A person must not directly or indirectly make gold, precious metals or diamonds available—
(a) to a person connected with Iran, or
(b) for use in Iran.
(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 Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the gold, precious metals or diamonds were for use in Iran.

## 27D Technical assistance relating to gold, precious metals and diamonds

(1) A person must not directly or indirectly provide technical assistance relating to gold, precious metals or diamonds—
(a) to a person connected with Iran, or
(b) for use in Iran.
(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 Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the gold, precious metals or diamonds were for use in Iran.

## 27E Financial services and funds relating to gold, precious metals and diamonds

(1) A person must not directly or indirectly provide, to a person connected with Iran, financial services in pursuance of or in connection with an arrangement whose object or effect is—
(a) the export of gold, precious metals or diamonds,
(b) the direct or indirect supply or delivery of gold, precious metals or diamonds,
(c) directly or indirectly making available gold, precious metals or diamonds to a person, or
(d) the direct or indirect provision of technical assistance relating to gold, precious metals or diamonds.
(2) A person must not directly or indirectly make funds available to a person connected with Iran 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 gold, precious metals or diamonds to, or for use in, Iran,
(b) the direct or indirect supply or delivery of gold, precious metals or diamonds to a place in Iran,
(c) directly or indirectly making available gold, precious metals or diamonds—
(i) to a person connected with Iran, or
(ii) for use in Iran, or
(d) the direct or indirect provision of technical assistance relating to gold, precious metals or diamonds—
(i) to a person connected with Iran, or
(ii) for use in Iran.
(4) Paragraphs (1), (2) and (3) are subject to Part 6 (Exceptions and licences).
(5) A person who contravenes a prohibition in paragraph (1), (2) or (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 Iran;
(b) it is a defence for a person charged with an offence of contravening paragraph (3) (“Q”) to show that Q 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.

## 27F Brokering services relating to gold, precious metals and diamonds

(1) A person must not directly or indirectly provide brokering services in relation to any arrangements described in regulation 27E(1) to (3).
(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) It is a defence for a person charged with an offence of contravening paragraph (1) (“P”) to show that P 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.

### Chapter 1B: Exports and related activities: energy-related goods and energy-related technology

## 27G Interpretation

For the purposes of this Chapter “Iran” includes Iran's exclusive economic zone and continental shelf (which terms are to be interpreted in accordance with the United Nations Convention on the Law of the Sea).

## 27H Export of energy-related goods

(1) The export of energy-related goods to, or for use in, Iran is prohibited.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).

## 27I Supply and delivery of energy-related goods

(1) A person must not directly or indirectly supply or deliver energy-related goods from a third country to a place in Iran.
(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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the goods were destined (or ultimately destined) for Iran.

## 27J Making energy-related goods and energy-related technology available

(1) A person must not directly or indirectly make energy-related goods or energy-related technology available—
(a) to a person connected with Iran, or
(b) for use in Iran.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(3) A person who contravenes a prohibition in paragraph (1)(a) commits an offence, but it is a defence for a person charged with that offence (“Q”) to show that Q did not know and had no reasonable cause to suspect that the person was connected with Iran.
(3) A person who contravenes a prohibition in paragraph (1)(b) 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 goods or technology were for use in Iran.

## 27K Transfer of energy-related technology

(1) A person must not transfer energy-related technology—
(a) to a person connected with Iran;
(b) to a place in Iran.
(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 Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the transfer was to a place in Iran.

## 27L Technical assistance relating to energy-related goods and energy-related technology

(1) A person must not directly or indirectly provide technical assistance relating to energy-related goods or energy-related technology—
(a) to a person connected with Iran, or
(b) for use in Iran.
(2) Paragraph (1) is subject to Part 6 (Exception and licences).
(3) A person who contravenes a prohibition in paragraph (1) commits an offence, but—
(a) it is a defence for a person charged with an offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Iran;
(b) it is a defence for a person charged with an offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the goods or technology were for use in Iran.

## 27M Financial services and funds relating to energy-related goods and energy-related technology

(1) A person must not directly or indirectly provide, to a person connected with Iran, financial services in pursuance of or in connection with an arrangement whose object or effect is—
(a) the export of energy-related goods,
(b) the direct or indirect supply or delivery of energy-related goods,
(c) directly or indirectly making energy-related goods or energy-related technology available to a person,
(d) the transfer of energy-related technology, or
(e) the direct or indirect provision of technical assistance relating to energy-related goods or energy-related technology.
(2) A person must not directly or indirectly make funds available to a person connected with Iran 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 energy-related goods to, or for use in, Iran,
(b) the direct or indirect supply or delivery of energy-related goods to a place in Iran,
(c) directly or indirectly making energy-related goods or energy-related technology available—
(i) to a person connected with Iran, or
(ii) for use in Iran,
(d) the transfer of energy-related technology—
(i) to a person connected with Iran, or
(ii) to a place in Iran, or
(e) the direct or indirect provision of technical assistance relating to energy-related goods or energy-related technology—
(i) to a person connected with Iran, or
(ii) for use in Iran.
(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 a prohibition in 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 Iran;
(b) it is a defence for a person charged with an offence of contravening a prohibition in paragraph (3) (“Q”) to show that Q 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 that paragraph.

## 27N Brokering services: non-UK activity relating to energy-related goods and energy-related technology.

(1) A person (“P”) 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 energy-related goods from a third country to a place in Iran;
(b) directly or indirectly making energy-related goods or energy-related technology available in a third country for direct or indirect supply or delivery—
(i) to a person connected with Iran, or
(ii) to a place in Iran;
(c) the direct or indirect provision, in a non-UK country, of technical assistance relating to energy-related goods or technology—
(i) to a person connected with Iran, or
(ii) for use in Iran;
(d) the transfer of energy-related technology from a place in a third country—
(i) to a person connected with Iran, or
(ii) to a place in Iran;
(e) the direct or indirect provision, in a non-UK country, of financial services—
(i) to a person connected with Iran, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 27M(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 27M(3);
(f) directly or indirectly making funds available, in a non-UK country, to a person connected with Iran, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 27M(1); or
(g) 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 27M(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 (“P”) to show that P 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.

## 27O Prohibition on providing relevant energy-related services

(1) A person must not provide, directly or indirectly, relevant energy 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, 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 P was providing relevant energy services.
(4) In this regulation—
“oil or gas exploration” includes the exploration for and management of oil and gas reserves, as well as the provision of geological services in relation to such reserves;
“oil or gas production” includes bulk transmission services for the purpose of transit or delivery to directly interconnected grids;
“relevant energy services” means any of the following services which are necessary for an oil or gas exploration project in Iran or an oil or gas production project in Iran—
(a)drilling;
(b)well testing;
(c)logging and completion services;
(d)supply of specialised floating vessels.

### Chapter 1C: Sectoral software goods and sectoral software and technology

## 27P Export of sectoral software goods

(1) The export of sectoral software goods to, or for use in, Iran is prohibited.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).

## 27Q Supply and delivery of sectoral software goods

(1) A person must not directly or indirectly supply or deliver sectoral software goods from a third country to a place in Iran.
(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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the goods were destined (or ultimately destined) for Iran.

## 27R Making sectoral software goods and sectoral software and technology available

(1) A person must not directly or indirectly make sectoral software goods or sectoral software and technology available—
(a) to a person connected with Iran, or
(b) for use in Iran.
(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 an offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the sectoral software goods or sectoral software and technology were for use in Iran.

## 27S Transfer of sectoral software and technology

(1) A person must not transfer sectoral software and technology—
(a) to a person connected with Iran, or
(b) to a place in Iran.
(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 Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the transfer was to a place in Iran.

## 27T Technical assistance relating to sectoral software goods, and sectoral software and technology

(1) A person must not directly or indirectly provide technical assistance relating to sectoral software goods or sectoral software and technology—
(a) to a person connected with Iran, or
(b) for use in Iran.
(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 an offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Iran;
(b) it is a defence for a person charged with an offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the sectoral software goods, or sectoral software and technology were for use in Iran.

## 27U Financial services and funds relating to sectoral software goods and sectoral software and technology

(1) A person must not directly or indirectly provide, to a person connected with Iran, financial services in pursuance of or in connection with an arrangement whose object or effect is—
(a) the export of sectoral software goods,
(b) the direct or indirect supply or delivery of sectoral software goods,
(c) directly or indirectly making sectoral software goods or sectoral software and technology available to a person,
(d) the transfer of sectoral software and technology, or
(e) the direct or indirect provision of technical assistance relating to sectoral software goods or sectoral software and technology.
(2) A person must not directly or indirectly make funds available to a person connected with Iran 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 sectoral software goods to, or for use in, Iran,
(b) the direct or indirect supply of delivery of sectoral software goods to a place in Iran,
(c) directly or indirectly making sectoral software goods or sectoral software and technology available—
(i) to a person connected with Iran, or
(ii) for use in Iran,
(d) the transfer of sectoral software and technology—
(i) to a person connected with Iran, or
(ii) to a place in Iran, or
(e) the direct or indirect provision of technical assistance relating to sectoral software goods or sectoral software and technology—
(i) to a person connected with Iran, or
(ii) for use in Iran.
(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 Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (3) (“Q”) to show that Q 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.

## 27V Brokering services: non-UK activity relating to sectoral software goods and sectoral software and technology

(1) A person must not directly or indirectly provide brokering services in relation to an arrangement (“arrangement A”) whose object or effect is—
(a) directly or indirectly making sectoral software goods or sectoral software and technology available in a third country for transfer—
(i) to a person connected with Iran, or
(ii) to a place in Iran;
(b) the transfer of sectoral software and technology from a place in a third country—
(i) to a person connected with Iran, or
(ii) to a place in Iran;
(c) the direct or indirect provision, in a non-UK country, of technical assistance relating to sectoral software goods or sectoral software and technology—
(i) to a person connected with Iran, or
(ii) for use in Iran;
(d) the direct or indirect provision, in a non-UK country, of financial services—
(i) to a person connected with Iran, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 27U(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 27U(3);
(e) directly or indirectly making funds available, in a non-UK country, to a person connected with Iran, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 27U(1); or
(f) 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 27U(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 (“P”) to show that P did not know and had no reasonable cause to suspect that the brokering services were provided in relation to an arrangement described in that paragraph.
(4) In this regulation, “non-UK country” means a country that is not the United Kingdom.

### Chapter 2: Imports and related activities: certain goods and technology

## 27W Interpretation of Chapter 2

In this Chapter—
“relevant goods and technology” means—
(a)military goods;
(b)missile-list goods;
(c)nuclear-list goods;
(d)other restricted goods;
(e)military technology;
(f)missile-list technology;
(g)nuclear-list technology;
(h)other restricted technology;
“relevant technology” means—
(a)military technology;
(b)missile-list technology;
(c)nuclear-list technology;
(d)other restricted technology.

## 28 Import of certain goods from Iran

(1) The import of the following goods, where they are consigned from Iran, is prohibited—
(a) arms and related materiel;
(b) missile-list goods;
(c) nuclear-list goods;
(d) other restricted goods.
(2) The import of the goods mentioned in paragraph (1), where they originate in Iran, is prohibited.
(3) Paragraphs (1) and (2) are subject to Part 6 (Exceptions and licences).
(4) In this regulation, “arms and related materiel” means—
(a) military goods;
(b) any goods from time to time falling with Chapter 93 of the Goods Classification Table, other than military goods.
(5) For the purposes of the definition of “arms and related materiel” in paragraph (4)—
“the Goods Classification Table” means the table so named in Annex I in Part Three of the Tariff of the United Kingdom;
“the Tariff of the United Kingdom” means the document containing the legal classification and import rate for products being imported into the United Kingdom, entitled “The Tariff of the United Kingdom”, as revised or re-issued from time to time, including by any document published under regulations made under section 8(1) of the Taxation (Cross-border Trade) Act 2018 replacing the same in whole or in part.

## 29 Supply and delivery of certain goods to a third country from a place in Iran

(1) A person must not directly or indirectly supply or deliver the following goods from a place in Iran to a third country—
(a) military goods;
(b) missile-list goods;
(c) nuclear-list goods;
(d) other restricted goods.
(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 the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Iran, whether directly or indirectly.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

## 30 Acquisition of relevant goods and technology which are located in Iran or originate in Iran

(1) A person must not directly or indirectly acquire relevant goods and technology —
(a) which originate in Iran, or
(b) which are located in Iran.
(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 goods or technology originated in Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the goods or technology were located in Iran.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

## 31 Transfer of relevant technology from a place in Iran

(1) A person must not transfer relevant technology to persons outside the United Kingdom or to a place outside the United Kingdom, where the transfer is from a place in Iran.
(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 the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the transfer was from a place in Iran.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

## 31A Technical assistance relating to relevant goods and technology

(1) A person must not directly or indirectly provide technical assistance to any person relating to—
(a) the import of goods mentioned in regulation 28(1) which—
(i) originate in Iran, or
(ii) are consigned from Iran,
(b) the direct or indirect acquisition of relevant goods and technology which—
(i) originate in Iran, or
(ii) are located in Iran,
(c) the direct or indirect supply and delivery of goods referred to in regulation 29(1) from a place in Iran to a third country, or
(d) the transfer of relevant technology from a place in Iran—
(i) to persons outside the United Kingdom, or
(ii) to a place other than the United Kingdom.
(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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the technical assistance related to any matter referred to in paragraph (1).

## 31B Financial services and funds relating to relevant goods and technology

(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 goods mentioned in regulation 28(1) which—
(i) originate in Iran, or
(ii) are consigned from Iran,
(b) the direct or indirect acquisition of relevant goods and technology which—
(i) originate in Iran, or
(ii) are located in Iran,
(c) the direct or indirect supply and delivery of goods mentioned in regulation 29(1) from a place in Iran to a third country, or
(d) the transfer of relevant technology from a place in Iran—
(i) to persons outside the United Kingdom, or
(ii) to a place other than the United Kingdom.
(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 the offence of contravening paragraph (1) (“P”) to show that P 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 paragraph (1).

## 31C Brokering services relating to relevant goods and technology

(1) A person must not directly or indirectly provide brokering services in relation to any arrangement described in regulation 31B(1).
(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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the brokering services were being provided in relation to an arrangement mentioned in regulation 31B(1).

### Chapter 2A: Imports and related activities: gold, precious metals and diamonds

## 31D Import of gold, precious metals and diamonds

(1) The import of gold, precious metals or diamonds which are consigned from Iran is prohibited.
(2) The import of gold, precious metals or diamonds which originate in Iran is prohibited.
(3) Paragraphs (1) and (2) are subject to Part 6 (Exceptions and licences).

## 31E Acquisition of gold, precious metals and diamonds

(1) A person must not directly or indirectly acquire gold, precious metals or diamonds which—
(a) originate in Iran, or
(b) are located in Iran.
(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 the prohibition in paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the gold, precious metals or diamonds originated in Iran,
(b) it is a defence for a person charged with the offence of contravening the prohibition in paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the gold, precious metals or diamonds were located in Iran.

## 31F Supply and delivery of gold, precious metals and diamonds from a place in Iran

(1) A person must not directly or indirectly supply or deliver gold, precious metals or diamonds from a place in Iran to a third country.
(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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Iran, whether directly or indirectly.

## 31G Technical assistance relating to gold, precious metals and diamonds

(1) A person must not directly or indirectly provide technical assistance to any person relating to—
(a) the import of gold, precious metals or diamonds which—
(i) originate in Iran, or
(ii) are consigned from Iran,
(b) the direct or indirect acquisition of gold, precious metals or diamonds which—
(i) originate in Iran, or
(ii) are located in Iran, or
(c) the supply and delivery of gold, precious metals or diamonds from a place in Iran to a third country.
(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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the technical assistance related to any matter referred to that paragraph.

## 31H Financial services and funds relating to gold, precious metals and diamonds

(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 gold, precious metals or diamonds which—
(i) originate in Iran, or
(ii) are consigned from Iran,
(b) the direct or indirect acquisition of gold, precious metals or diamonds which—
(i) originate in Iran, or
(ii) are located in Iran, or
(c) the supply and delivery of gold, precious metals or diamonds from a place in Iran to a third country.
(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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the financial services or funds (as the case may be) were being provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

## 31I Brokering services relating to gold, precious metals and diamonds

(1) A person must not directly or indirectly provide brokering services in relation to any arrangement described in regulation 31H(1).
(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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the brokering services were being provided in relation to an arrangement described in regulation 31H(1).

### Chapter 2B: Imports and related activities: oil and petroleum products

## 31J Import of oil and petroleum products

(1) The import of oil and petroleum products which are consigned from Iran is prohibited.
(2) The import of oil and petroleum products which originate in Iran is prohibited.
(3) Paragraphs (1) and (2) are subject to Part 6 (Exceptions and licences).

## 31K Acquisition of oil and petroleum products

(1) A person must not directly or indirectly acquire oil and petroleum products—
(a) which originate in Iran, or
(b) which are located in Iran.
(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 goods originated in Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the goods were located in Iran.

## 31L Supply and delivery of oil and petroleum products

(1) A person must not directly or indirectly supply or deliver oil and petroleum products from a place in Iran to a third country.
(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 (“P”) charged with the offence of contravening paragraph (1) to show that P did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Iran, whether directly or indirectly.

## 31M Technical assistance relating to oil and petroleum products

(1) A person must not directly or indirectly provide technical assistance relating to—
(a) the import of oil and petroleum products which—
(i) originate in Iran, or
(ii) are consigned from Iran,
(b) the direct or indirect acquisition of oil and petroleum products which—
(i) originate in Iran, or
(ii) are located in Iran, or
(c) the direct or indirect supply or delivery of oil and petroleum products from a place in Iran to a third country.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(3) A person who contravenes any of the prohibitions in paragraph (1) commits an offence, but—
(a) it is a defence for a person charged with an offence of contravening paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;
(b) it is a defence for a person charged with an offence of contravening paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;
(c) it is a defence for a person charged with an offence of contravening paragraph (1)(c), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to a supply or delivery described in that paragraph.

## 31N Financial services and funds relating to oil and petroleum products

(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 oil and petroleum products which—
(i) originate in Iran, or
(ii) are consigned from Iran,
(b) the direct or indirect acquisition of oil and petroleum products which—
(i) originate in Iran, or
(ii) are located in Iran, or
(c) the direct or indirect supply or delivery of oil and petroleum products from a place in Iran to a third country.
(2) Paragraph (1) is are 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 financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

## 31O Brokering services relating to oil and petroleum products

(1) A person must not directly or indirectly provide brokering services in relation to any arrangement described in regulation 31N(1).
(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 (“P”) to show that P 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.

### Chapter 2C: Imports and related activities: petrochemicals

## 31P Import of petrochemicals

(1) The import of petrochemicals which are consigned from Iran is prohibited.
(2) The import of petrochemicals which originate in Iran is prohibited.
(3) Paragraphs (1) and (2) are subject to Part 6 (Exceptions and licences).

## 31Q Acquisition of petrochemicals

(1) A person must not directly or indirectly acquire petrochemicals which—
(a) originate in Iran, or
(b) are located in Iran.
(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 goods originated in Iran;
(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 goods were located in Iran.

## 31R Supply and delivery of petrochemicals to a third country

(1) A person must not directly or indirectly supply or deliver petrochemicals from a place in Iran to a third country.
(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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Iran, whether directly or indirectly.

## 31S Technical assistance relating to petrochemicals

(1) A person must not directly or indirectly provide technical assistance relating to—
(a) the import of petrochemicals which—
(i) originate in Iran, or
(ii) are consigned from Iran;
(b) the direct or indirect acquisition of petrochemicals which—
(i) originate in Iran, or
(ii) are located in Iran;
(c) the direct or indirect supply or delivery of petrochemicals from a place in Iran to a third country.
(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 an offence of contravening paragraph (1)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;
(b) it is a defence for a person charged with an offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;
(c) it is a defence for a person charged with an offence of contravening paragraph (1)(c) (“R”) to show that R did not know and had no reasonable cause to suspect that the technical assistance related to a supply or delivery described in that paragraph.

## 31T Financial services and funds relating to petrochemicals

(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 petrochemicals which—
(i) originate in Iran, or
(ii) are consigned from Iran;
(b) the direct or indirect acquisition of petrochemicals which—
(i) originate in Iran, or
(ii) are located in Iran;
(c) the direct or indirect supply or delivery of petrochemicals from a place in Iran to a third country.
(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 financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

## 31U Brokering services relating to petrochemicals

(1) A person must not directly or indirectly provide brokering services in relation to any arrangement described in regulation 31T(1).
(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 (“P”) to show that P 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.

### Chapter 2D: Imports and related activities: natural gas

## 31V Import of natural gas

(1) The import of natural gas which is consigned from Iran is prohibited.
(2) The import of natural gas which originates in Iran is prohibited.
(3) Paragraphs (1) and (2) are subject to Part 6 (Exceptions and licences).

## 31W Acquisition of natural gas

(1) A person must not directly or indirectly acquire natural gas—
(a) which originates in Iran, or
(b) which is located in Iran.
(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 natural gas originated in Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the natural gas was located in Iran.

## 31X Supply and delivery of natural gas to a third country

(1) A person must not directly or indirectly supply or deliver natural gas from a place in Iran to a third country.
(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 the offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the supply or delivery was from a place in Iran, whether directly or indirectly.

## 31Y Technical assistance relating to natural gas

(1) A person must not directly or indirectly provide technical assistance relating to—
(a) the import of natural gas which—
(i) originates in Iran, or
(ii) is consigned from Iran;
(b) the direct or indirect acquisition of natural gas which—
(i) originates in Iran, or
(ii) is located in Iran;
(c) the direct or indirect supply or delivery of natural gas from a place in Iran to a third country.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(3) A person who contravenes any of the prohibitions in paragraph (1) commits an offence, but—
(a) it is a defence for a person charged with an offence of contravening paragraph (1)(a), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an import described in that paragraph;
(b) it is a defence for a person charged with an offence of contravening paragraph (1)(b), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to an acquisition described in that paragraph;
(c) it is a defence for a person charged with an offence of contravening paragraph (1)(c), to show that the person did not know and had no reasonable cause to suspect that the technical assistance related to a supply or delivery described in that paragraph.

## 31Z Financial services and funds relating to natural gas

(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 natural gas which—
(i) originates in Iran, or
(ii) is consigned from Iran;
(b) the direct or indirect acquisition of natural gas which—
(i) originates in Iran, or
(ii) is located in Iran;
(c) the direct or indirect supply of natural gas from a place in Iran to a third country.
(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 financial services or funds (as the case may be) were provided in pursuance of or in connection with an arrangement mentioned in that paragraph.

## 31Z1 Brokering services relating to natural gas

(1) A person must not directly or indirectly provide brokering services in relation to any arrangement described in regulation 31Z(1).
(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 (“P”) to show that P 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.

### Chapter 3: Other trade restrictions relation to Iran

## 32 Arrangements relating to uranium mining and certain restricted goods and technology

(1) A person must not enter into an arrangement with a relevant person (“P”) where the object or effect of that arrangement is to enable P to participate in, or increase P's participation in—
(a) a commercial activity involving uranium mining;
(b) a commercial activity involving the production or use of nuclear-list goods falling within paragraph (2) or nuclear-list technology falling within paragraph (2);
(c) a commercial activity involving missile-list goods or missile-list technology;
(d) a commercial activity involving the production of military goods or military technology; or
(e) a commercial activity involving other restricted goods or other restricted technology.
(2) Nuclear-list goods and nuclear-list technology fall within this paragraph if they are specified from time to time in the International Atomic Energy Agency document mentioned in regulation 34(2)(a)(i) or in any different version of that document as mentioned in regulation 34(2)(b).
(3) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(4) A person who contravenes a prohibition in paragraph (1) commits an offence but it is a defence to show that the person did not know and had no reasonable cause to suspect that the arrangement was an arrangement mentioned in that paragraph.
(5) In this regulation—
“arrangement” includes the acceptance of a loan or credit from a relevant person;
“commercial activity” means an activity which is carried on for a commercial purpose;
“participation” includes participation independently or as part of a joint venture or partnership (and “participate” is to be construed accordingly);
“relevant person” means—
(a)a person connected with Iran;
(b)any person acting on behalf of, or at the direction of, a person connected with Iran.
(6) Nothing in this regulation is to be taken to limit the meaning of any prohibition in Chapter 1 or 2.

## 33 Services in relation to certain ships and aircraft

(1) A person must not provide—
(a) bunkering or ship supply services in relation to a ship owned or controlled, directly or indirectly, by a person connected with Iran, where the ship is carrying relevant restricted items;
(b) engineering or maintenance services in relation to a cargo aircraft owned or controlled, directly or indirectly, by a person connected with Iran, where the aircraft is carrying relevant restricted items.
(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—
(a) that the ship or aircraft in question was owned or controlled, directly or indirectly, by a person connected with Iran; or
(b) that the ship or aircraft in question was carrying relevant restricted items.
(4) In this regulation—
“bunkering or ship supply services” includes—
(a)the supply of goods for use in a ship including fuel and spare parts, whether or not for immediate use, and
(b)any other servicing of a ship;
“relevant restricted items” means any military goods, military technology, missile-list goods or missile-list technology which have been, or are being, dealt with in contravention of a prohibition—
(a)in any of regulations 21 to 24 (trade prohibitions relating to restricted goods and restricted technology),
(b)in any of regulations 28 to 31 (import, supply, transfer etc of goods and technology from Iran), or
(c)imposed by a condition of a trade licence in relation to a prohibition mentioned in paragraph (i) or (ii);
“ship” and “aircraft” have the meanings given in paragraph 37 of Schedule 1 to the Act.

## 33A Banknotes and coinage

(1) The export of restricted banknotes or coinage to, or for the benefit of, the Central Bank of Iran is prohibited.
(2) A person must not directly or indirectly—
(a) supply or deliver restricted banknotes or coinage from a third country to, or for the benefit of, the Central Bank of Iran;
(b) make banknotes or coinage available to, or for the benefit of, the Central Bank of Iran.
(3) Paragraphs (1) and (2) are subject to Part 6 (Exceptions and licences).
(4) A person who contravenes a prohibition in paragraph (2) commits an offence, but—
(a) it is a defence for a person charged with an offence of contravening paragraph (2)(a) (“P”) to show that P did not know and had no reasonable cause to suspect that the person to whom, or for whose benefit, the banknotes or coinage were supplied or delivered was the Central Bank of Iran;
(b) it is a defence for a person charged with an offence of contravening paragraph (2)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the person to whom, or for whose benefit, the banknotes or coinage were made available was the Central Bank of Iran.

## 33B Making available certain vessels

(1) A person must not directly or indirectly make available a vessel designed or modified for the transport or storage of oil and petroleum products—
(a) to any person connected to Iran, or
(b) for the benefit of, or for use in, Iran.
(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 Iran;
(b) it is a defence for a person charged with the offence of contravening paragraph (1)(b) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the vessel was for the benefit of, or for use in, Iran.
(4) In this regulation, “vessel” means any thing falling within commodity code 8901 90 (other vessels for the transport of goods and other vessels for the transport of both persons and goods).

## 33C Technical assistance relating to certain tankers and cargo vessels

(1) A person must not directly or indirectly provide technical assistance relating to a tanker or cargo vessel to, or for the benefit of, a person connected with Iran.
(2) A person must not directly or indirectly—
(a) provide financial services, or
(b) make funds available,
in pursuance of or in connection with an arrangement whose object or effect is the provision of technical assistance referred to in paragraph (1).
(4) Paragraphs (1) and (2) are subject to Part 6 (Exceptions and licences).
(5) A person who contravenes a prohibition in paragraphs (1) or (2) commits an offence, but—
(a) it is a defence for a person charged with an offence of contravening paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the technical assistance was provided to, or for the benefit of, a person connected to Iran;
(b) it is a defence for a person charged with an offence of contravening paragraph (2) (“Q”) to show that Q 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 paragraph (2).
(6) In this regulation, “tanker or cargo vessel” means any thing which falls within the following commodity codes—
(a) 8901 2010 (seagoing tankers);
(b) 8901 20 90 (other tankers);
(c) 8901 30 10 (seagoing refrigerated vessels);
(d) 8901 30 90 (other refrigerated vessels);
(e) 8901 90 00 (other seagoing vessels for the transport of goods and other vessels for the transport of both persons and goods);
(f) 8901 9090 00 (other vessels for the transport of goods and other vessels for the transport of both persons and goods).

## 33D Technical assistance relating to ships

(1) A person must not directly or indirectly provide technical assistance relating to a ship to, or for the benefit of, a designated person.
(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 paragraph (1) (“P”) to show that P did not know and had no reasonable cause to suspect that the technical assistance was provided to, or for the benefit of, a designated person.
(4) In this regulation, “designated person” means a person designated under regulation 5 (power to designate persons) for the purposes of this regulation.

## 33E Provision of services relating to specified ships

(1) A person must not directly or indirectly provide in relation to a specified ship—
(a) brokering services;
(b) chartering services;
(c) crew services;
(d) financial services or funds.
(e) operating services;
(f) technical assistance;
(2) A person must not directly or indirectly provide services relating to the acquisition, sale, transfer or supply of a specified ship.
(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) (“P”) to show that P did not know and had no reasonable cause to suspect that the ship in relation to which the assistance, services or funds (as the case may be) were provided was a specified ship;
(b) it is a defence for a person charged with the offence of contravening paragraph (2) (“Q”) to show that Q did not know and had no reasonable cause to suspect that the ship in relation to whose acquisition, sale, transfer or supply the services were provided was a specified ship.
(5) In this regulation—
“chartering services” means services associated with the chartering of a ship;
“crew services” means services associated with the manning of a ship or the provision of a crew or members of a crew for a ship;
“operating services” means services associated with the operation of a ship.

## 33F Procurement of services relating to specified ships

(1) A person must not directly or indirectly procure services relating to a specified ship.
(2) For the purposes of this regulation, services relating to a specified ship include, in particular, services involving the use of that specified ship.
(3) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(4) A person who contravenes the prohibition in paragraph (1) commits an offence, but 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 ship in relation to which the services were procured was a specified ship.

### Chapter 4: Interpretation of this Part and further provision

## 34 Interpretation of this Part

(1) In this Part—
“brokering service” means any service to secure, or otherwise in relation to, an arrangement, including (but not limited to)—
(a)the selection or introduction of persons as parties or potential parties to the arrangement,
(b)the negotiation of the arrangement,
(c)the facilitation of anything that enables the arrangement to be entered into, and
(d)the provision of any assistance that in any way promotes or facilitates the arrangement;
“energy-related goods” means any thing falling within the following provisions of Schedule 1A (Energy-related goods and technology)—
(a)Part 2 (Petrochemicals),
(b)Section 1A, 1B, 1C, 2A, 2B, 2C, 3A or 3B of Part 3 (Energy-related equipment and technology), or
(c)Part 4 (Energy-related goods);
“energy-related technology” means any thing falling within Sections 1D, 1E, 2D, 2E, 3C or 3D of Part 3 of Schedule 1A other than any thing for the time being specified in—
(a)Schedule 2 to the Export Control Order 2008, or
(b)Annex 1 to the Dual-Use Regulation;
“gold, precious metals or diamonds” means any thing falling within Schedule 1B (Gold, precious metals or diamonds);
“graphite and relevant metals” means any thing falling within Schedule 1C;
“maritime goods” means any thing specified in the table following paragraph 1 of Schedule 1D, other than any thing for the time being specified in—
(a)Schedule 2 to the Export Control Order 2008, or
(b)Annex 1 to the Dual-Use Regulation;
“maritime technology” means any thing described in paragraph 2 of Schedule 1D other than any thing for the time being specified in—
(a)Schedule 2 to the Export Control Order 2008, or
(b)Annex 1 to the Dual-Use Regulation;
“military goods” means—
(a)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
(b)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;
“missile-list goods” means any thing specified in the Annex to Security Council document S/2012/947, as that Annex is revised or re-issued from time to time by the Security Council or the Committee, other than any thing which is missile-list technology;
“missile-list technology” means any thing specified in the Annex to Security Council document S/2012/947, as that Annex is revised or re-issued from time to time by the Security Council or the Committee,which is described as software or technology;
“natural gas” means any thing specified in Schedule 1E;
“nuclear-list goods” means any thing for the time being specified in a relevant International Atomic Energy Agency list, other than any thing which is nuclear-list technology;
“nuclear-list technology” means any thing for the time being specified in a relevant International Atomic Energy Agency list and which is described as software or technology;
“oil and petroleum products” means any thing specified in Schedule 1F;
“other restricted goods” means any thing falling within Part 2 of Schedule 1G (other restricted goods);
“other restricted technology” means any thing falling within Part 3 of Schedule 1G;
...
“petrochemicals” means any thing specified in Schedule 1H (Petrochemicals);
“restricted banknotes and coinage” means newly printed banknotes and newly minted coinage denominated in any official currency of Iran;
“sectoral software goods” means any tangible storage medium on which sectoral software and technology is recorded or from which it can be derived
“sectoral software and technology” means any thing specified in paragraphs 1 and 2 of Schedule 1I (Sectoral software and technology) provided that it is not—
(a)in the public domain, or
(b)used for basic scientific research;
“ship” includes every description of vessel (including a hovercraft) used in navigation;
“specified ship” means a ship specified by the Secretary of State under regulation 36L (specification of ships);
“technical assistance”, in relation to goods or technology, means—
(a)technical support relating to the repair, development, production, assembly, testing, use or maintenance of the goods or technology, or
(b)any other technical service relating to the goods or technology;
...
“third country” means a country which is not the United Kingdom, the Isle of Man or Iran;
“transfer” has the meaning given in paragraph 37 of Schedule 1 to the Act.
(2) For the purposes of the definitions of “nuclear-list goods” and “nuclear-list technology”—
(a) a thing is “specified in a relevant International Atomic Energy Agency list” if it is specified in Annexes to either of the following International Atomic Energy Agency documents, as those Annexes are revised or re-issued from time to time by the Security Council or the Committee—
(i) INFCIRC/254/Rev.11/Part 1, and
(ii) INFCIRC/254/Rev.8/Part 2;
(b) “low enriched uranium” means low enriched uranium covered by 0C002, as within Annex 1 to Council Regulation (EC) No 428/2009 of 5 May 2009, when it is incorporated in assembled nuclear fuels elements.
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) In this Part any reference to the United Kingdom includes a reference to the territorial sea.

## 35 Circumventing etc prohibitions

(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 1 to 3 of this Part, or
(b) to enable of facilitate the contravention of any such prohibition.
(2) A person who contravenes a prohibition in paragraph (1) commits an offence.

## 35A Trade: end-use control

(1) This regulation applies where—
(a) a United Kingdom person (“P”) has been informed by the Secretary of State that goods or any technology related to the export of the goods (or both) are or may be intended, in their entirety or in part, for export, transfer or use in Iran, or to a person connected with Iran, and
(b) the goods or technology in question are subject to Part 5 (Trade) and are not for the time being specified in—
(i) Schedule 2 to the Export Control Order 2008, or
(ii) Annex 1 of the Dual-Use Regulation.
(2) Subject to Part 6 (Exceptions and licences), P shall not—
(a) export the goods in question, or
(b) transfer the technology in question.

## 36 Defences

(1) Paragraph (2) applies where a person relies on a defence under Chapters 1 to 3 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.

## Part 5A: Aircraft

## 36A Movement of aircraft

(1) An Iranian aircraft must not land in the United Kingdom.
(2) Paragraph (1) is subject to Part 6 (Exceptions and licences).
(3) The Secretary of State may direct the CAA to—
(a) refuse permission under article 250 of the ANO in respect of an Iranian aircraft,
(b) refuse permission under article 252 of the ANO in respect of an Iranian aircraft,
(c) revoke any permission granted under article 250 of the ANO in respect of an Iranian aircraft, or
(d) revoke any permission granted under article 252 of the ANO in respect of an Iranian aircraft.
(4) An airport operator may direct the operator or pilot in command of an Iranian aircraft—
(a) to take off, or to require the aircraft to take off, from an airport the airport operator manages, or
(b) not to land, or not to permit the aircraft to land, at an airport the airport operator manages.
(5) The Secretary of State may direct an airport operator to give a direction under paragraph (4).
(6) In this regulation—
“air cargo services” means a service for the carriage by air of cargo, including mail and animals;
“designated person” means a person who is designated under regulation 5 (power to designate persons) for the purposes of this regulation;
“Iranian aircraft” means an aircraft used exclusively for the provision of air cargo services which is—
(a)owned, chartered or operated by—
(i)a designated person, or
(ii)a person connected with Iran, or
(b)registered in Iran.

## 36B Directions under regulation 36A

(1) Paragraphs (2) to (4) apply in relation to a direction given under regulation 36A (movement of aircraft).
(2) A person to whom a direction is given has a duty to comply with it.
(3) A direction may be of indefinite duration or a defined duration.
(4) A person who gives a direction may vary, revoke or suspend it at any time.
(5) A direction under regulation 36A(5) may be given to any airport operator or to airport operators generally.
(6) Any directions given by the Secretary of State under regulation 36A may make different provision for different purposes.
(7) Any directions given under regulation 36A(3) to (5) are subject to the exceptions in regulation 39C (aircraft: exceptions from prohibitions).

## 36C Directions under regulation 36A: supplementary

(1) Where a direction is given under regulation 36A(3)(c) or (d)—
(a) to the extent that the direction conflicts with the requirements of article 255 of the ANO (revocation of permissions etc.), those requirements are to be disregarded, and
(b) article 255(4) of the ANO does not apply in relation to the revocation which is the subject of the direction.
(2) Where a direction is given under regulation 36A which conflicts with a permission under article 250 of the ANO, the permission is to be disregarded.
(3) insofar as a direction under regulation 36A conflicts with the requirements of section 93 of the Transport Act 2000 or an order under section 94 of that Act, the direction is to be disregarded.
(4) insofar as a direction under regulation 36A conflicts with the requirements of an enactment other than section 93 of the Transport Act 2000 or an order under section 94 of that Act, the requirements are to be disregarded.
(5) The Secretary of State may notify a person that the existence of a direction under regulation 36A, any part of the content of the direction, or anything done under the direction, is to be treated as confidential.
(6) A person must not disclose any information if the Secretary of State notifies that person under paragraph (5) that the information is to be treated as confidential.

## 36D Aircraft offences

(1) If the prohibition in regulation 36A(1) is contravened by the landing of an Iranian aircraft (as defined by regulation 36A(6)), the operator and pilot in command of the Iranian aircraft commit an offence.
(2) It is an offence for a person to whom a direction is given under regulation 36A(4) to fail to comply with the direction.
(3) It is an offence for an airport operator to fail, without reasonable excuse, to comply with a direction given by the Secretary of State under regulation 36A(5).
(4) A person who contravenes the prohibition in regulation 36C(6) commits an offence.

## 36E Interpretation of Part 5A

(1) In this Part—
“the ANO” means the Air Navigation Order 2016;
“beneficial interest” means any beneficial interest, however arising (whether held by trustee or nominee or arising under a contract or otherwise), other than an interest held by any person as mortgagee.
(2) For the purposes of regulation 36A(6)(a), an aircraft is “owned” by a person if—
(a) the legal title to the aircraft, or to any share in the aircraft, is vested in the person, or a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by that person, or
(b) the person, or a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by that person, has a beneficial interest in the aircraft or in any share in the aircraft,
and the reference to a legal title or other interest includes one held jointly with any other person or persons.
(3) Any expression used in this Part and in section 6 of the Act (aircraft sanctions) has the same meaning in this Part as it has in that section.

## Part 5B: Ships

## 36F Prohibition on chartering or operating specified ships

(1) A person must not charter a specified ship, if the person knows or has reasonable cause to suspect, that the ship is a specified ship.
(2) A person must not operate a specified ship, if the person knows, or has reasonable cause to suspect, that the ship is a specified ship.
(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.

## 36G Prohibition on port entry

(1) A person must not provide a ship to which this paragraph applies with access to a port in the United Kingdom, if the person knows, or has reasonable cause to suspect, that the ship is a ship to which this paragraph applies.
(2) The master or pilot of a ship to which this paragraph applies must not cause or permit the ship to enter a port in the United Kingdom if the master or pilot knows, or has reasonable cause to suspect, that the ship is a ship to which this paragraph applies.
(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.
(5) Paragraphs (1) and (2) apply to—
(a) a ship owned, controlled, chartered or operated by a designated person, or
(b) a specified ship.

## 36H Directions prohibiting port entry

(1) A port barring direction may be given to the master or pilot of a specified ship.
(2) A port barring direction may be given by—
(a) the Secretary of State, or
(b) a harbour authority.
(3) The Secretary of State may direct a harbour authority to take such steps as are reasonably practicable to secure that a ship mentioned in a port barring direction does not enter a port or ports in the United Kingdom specified in the direction, or any port in the United Kingdom.
(4) It is an offence for a person to whom a direction is given under this regulation to fail to comply with the direction.
(5) The Secretary of State may notify a person that the existence of a port barring direction, any part of the content of the direction, or anything done under the direction, is to be treated as confidential.
(6) It is an offence for a person to disclose information if the Secretary of State has notified that person under paragraph (5) that the information is to be treated as confidential.
(7) In this regulation, a “port barring direction” means a direction prohibiting a ship from entering a port or ports in the United Kingdom specified in the direction, or any port in the United Kingdom.

## 36I Movement of ships

(1) A port entry direction or a movement direction may be given by the Secretary of State to the master or pilot of—
(a) a ship owned, controlled, chartered or operated by a designated person, or
(b) a specified ship.
(2) The Secretary of State may direct a harbour authority to take such steps as are reasonably practicable to secure that a ship mentioned in paragraph (1)—
(a) proceeds to or enters a port specified in the direction,
(b) leaves a port specified in the direction,
(c) proceeds to a place specified in the direction, or
(d) remains where it is.
(3) It is an offence for a person to whom a direction is given under this regulation to fail to comply with the direction.
(4) The Secretary of State may notify a person that the existence of a port entry direction or a movement direction, any part of the content of the direction, or anything done under the direction, is to be treated as confidential.
(5) It is an offence for a person to disclose information if the Secretary of State has notified that person under paragraph (4) that the information is to be treated as confidential.
(6) In this regulation—
“movement direction” means a direction requiring a ship—
(a)to leave a port specified in the direction,
(b)to proceed to a place specified in the direction, or
(c)to remain where it is;
“port entry direction” means a direction requiring a ship to proceed to or enter a port specified in the direction.

## 36J Detention of ships

(1) A detention direction may be given to the master of a ship referred to in paragraph (3) by—
(a) the Secretary of State, or
(b) a harbour authority.
(2) A detention direction under paragraph (1)(b) may only be given by a harbour authority to the master of a specified ship if the harbour authority has received a direction from the Secretary of State in accordance with paragraph (3)(b).
(3) The Secretary of State may direct a harbour authority to give a detention direction to the master of—
(a) a ship owned, controlled, chartered or operated by a designated person, or
(b) a specified ship.
(4) A “detention direction” means a direction requiring the detention of a ship at a port or anchorage in the United Kingdom.
(5) A detention direction given in relation to a ship must—
(a) be in writing,
(b) be delivered to the master of the ship by the person who detains the ship,
(c) state the grounds on which the ship is detained, and
(d) state that—
(i) it is given under this regulation, and
(ii) any requirements imposed by the direction must be complied with.
(6) Paragraph (7) applies if—
(a) the ship is not a British ship, and
(b) there is in the United Kingdom a consular officer for the country to which the ship belongs.
(7) A copy of the detention direction must be sent as soon as practicable to the nearest consular officer for the country to which the ship belongs.
(8) Section 284(1), (2), (2A), (2B), (3) and (8) of the Merchant Shipping Act 1995 (enforcing detention of ship) applies in the case of detention under a detention direction as it applies in the case of detention authorised or ordered by that Act, but as if—
(a) any reference in that section to a notice of detention were to the detention direction, and
(b) the reference in subsection (2A) of that section to a direction given under subsection (1A)(a) of that section were to any requirement imposed by the detention direction.
(9) In this regulation, “consular officer”, in relation to a foreign country, means the officer recognised by His Majesty as a consular officer of that foreign country.

## 36K Registration of ships in the United Kingdom

(1) The Registrar must refuse to register a ship if, on the basis of the information given to the Registrar by the Secretary of State or accompanying the application for registration, the ship appears to the Registrar to be—
(a) owned, controlled, chartered or operated by a designated person, or
(b) a specified ship.
(2) The Secretary of State may direct the Registrar to terminate the registration of—
(a) a ship that is owned, controlled, chartered or operated by a designated person, or
(b) a specified ship.
(3) For the purposes of this regulation, any reference to registering a ship is to registering the ship in the register of British ships maintained by the Registrar.

## 36L Specification of ships

(1) The Secretary of State may specify ships within the meaning of section 7 of the Act for any of the following purposes—
(a) regulation 33E (provision of services relating to specified ships);
(b) regulation 33F (procurement of services relating to specified ships);
(c) regulation 36F (prohibition on chartering or operating specified ships);
(d) regulation 36G (prohibition on port entry);
(e) regulation 36H (directions prohibiting port entry);
(f) regulation 36I (movement of ships);
(g) regulation 36J (detention of ships);
(h) regulation 36K (registration of ships in the United Kingdom).
(2) The Secretary of State must specify a ship by its International Maritime Organization number or, where it is not reasonably practicable to identify it by that number, by any other means that the Secretary of State considers appropriate.
(3) The Secretary of State may not specify a ship unless the Secretary of State has reasonable grounds to suspect that the ship is, has been, or is likely to be, involved in a relevant activity.
(4) For the purposes of this regulation, a ship is “involved in a relevant activity” if the ship is used for any activity whose object or effect is—
(a) engaging in, providing support for, promoting or facilitating a relevant nuclear activity;
(b) making available funds or economic resources that could contribute to a relevant nuclear activity;
(c) the supply to Iran of restricted goods, restricted technology, dual-use goods or dual-use technology;
(d) the contravention or circumvention of any provision of these Regulations.
(5) The activities described in paragraph (4) include carrying—
(a) goods for use in, or otherwise related to, a relevant nuclear activity;
(b) oil and petroleum products that originated in Iran—
(i) from a place in Iran to a third country;
(ii) from a third country to a place in Iran;
(iii) from one third country to another third country;
(c) natural gas that originated in Iran—
(i) from a place in Iran to a third country;
(ii) from a third country to a place in Iran;
(iii) from one third country to another third country;
(d) restricted goods, restricted technology, dual-use goods or dual-use technology—
(i) from a place in Iran to a third country;
(ii) from a third country to a place in Iran;
(iii) from one third country to another third country.
(6) For the purpose of paragraph (5), “carrying” includes any transfer of the goods or technology concerned between ships on which those goods or technology are being carried as mentioned in that paragraph.
(7) In this regulation—
“dual-use goods” means—
(a)any thing for the time being specified in Annex I of the Dual-Use Regulation, other than any thing which is dual-use technology, and
(b)any tangible storage medium on which dual-use technology is recorded or from which it can be derived;
“dual-use technology” means any thing for the time being specified in Annex I of the Dual-Use Regulation which is described as software or technology;
“natural gas” means any thing specified in Schedule 1E (natural gas);
“oil and petroleum products” means any thing which is specified in Schedule 1F (oil and petroleum products);
“relevant nuclear activity” has the meaning given in regulation 6(4);
“restricted goods” has the meaning given in regulation 20;
“restricted technology” has the meaning given in regulation 20.

## 36M Notification and publicity where specification power used

(1) Paragraph (2) applies where the Secretary of State—
(a) has specified a ship under regulation 36L(1) (specification of ships), or
(b) has, by virtue of section 26 of the Act, revoked a specification made under that regulation.
(2) The Secretary of State—
(a) must without delay take such steps as are reasonably practicable to inform such persons as the Secretary of State considers appropriate of the specification or revocation, and
(b) except where one or more of the restricted publicity conditions is met, must take steps to publicise the specification or revocation generally.
(3) The “restricted publicity conditions” are that the Secretary of State considers that disclosure of the specification or revocation should be restricted—
(a) in the interests of national security or international relations,
(b) for reasons connected with the prevention or detection of serious crime in the United Kingdom or elsewhere, or
(c) in the interests of justice.
(4) Paragraph (5) applies if—
(a) when a specification is made one or more of the restricted publicity conditions is met, but
(b) at any time when the specification has effect, it becomes the case that none of the restricted publicity conditions is met.
(5) The Secretary of State must take steps to publicise the specification generally.

## 36N Directions under this Part: general

(1) Paragraphs (2) to (4) apply in relation to a direction given under this Part.
(2) A person to whom a direction is given has a duty to comply with it.
(3) A direction may be of indefinite duration or a defined duration.
(4) A person who gives a direction may vary, revoke or suspend it at any time.
(5) A direction under regulation 36I(2) (movement of ships) may be given to any harbour authority or to harbour authorities generally.

## 36O Interpretation of Part 5B

(1) For the purposes of this Part, a ship is—
(a) “owned” by a person if—
(i) the legal title to the ship, or to any share in the ship, is vested in the person, or in a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by that person, or
(ii) the person, or a person who is owned or controlled directly or indirectly (within the meaning of regulation 7) by that person, has a beneficial interest in the ship or in any share in the ship;
(b) “controlled” by a person who is able to take decisions about its operation, including (but not limited to) decisions about the route the ship may take and the appointment of master or crew.
(2) Any reference in this Part to a legal title or other interest includes one held jointly with any other person or persons.
(3) For the purposes of this Part—
“beneficial interest” means any beneficial interest, however arising (whether held by trustee or nominee or arising under a contract or otherwise), other than an interest held by any person as mortgagee;
“designated person” means a person who is designated under regulation 5 for the purposes of any of regulations 36F, 36G, 36H, 36I, 36J and 36K;
“specified ship” means a ship specified by the Secretary of State under regulation 36L (specification of ships).
(4) Any expression used in this Part and in section 7 of the Act (shipping sanctions) has the same meaning in this Part as it has in that section.

## Part 6: Exceptions and licences

## 37 Finance: exceptions from prohibitions

(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 on a date when the person was not 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.

## 37ZZA Finance: exception from prohibitions for required payments

(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 person) 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—
(a)the registrar of companies, a payment of fees for—
(i)the incorporation of a firm;
(ii)the restoration of a firm to a register which is administered by the registrar;
(b)the Financial Conduct Authority, a payment of fees for—
(i)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;
(ii)an application for a variation of such permission, authorisation, registration or recognition;
(iii)an application for listing or for eligibility for listing;
(iv)an application for review or approval of a document relating to listing;
(v)an application for approval as a sponsor or primary information provider;
(vi)an application for review or approval of—
(aa) 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;
(bb)listing particulars under section 79 of the Financial Services and Markets Act 2000 or supplementary listing particulars under section 81 of that Act;
(c)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;
(d)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;
(e)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—
(i)Part 1 of the Local Government (Scotland) Act 1975;
(ii)Part 3 of the Local Government Finance Act 1988;
(iii)Parts 1 and 2 of the Local Government Finance Act 1992;
(iv)Part 4 of the Local Government Act 2003;
(v)Part 9 of the Planning etc. (Scotland) Act 2006;
(vi)the Business Rate Supplements Act 2009;
(vii)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—
(a)in relation to England—
(i)a district council;
(ii)a county council for any area for which there is no district council;
(iii)a London borough council;
(iv)the Common Council of the City of London in its capacity as a local authority;
(v)the Council of the Isles of Scilly;
(b)in relation to Wales, a county council or a county borough council;
(c)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;
(d)in relation to Northern Ireland, a district council;
“primary information provider” has the meaning given in section 89P(2) of the Financial Services and Markets Act 2000;
...
...
“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 17 by reason of regulation 10 (designation of persons named by or under UN Security Council Resolutions).

## 37ZZB Finance: exceptions relating to payment of Treasury debt

(1) The prohibitions in regulations 12 to 14 (asset-freeze and making funds available to or for benefit of designated persons) and regulation 17 (financial messaging services) are not contravened by any act done by a person to transfer funds to—
(a) a UN designated person (“D”) in order to satisfy an obligation owed ... 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 on a date when D was not a designated person 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 on a date when D was not a designated person and the funds to be transferred to D are ultimately credited to a specified account.
(4) The prohibitions in regulations 12 to 14 and regulation 17 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 UN designated person, in so far as they relate to a designated person (within the meaning of regulation 11), are 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.
(6) In this regulation—
“corresponding non-UK country” means a non-UK country whose laws contain relevant—
(a)prohibitions and exceptions corresponding to regulations 12 to 14, regulation 17 and regulation 37 (finance: exceptions from prohibitions); and
(b)grounds for licences to be issued that correspond to the purposes in Schedule 2 (Treasury licences: purposes);
“frozen account” has the meaning given in regulation 37(7);
“non-UK country” means a country that is not the United Kingdom;
“non-UK relevant institution” means—
(a)a person, other than an individual, which would satisfy the threshold conditions for permission under Part 4A of the Financial Services and Markets Act 2000 if it had its registered office (or if it does not have one, its head office) in the United Kingdom, or
(b)an undertaking which by way of business—
(i)operates a currency exchange office,
(ii)transmits money (or any representation of monetary value) by any means, or
(iii)cashes 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—
(a)shares in companies and other securities equivalent to shares in companies, partnerships or other entities, and depositary receipts in respect of shares;
(b)bonds or other forms of securitised debt, including depositary receipts in respect of such securities;
(c)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)a frozen account of a person;
(b)an account held by or for the benefit of a person with a recognised CSD;
(c)an account held by or for the benefit of a person with a non-UK relevant institution in a corresponding non-UK country; or
(d)an 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;
“UN designated person” has the meaning given in regulation 37ZZA(8).

## 37ZA Finance: humanitarian exception

(1) The prohibitions in regulations 12 to 17 (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 17;
“resolution 2664” means resolution 2664 (2022) adopted by the Security Council on 9th December 2022.

## 37ZB Finance: exceptions relating to insurance and reinsurance services

(1) The prohibition in regulation 17C(1) (insurance and reinsurance services) is not contravened by—
(a) the provision of compulsory or third party insurance to an Iranian person located in the United Kingdom;
(b) the provision of insurance for a diplomatic mission or consular post of Iran in the United Kingdom.
(2) The prohibition in regulation 17C(1), insofar as it prohibits the provision of insurance or reinsurance services to persons acting on behalf of, or at the direction of, a person connected with Iran, is not contravened by—
(a) the provision of insurance or reinsurance services to an individual acting on behalf of or at the direction of a person connected with Iran, provided that—
(i ) the insurance or reinsurance is for the individual's personal use, and
(ii) the individual is not a designated person;
(b) the provision of insurance or reinsurance services to a person (“P”) who is the owner of a ship or aircraft which is chartered, or a vehicle which is hired, by a person connected with Iran, provided that P is not a designated person.
(3) In this regulation—
“consular post” has the meaning given in regulation 37D(5);
“designated person” means a person who is designated under regulation 5 for the purposes of regulations 12 to 17;
“diplomatic mission” has the meaning given in regulation 37D(5);
“Iranian person” means—
(a)a national of Iran, or
(b)a body incorporated or constituted under the law of Iran.

## 37A Exception for authorised conduct in a relevant country

(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 17 (asset-freeze etc.) , regulations 17A to 17D (investment, financial services and financial markets) or Chapters 1 to 3 of Part 5 (Trade) (“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, or
(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.

## 37B Exception for emergencies in certain cases

(1) The prohibitions specified in paragraph (2) are not contravened by any act done by a person (“P”), where P provides justification to the Secretary of State within the relevant period that the act is an act dealing with an emergency.
(2) Paragraph (1) applies to the prohibitions in—
(a) regulation 17C(1) (insurance and reinsurance services), insofar as it applies to insurance and reinsurance for the maritime transportation of oil and petroleum products;
(b) Chapter 1B of Part 5 (Exports and related activities: energy-related goods and energy-related technology);
(c) Chapter 1C of Part 5 (Sectoral software goods and sectoral software and technology);
(d) Chapter 2A of Part 5 (Imports and related activities: gold, precious metals and diamonds);
(e) Chapter 2B of Part 5 (Imports and related activities: oil and petroleum products);
(f) Chapter 2C of Part 5 (Imports and related activities: petrochemicals);
(g) Chapter 2D of Part 5 (Imports and related activities: natural gas);
(h) regulation 33C (technical assistance relating to certain tankers and cargo vessels);
(i) regulation 33D (technical assistance relating to ships);
(j) regulation 33E (provision of services relating to specified ships);
(k) regulation 33F (procurement of services relating to specified ships);
(l) regulation 36F(2) (prohibition on operating specified ships).
(3) In this regulation—
“an act dealing with an emergency” means an act assisting with the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health or safety, infrastructure or the environment;
“relevant period”, in relation to an act, means the period of 5 working days beginning with the day on which the act is done.

## 37C Trade: exceptions in relation to energy-related goods and energy-related technology

(1) The prohibitions in regulations 27M (financial services and funds relating to energy-related goods and energy-related technology) and 27N (brokering services: non-UK activity relating to energy-related goods and energy-related technology) are not contravened in relation to the provision of insurance or reinsurance to a relevant person where the provision of such insurance or reinsurance is not connected with the energy sector in Iran.
(2) The prohibitions in Chapter 1B of Part 5 (exports and related activities: energy-related goods and energy-related technology) and Chapter 1C of Part 5 (sectoral software goods and sectoral software and technology) are not contravened by a relevant activity that is necessary for the purposes of a UK petroleum project.
(3) In this regulation—
“energy-related goods” has the meaning given in regulation 34(1) (interpretation of Part 5);
“energy-related technology” has the meaning given in regulation 34(1);
“relevant activity” means any activity which would, in the absence of this regulation, contravene the prohibitions in Chapters 1B and 1C of Part 5;
“relevant person” means a person who is not a person connected with Iran;
“UK petroleum project” means an oil or gas exploration or production project that is wholly or partially located within—
(a)the United Kingdom;
(b)waters adjacent to the United Kingdom up to the seaward limits of the territorial sea, or the seabed and subsoil below them;
(c)areas from time to time designated under section 1(7) of the Continental Shelf Act 1964 (designation of areas of continental shelf), and any waters within the limits of such areas.

## 37D Trade: exceptions relating to sectoral software goods and sectoral software and technology

(1) The prohibitions in Chapter 1C of Part 5 (sectoral software goods and sectoral software and technology) are not contravened by any act done by a person (“P”) in satisfaction of an obligation to a person connected with Iran where that act is to discharge, or comply with, UK statutory or regulatory obligations, such obligations not arising under contract, provided that P notifies the Secretary of State of that act before the end of the period of 12 months beginning with the first day on which the act is done.
(2) The prohibitions in Chapter 1C of Part 5 are not contravened by any act done by a person (“Q”) in satisfaction of an obligation arising under a contract concluded before 8th September 2026, or an ancillary contract necessary for the satisfaction of such a contract, provided that—
(a) the act is carried out before the end of 7th March 2027, and
(b) Q notifies the Secretary of State of that act, before or after the act is carried out, before the end of 7th March 2027.
(3) The prohibitions in Chapter 1C of Part 5 are not contravened by activities relating to sectoral software goods, or sectoral software and technology, where those goods or software and technology are of a non-commercial nature or for personal use.
(4) The prohibitions in Chapter 1C of Part 5 are not contravened by activities relating to sectoral software goods, or sectoral software and technology, which is necessary for the official purposes of a diplomatic mission or consular post in Iran, or an international organisation enjoying immunities in accordance with international law.
(5) For the purposes of this regulation—
“consular post” has the same meaning as in the Vienna Convention on Consular Relations done at Vienna on 24 April 1963, and any reference to the functions of a consular post is to be read in accordance with that Convention;
“diplomatic mission”, and any reference to the functions of a diplomatic mission, is to be read in accordance with the Vienna Convention on Diplomatic Relations done at Vienna on 18 April 1961;

## 37E Trade: exceptions in relation to oil and petroleum products, petrochemicals and natural gas

(1) The prohibitions in Chapters 2B, 2C and 2D of Part 5 are not contravened by any relevant activity in relation to any oil and petroleum products, petrochemicals or natural gas which is necessary for the official purposes of a diplomatic mission or consular post in Iran, or an international organisation enjoying immunities in accordance with international law.
(2) For the purposes of this regulation—
“consular post” and “diplomatic mission” have the meanings given in regulation 37D(4);
“natural gas” has the meaning given in regulation 34(1);
“oil and petroleum products” has the meaning given in regulation 34(1);
“petrochemicals” has the meaning given in regulation 34(1);
“relevant activity” means any activity which would, in the absence of this regulation, contravene any of the prohibitions in Chapter 2B, 2C or 2D of Part 5.

## 37F Trade: exception in respect of the acquisition of goods

(1) The prohibitions specified in paragraph (3) do not apply in relation to relevant goods located in the United Kingdom or the Isle of Man having been lawfully imported there.
(2) The prohibitions specified in paragraph (3)(e) to (l) do not apply to a United Kingdom national in Iran engaging in any activity subject to any of those prohibitions where—
(a) the relevant goods are located in Iran, and
(b) those relevant goods are for the purposes of personal use, in Iran, by that United Kingdom national, or their immediate family members.
(3) The prohibitions specified in this paragraph are those in—
(a) regulation 31E(1) (acquisition of gold, precious metals and diamonds);
(b) regulation 31G(1)(b) (technical assistance relating to the acquisition of gold, precious metals and diamonds);
(c) regulation 31H(1)(b) (financial services or funds relating to the acquisition of gold, precious metals or diamonds);
(d) regulation 31I(1) (brokering services relating to gold, precious metals or diamonds) insofar as the prohibition relates to arrangements specified in regulation 31H(1)(b);
(e) regulation 31K(1) (acquisition of oil and petroleum products);
(f) regulation 31M(1)(b) (technical assistance relating to the acquisition of oil and petroleum products);
(g) regulation 31N(1)(b) (financial services and funds relating to the acquisition of oil and petroleum products);
(h) regulation 31O(1) (brokering services relating to oil and petroleum products) insofar as the prohibition relates to arrangements specified in regulation 31N(1)(b);
(i) regulation 31Q(1) (acquisition of petrochemicals);
(j) regulation 31S(1)(b) (technical assistance relating to the acquisition of petrochemicals);
(k) regulation 31T(1)(b) (financial services and funds relating to the acquisition of petrochemicals);
(l) regulation 31U(1) (brokering services relating to petrochemicals) insofar as the prohibition relates to arrangements specified in regulation 31T(1)(b);
(m) regulation 31W(1) (acquisition of natural gas);
(n) regulation 31Y(1)(b) (technical assistance relating to the acquisition of natural gas);
(o) regulation 31Z(1)(b) (financial services and funds relating to the acquisition of natural gas);
(p) regulation 31Z1 (brokering services relating to natural gas) insofar as the prohibition relates to arrangements specified in regulation 31Z(1)(b).
(4) In this regulation—
“immediate family member” means—
(a)a wife or husband;
(b)a civil partner;
(c)a parent or step-parent;
(d)a child or step-child;
(e)a sibling or step-sibling;
(f)a niece or nephew;
(g)an aunt or uncle;
(h)a grandparent;
(i)a grandchild;
“relevant goods” means any thing specified in Schedules 1B (gold, precious metals and diamonds), 1E (natural gas), 1F (oil and petroleum products) and 1H (petrochemicals) as applicable.

## 37G Trade: exceptions in relation to maritime goods and maritime technology

(1) The prohibitions in Chapters 1 (Exports and related activities) to 3 (Other trade restrictions in relation to Iran) of Part 5 (Trade)—
(a) insofar as they relate to maritime goods, do not apply to the export, supply or delivery, acquisition or making available of such goods, or to the provision of technical assistance, financial services, funds or brokering services, necessary for a purpose specified in paragraph (2);
(b) insofar as they relate to maritime technology, do not apply to the acquisition, transfer or making available of such technology, or to the provision of technical assistance, financial services, funds or brokering services, necessary for a purpose specified in paragraph (2).
(2) The purposes are—
(a) non-military use by a non-military end-user;
(b) addressing a health emergency;
(c) the urgent prevention or mitigation of an event likely to have a serious and significant impact on human health and safety or on the environment; or
(d) providing a response to a natural disaster.
(3) For the purposes of this regulation, “maritime goods” and “maritime technology” have the meanings given in regulation 34 (interpretation of Part 5).

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

(1) Where an act would, in the absence of this paragraph, be prohibited by the prohibition in regulation 9(2) 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.

## 39 Exception relating to services provided to certain ships and aircraft

The prohibition in regulation 33 (services in relation to certain ships and aircraft) is not contravened in circumstances where failing to do something prohibited by that regulation in relation to a ship or aircraft would endanger the lives of persons on board that ship or aircraft.

## 39A Trade: exceptions in relation to vessels

(1) For the purposes of regulation 33B (making available certain vessels), the removal of a vessel from the United Kingdom to Iran is not making available a vessel designed or modified for the transport or storage of oil and petroleum products, provided that the following conditions are met—
(a) the vessel is removed under its own power;
(b) the removal of the vessel is not for the purpose of—
(i) a transfer of ownership of the vessel or any of its component parts, or
(ii) a change of the operator of the vessel.
(2) In this regulation, “operator”, in relation to a vessel, means the person having the management of the vessel.

## 39B Trade: exceptions relating to specified ships

(1) The prohibitions specified in paragraph (2) are not contravened by conduct that is necessary to protect or avoid endangering—
(a) the safety of any ship, or
(b) the life of any person.
(2) Paragraph (1) applies to the prohibitions—
(a) in regulation 33E (provision of services relating to specified ships);
(b) in regulation 33F (procurement of services relating to specified ships).

## 39C Aircraft: exceptions from prohibitions

(1) The prohibition in regulation 36A(1) (movement of aircraft) is not contravened by the landing of an Iranian aircraft in the United Kingdom—
(a) if failing to land would endanger the lives of persons on board or the safety of the aircraft;
(b) if the aircraft is engaged in non-scheduled international air services and is exercising its right to land in the United Kingdom for non-traffic purposes in accordance with Article 5 of the Chicago Convention;
(c) if the aircraft is engaged in scheduled international air services and is exercising its right to land in the United Kingdom for non-traffic purposes in accordance with section 1 of Article 1 of the IASTA.
(2) A direction given under regulation 36A(3) to (5) is not contravened by conduct that is necessary to—
(a) avoid endangering the lives of persons on board or the safety of the aircraft,
(b) protect the safety of another aircraft, or
(c) protect the safety of persons on the ground.
(3) In this regulation—
“the Chicago Convention” means the Convention on International Civil Aviation and its Annexes, signed at Chicago on 7th December 1944;
“the IASTA” means the International Air Services Transit Agreement signed at Chicago on 7th December 1944;
“Iranian aircraft” has the same meaning as in regulation 36A(6);
“non-traffic purposes” is to be read in accordance with Article 96(d) of the Chicago Convention.

## 39D Ships: exceptions from prohibitions on port entry

(1) The prohibition in regulation 36G(1) (prohibition on port entry) is not contravened by providing a ship with access to a port if—
(a) a port entry direction has been given in relation to the ship under regulation 36I(1) (movement of ships), or
(b) the access is needed by the ship in a case of emergency.
(2) The prohibition in regulation 36G(2) is not contravened by the entry into port of a ship if—
(a) a port entry direction has been given in relation to the ship under regulation 36I(1), or
(b) the entry is needed by the ship in a case of emergency.

## 39E Ships: exceptions from prohibition on operating specified ships

(1) A person does not contravene the prohibition in regulation 36F(2) (operating specified ships) by conduct in the United Kingdom or in the territorial sea where the person—
(a) is not a United Kingdom person, and
(b) the person’s presence in the United Kingdom or in the territorial sea arises directly from an exercise of either—
(i) the right of innocent passage, or
(ii) the right of transit passage,
in accordance with the provisions of the United Nations Convention on the Law of the Sea.
(2) A person does not contravene the prohibition in regulation 36F(2) by conduct that is necessary to protect or avoid endangering—
(a) the safety of any ship, or
(b) the life of any person.

## 40 Treasury licences

(1) The prohibitions in regulations 12 to 17 (asset-freeze etc) and regulations 17A to 17D (investments, accounts and corresponding banking relationships, insurance and reinsurance and sale or purchase of bonds) 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 by a particular person 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 1 or 2 of Schedule 2.
(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 1 or 1A of Schedule 2.
(4) In paragraph (3) “UN designated person” means a person who is a designated person for the purposes of regulations 12 to 17 by reason of regulation 10 (designation of persons named by or under UN Security Council Resolutions).
(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.

## 40A Director disqualification licences

The Secretary of State may issue a licence in relation to any person who is designated under regulation 5 for the purposes of regulation 18A (director disqualification sanctions) providing that the prohibitions in—
(a) section 11A(1) of the Company Directors Disqualification Act 1986, and
(b) Article 15A(1) of the Company Directors Disqualification (Northern Ireland) Order 2002,
do not apply to anything done under the authority of that licence.

## 41 Trade licences

The prohibitions in Chapters 1 to 3 of Part 5 (Trade) do not apply to anything done under the authority of a licence issued by the Secretary of State under this regulation.

## 41A Aircraft licences

The prohibition in regulation 36A(1) (prohibition on landing) does not apply to anything done under the authority of a licence issued by the Secretary of State under this regulation.

## 41B Ships licences

The prohibitions in regulation 36F(1) and (2) (prohibition on chartering or operating specified ships) do not apply to anything done under the authority of a licence issued by the Secretary of State under this regulation.

## 42 Licences: general provisions

(1) This regulation applies in relation to Treasury licences , director disqualification licences , trade licences, aircraft licences and ships licences.
(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 , on the application of a person (“P”), issues a licence which authorises acts by a particular person , or varies, revokes or suspends that licence, must give written notice to P 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.

## 43 Finance: licensing offences

(1) A person (“P”) commits an offence if 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 Treasury licence (whether for P or anyone else).
(2) A person who purports to act under the authority of a Treasury licence but who fails to comply with any condition of the licence commits an offence.

## 43A Director disqualification: licensing offences

(1) A person (“P”) commits an offence if 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 director disqualification licence (whether for P or anyone else).
(2) A person who purports to act under the authority of a director disqualification 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.

## 44 Trade: licensing offences

(1) A person (“P”) commits an offence if 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.

## 44A Aircraft: licensing offences

(1) A person (“P”) commits an offence if 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 an aircraft licence (whether for P or anyone else).
(2) A person who purports to act under the authority of an aircraft licence but who fails to comply with any condition of the aircraft 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.

## 44B Ships: licensing offences

(1) A person (“P”) commits an offence if 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 ships licence (whether for P or anyone else).
(2) A person who purports to act under the authority of a ships licence but who fails to comply with any condition of the ships 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.

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

(1) The Secretary of State may direct that, in relation to any person within regulation 19 whose name is specified, or who is of a specified description, section 8B(1) and (2) of the Immigration Act 1971, or section 8B(3) of that Act, have effect subject to specified exceptions.
(2) A direction under this regulation—
(a) may contain conditions;
(b) must be of a defined duration (and that duration may be expressed in any way, including, for example, being expressed in a way such that the direction ceases to have effect on, or within a specified period after, the occurrence of a specified event).
(3) The Secretary of State may vary, revoke or suspend a direction under this regulation at any time.
(4) On the issue, variation, revocation or suspension of a direction under this regulation, the Secretary of State may take such steps as the Secretary of State considers appropriate to publicise the issue, variation, revocation or suspension of the direction.
(5) In this regulation “specified” means specified in a direction under this regulation.

## Part 7: Information and records

## 46 Finance: reporting obligations

(1) A relevant firm must inform the Treasury as soon as practicable if—
(a) it knows, or has reasonable cause to suspect, that a person—
(i) is a designated person, or
(ii) has breached a prohibition or failed to comply with an obligation under any provision of Part 3 (Finance) or regulation 43 (finance: licensing offences), and
(b) the information or other matter on which the knowledge or cause for suspicion is based came to it in the course of carrying on its business.
(2) Where a relevant firm informs the Treasury under paragraph (1), it must state—
(a) the information or other matter on which the knowledge or suspicion is based, and
(b) any information it holds about the person by which the person can be identified.
(3) Paragraph (4) applies if—
(a) a relevant firm informs the Treasury under paragraph (1) that it knows, or has reasonable cause to suspect, that a person is a designated person, and
(b) that person is a customer of the relevant firm.
(4) The relevant firm must also state the nature and amount or quantity of any funds or economic resources held by it for the customer at the time when it first had the knowledge or suspicion.
(4A) Where a person (“P”) knows, or has reasonable cause to suspect, that P holds funds or economic resources owned, held or controlled by a designated person, P must by no later than 30th November in each calendar year provide a report to the Treasury as to the nature and amount or quantity of those funds or economic resources held by P as of 30th September in that calendar year.
(4B) Where a report has been provided further to paragraph (4A) but as of 30th September in the following calendar year P no longer holds funds or economic resources owned, held or controlled by the designated person, P must by no later than 30th November in that calendar year report this to the Treasury.
(4C) For the purposes of paragraphs (4A) and (4B), 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.
(5) A relevant institution must inform the Treasury without delay if that institution—
(a) credits a frozen account in accordance with regulation 37(4) (finance: exceptions from prohibitions), or
(b) transfers funds from a frozen account in accordance with regulation 37(6).
(6) A person who fails to comply with a requirement in paragraph (1), (2) or (4) commits an offence.
(6A) A person commits an offence if that person, without reasonable excuse, fails to comply with a requirement in paragraph (4A) or (4B).
(7) In this regulation—
“designated person” has the same meaning as it has in Part 3 (Finance);
“frozen account” has the same meaning as it has in regulation 37;
“relevant firm” is to be read in accordance with regulation 47;
“relevant institution” has the same meaning as it has in regulation 37.

## 46A Finance: reporting obligations for required payments

(1) A non-UN designated person must inform the Treasury without delay if they make a required payment.
(2) A person who makes a required payment on behalf of a non-UN designated person must inform the Treasury without delay that they have made the required payment.
(3) A person must inform the Treasury without delay if they receive a reimbursement payment.
(4) For the purposes of this regulation, 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.
(5) In this regulation—
“reimbursement payment” has the meaning given in regulation 37ZZA(8) (finance: exception from prohibitions for required payments);
“required payment” has the meaning given in regulation 37ZZA(2).

## 47 “Relevant firm”

(1) The following are relevant firms for the purposes of regulation 46—
(a) a person that has permission under Part 4A of the Financial Services and Markets Act 2000 (permission to carry on regulated activity);
(b) an undertaking that by way of business—
(i) operates a currency exchange office,
(ii) transmits money (or any representation of monetary value) by any means, or
(iii) cashes cheques that are made payable to customers;
(c) a firm or sole practitioner that is—
(i) a statutory auditor within the meaning of Part 42 of the Companies Act 2006 (statutory auditors) , or
(ii) a local auditor within the meaning of section 4(1) of the Local Audit and Accountability Act 2014 (general requirements for audit) ;
(d) a firm or sole practitioner that provides to other persons, by way of business—
(i) accountancy services,
(ii) legal or notarial services,
(iii) advice about tax affairs, or
(iv) trust or company services within the meaning of paragraph (2);
(e) a firm or sole practitioner that carries out, or whose employees carry out, estate agency work;
(f) the holder of a casino operating licence within the meaning given by section 65(2)(a) of the Gambling Act 2005 (nature of a licence) ;
(g) a person engaged in the business of making, supplying, selling (including selling by auction) or exchanging—
(i) articles made from gold, silver, platinum or palladium, or
(ii) precious stones or pearls.
(h) a cryptoasset exchange provider;
(i) a custodian wallet provider;
(j) a high value dealer;
(k) an art market participant;
(l) an insolvency practitioner;
(m) a firm or sole practitioner (“P”) that carries out, or whose employees carry out, letting agency work.
(2) In paragraph (1)(d)(iv) “trust or company services” means any of the following services—
(a) forming companies or other legal persons;
(b) acting, or arranging for another person to act—
(i) as a director or secretary of a company,
(ii) as a partner of a partnership, or
(iii) in a similar capacity in relation to other legal persons;
(c) providing a registered office, business address, correspondence or administrative address or other related services for a company, partnership or any other legal person or arrangement;
(d) acting, or arranging for another person to act, as—
(i) a trustee of an express trust or similar legal arrangement, or
(ii) a nominee shareholder for a person.
(3) In paragraph (1)—
“estate agency work” is to be read in accordance with section 1 of the Estate Agents Act 1979 , but as if references in that section to disposing of or acquiring an interest in land included (despite anything in section 2 of that Act) references to disposing of or acquiring an estate or interest in land outside the United Kingdom where that estate or interest is capable of being owned or held as a separate interest;
“firm” means any entity that, whether or not a legal person, is not an individual, and includes a body corporate and a partnership or other unincorporated body.
(3A) In paragraph (1), a “cryptoasset exchange provider” means a firm or sole practitioner that by way of business provides one or more of the following services, including where the firm or sole practitioner does so as creator or issuer of any of the cryptoassets involved—
(a) exchanging, or arranging or making arrangements with a view to the exchange of, cryptoassets for money or money for cryptoassets,
(b) exchanging, or arranging or making arrangements with a view to the exchange of, one cryptoasset for another, or
(c) operating a machine which utilises automated processes to exchange cryptoassets for money or money for cryptoassets.
(3B) In paragraph (1), a “custodian wallet provider” means a firm or sole practitioner that by way of business provides services to safeguard, or to safeguard and administer—
(a) cryptoassets on behalf of its customers, or
(b) private cryptographic keys on behalf of its customers in order to hold, store and transfer cryptoassets.
(3C) For the purposes of this regulation—
(a) “cryptoasset” means a cryptographically secured digital representation of value or contractual rights that uses a form of distributed ledger technology and can be transferred, stored or traded electronically;
(b) “money” means—
(i) money in sterling,
(ii) money in any other currency, or
(iii) money in any other medium of exchange,
but does not include a cryptoasset; and
(c) in sub-paragraphs (a) to (c) of paragraph (3A), “cryptoasset” includes a right to, or interest in, the cryptoasset.
(3D) In paragraph (1), a “high value dealer” means a firm or sole trader that by way of business trades in goods (including an auctioneer dealing in goods), when the firm or sole trader makes or receives, in respect of any transaction, a payment or payments in cash of at least £10,000 in total, whether the transaction is executed in a single operation or in several operations which appear to be linked.
(3E) In paragraph (1), an “art market participant” means, subject to paragraph (3F), a firm or sole practitioner that is registered or required to register with the Commissioners as an art market participant under regulation 56(5) and (6) of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.
(3F) A firm or sole practitioner is not an art market participant for the purposes of paragraph (3E) in relation to the sale or storage of a work of art which is created by, or is attributable to, a member of the firm or the sole practitioner.
(3G) For the purposes of this regulation, “work of art” means anything which, in accordance with section 21(6) to (6B) of the Value Added Tax Act 1994 (value of imported goods), is a work of art for the purposes of section 21(5)(a) of that Act.
(3H) In paragraph (1), an “insolvency practitioner” means a firm or individual who acts as an insolvency practitioner within the meaning of section 388 of the Insolvency Act 1986 or Article 3 of the Insolvency (Northern Ireland) Order 1989.
(3I) In paragraph (1), “letting agency work” means work—
(a) consisting of things done in response to instructions received from—
(i) a person (a “prospective landlord”) seeking to find another person to whom to let land for a term of a month or more, or
(ii) a person (a “prospective tenant”) seeking to find land to rent for a term of a month or more, and
(b) done—
(i) in relation to a prospective landlord, from the point that the prospective landlord instructs P, or
(ii) otherwise in the course of concluding an agreement for the letting of land for a term of a month or more.
(3J) For the purposes of paragraph (3I)—
“land” includes part of a building and part of any other structure;
“letting agency work” does not include the things listed in paragraph (3K) when done by, or by employees of, a firm or sole practitioner if neither the firm or sole practitioner, nor any of their employees, does anything else within paragraph (3I).
(3K) Those things are—
(a) publishing advertisements or disseminating information;
(b) providing a means by which a prospective landlord or a prospective tenant can, in response to an advertisement or dissemination of information, make direct contact with a prospective tenant or a prospective landlord;
(c) providing a means by which a prospective landlord and a prospective tenant can communicate directly with each other;
(d) the provision of legal or notarial services by a barrister, advocate, solicitor or other legal representative communications with whom may be the subject of a claim to professional privilege or, in Scotland, protected from disclosure in legal proceedings on grounds of confidentiality of communications.
(4) Paragraph (1)(a) and (b) 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.
(5) For the purposes of regulation 46(1)(b), information or another matter comes to a relevant firm “in the course of carrying on its business” if the information or other matter comes to the firm—
(a) in the case of a relevant firm within paragraph (1)(a), in the course of carrying on an activity in respect of which the permission mentioned in that provision is required;
(b) in the case of a relevant firm within paragraph (1)(c)(i), in the course of carrying out statutory audit work within the meaning of section 1210 of the Companies Act 2006 (meaning of statutory auditor) ;
(c) in the case of a relevant firm within paragraph (1)(c)(ii), in the course of carrying out an audit required by the Local Audit and Accountability Act 2014;
(d) in the case of a relevant firm within paragraph (1)(f), in the course of carrying on an activity in respect of which the licence mentioned in that provision is required;
(da) in the case of a relevant firm within paragraph (1)(k)—
(i) in the course of trading, or acting as an intermediary in the sale or purchase of, works of art when the value of the transaction, or a series of linked transactions, amounts to £10,000 or more, or
(ii) in the course of storing works of art where the value of the works of art so stored for a person amounts to £10,000 or more;
(e) in the case of a relevant firm within any other provision of paragraph (1), in the course of carrying on an activity mentioned in that provision.

## 48 Finance: powers to request information

(1) The Treasury may request a designated person to provide information about—
(a) funds or economic resources owned, held or controlled by or on behalf of the designated person, or
(b) any disposal of such funds or economic resources.
(2) The Treasury may request a designated person to provide such information as the Treasury may reasonably require about expenditure—
(a) by the designated person, or
(b) for the benefit of the designated person.
(3) For the purposes of paragraph (2)(b), expenditure for the benefit of a designated person includes expenditure on the discharge (or partial discharge) of a financial obligation for which the designated person is wholly or partly responsible.
(4) The power in paragraph (1) or (2) is exercisable only where the Treasury believe that it is necessary for the purpose of monitoring compliance with or detecting evasion of any provision of Part 3 (Finance).
(5) The Treasury may request a person acting under a Treasury licence to provide information about—
(a) funds or economic resources dealt with under the licence, or
(b) funds or economic resources made available under the licence.
(6) The Treasury may request a person to provide information within paragraph (7) if the Treasury believe that the person may be able to provide the information.
(7) Information within this paragraph is such information as the Treasury may reasonably require for the purpose of—
(a) establishing for the purposes of any provision of Part 3 (Finance)—
(i) the nature and amount or quantity of any funds or economic resources owned, held or controlled by or on behalf of a designated person,
(ii) the nature and amount or quantity of any funds or economic resources made available directly or indirectly to, or for the benefit of, a designated person, or
(iii) the nature of any financial transactions entered into by a designated person;
(b) monitoring compliance with or detecting evasion of—
(i) any provision of Part 3,
(ii) regulation 46 (finance: reporting obligations), or
(iii) any condition of a Treasury licence;
(c) detecting or obtaining evidence of the commission of an offence under Part 3 or regulation 43 (finance: licensing offences) or 46 (finance: reporting obligations).
(8) The Treasury may specify the way in which, and the period within which, information is to be provided.
(9) If no such period is specified, the information which has been requested must be provided within a reasonable time.
(10) A request may include a continuing obligation to keep the Treasury informed as circumstances change, or on such regular basis as the Treasury may specify.
(11) Information requested under this regulation may relate to any period of time during which a person is, or was, a designated person.
(12) Information requested by virtue of paragraph (1)(b), (2) or (7)(a)(iii) may relate to any period before a person became a designated person (as well as, or instead of, any subsequent period).
(13) Expressions used in this regulation have the same meaning as they have in Part 3.

## 49 Finance: production of documents

(1) A request under regulation 48 may include a request to produce specified documents or documents of a specified description.
(2) Where the Treasury request that documents be produced, the Treasury may—
(a) take copies of or extracts from any document so produced,
(b) request any person producing a document to give an explanation of it, and
(c) where that person is a body corporate, partnership or unincorporated body other than a partnership, request any person who is—
(i) in the case of a partnership, a present or past partner or employee of the partnership, or
(ii) in any other case, a present or past officer or employee of the body concerned,
to give such an explanation.
(3) Where the Treasury request a designated person or a person acting under a Treasury licence to produce documents, that person must—
(a) take reasonable steps to obtain the documents (if they are not already in the person's possession or control);
(b) keep the documents under the person's possession or control (except for the purpose of providing them to the Treasury or as the Treasury may otherwise permit).
(4) In this regulation “designated person” has the same meaning as it has in Part 3 (Finance).

## 50 Finance: information offences

(1) A person commits an offence if that person—
(a) without reasonable excuse, refuses or fails within the time and in the manner specified (or, if no time has been specified, within a reasonable time) to comply with any request under regulation 48 (finance: powers to request information);
(b) knowingly or recklessly gives any information, or produces any document, which is false in a material particular in response to such a request;
(c) with intent to evade any provision of regulation 48 (finance: powers to request information) or 49 (finance: production of documents), destroys, mutilates, defaces, conceals or removes any document;
(d) otherwise intentionally obstructs the Treasury in the exercise of their powers under regulation 48 (finance: powers to request information) or 49 (finance: production of documents).
(2) Where a person is convicted of an offence under this regulation, the court may make an order requiring that person, within such period as may be specified in the order, to comply with the request.

## 51 Trade: application of information powers in CEMA

(1) Section 77A of CEMA applies in relation to a person carrying on a relevant activity as it applies in relation to a person concerned in the importation or exportation of goods but as if—
(a) in subsection (1), the reference to a person concerned in the importation or exportation of goods for which for that purpose an entry is required by regulation 5 of the Customs Controls on Importation of Goods Regulations 1991 or an entry or specification is required by or under CEMA were to a person carrying on a relevant activity;
(b) any other reference to importation or exportation were to a relevant activity;
(c) any other reference to goods were to the goods, technology, services or funds to which the relevant activity relates.
(2) For the purposes of paragraph (1), a “relevant activity” means an activity—
(a) which would, unless done under the authority of a trade licence, constitute a contravention of a prohibition in Chapters 1 to 3 of Part 5 (Trade), except any prohibition on imports or exports, or
(b) which would constitute a contravention of the prohibition in regulation 35 (circumventing etc prohibitions).

## 52 General trade licences: records

(1) This regulation applies in relation to a person (“P”) who does any act authorised by a general licence issued under regulation 41 (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 the 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.

## 53 General trade licences: inspection of records

(1) A person authorised by the Secretary of State or the Commissioners (an “official”) may at any reasonable hour enter premises notified under regulation 52(4) for the purposes of monitoring compliance with, or detecting evasion of, a contravention under regulation 52(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 52(2), 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.

## 54 Disclosure of information

(1) The Secretary of State, the Treasury or the Commissioners may, in accordance with this regulation, disclose—
(a) any information obtained under or by virtue of Part 6 (Exceptions and licences), this Part or Part 9 (Maritime enforcement), or
(b) any information held in connection with—
(i) anything done under or by virtue of Part 2 (Designation of persons), Part 3 (Finance), Part 3A (Director disqualification sanctions), Part 5 (Trade), or
(ii) any exception or licence under Part 6 or anything done in accordance with such an exception or under the authority of such a licence.
(2) Information referred to in paragraph (1) may be disclosed for, or in connection with, any of the following purposes—
(a) the exercise of functions under these Regulations;
(b) any purpose stated in regulation 4;
(c) facilitating, monitoring or ensuring compliance with these Regulations;
(d) taking any action with a view to instituting, or otherwise for the purposes of, any proceedings in the United Kingdom—
(i) for an offence under any provision of these Regulations,
(ii) for an offence under CEMA in connection with any prohibition in Part 5 (trade) on imports or exports
(iii) in relation to a monetary penalty under section 146 of the Policing and Crime Act 2017 (breach of financial sanctions legislation) ;
(e) taking any action with a view to instituting, or otherwise for the purposes of, any proceedings in any of the Channel Islands, the Isle of Man or any British overseas territory for an offence—
(i) under a provision in any such jurisdiction that is similar to a provision of these Regulations, or
(ii) in connection with a prohibition in any such jurisdiction that is similar to a prohibition referred to in sub-paragraph (d)(ii);
(f) compliance with an international obligation ;
(g) facilitating the exercise by an authority outside the United Kingdom or by an international organisation of functions which correspond to functions under these Regulations.
(3) Information referred to in paragraph (1) may be disclosed to the following persons—
(a) a police officer;
(b) any person holding or acting in any office under or in the service of—
(i) the Crown in right of the Government of the United Kingdom,
(ii) the Crown in right of the Scottish Government, the Northern Ireland Executive or the Welsh Government,
(iii) the States of Jersey, Guernsey or Alderney or the Chief Pleas of Sark,
(iv) the Government of the Isle of Man, or
(v) the Government of any British overseas territory;
(c) any law officer of the Crown for Jersey, Guernsey or the Isle of Man;
(d) the Scottish Legal Aid Board;
(e) the Financial Conduct Authority, the Prudential Regulation Authority, the Bank of England, the Jersey Financial Services Commission, the Guernsey Financial Services Commission or the Isle of Man Financial Services Authority;
(f) any other regulatory body (whether or not in the United Kingdom);
(g) any organ of the United Nations;
(h) the Council of the European Union, the European Commission or the European External Action Service;
(i) the Government of any country;
(j) any other person where the Secretary of State, the Treasury or the Commissioners (as the case may be) consider that it is appropriate to disclose the information.
(4) Information referred to in paragraph (1) may be disclosed to any person with the consent of a person who, in their own right, is entitled to the information.
(5) In paragraph (4) “in their own right” means not merely in the capacity as a servant or agent of another person.
(6) In paragraph (1)(b)—
(a) the reference to information includes information obtained at a time when any provision of these Regulations is not in force, and
(b) the reference to a licence under Part 6 includes—
(i) a licence or authorisation which is treated as if it were a licence which had been issued under that Part, and
(ii) a licence which is deemed to have been issued under that Part.

## 54A Finance: disclosure to the Treasury

(1) A relevant public authority may disclose information to the Treasury if the disclosure is made for the purpose of enabling or assisting the Treasury to discharge any of its functions in connection with any sanctions regulations contained in these Regulations.
(2) In this regulation—
“relevant public authority” means—
(a) any person holding or acting in any office under or in the service of—
(i) the Crown in right of the Government of the United Kingdom,
(ii) the Crown in right of the Scottish Government, the Northern Ireland Executive or the Welsh Government,
(b) any local authority,
(c) any police officer,
(d) the Financial Conduct Authority, the Prudential Regulation Authority, the Bank of England or any other regulatory body in the United Kingdom, or
(e) any other person exercising functions of a public nature;
“local authority” means—
(a) in relation to England—
(i) a county council,
(ii) a district council,
(iii) a London Borough council,
(iv) the Common Council of the City of London in its capacity as a local authority,
(v) the Council of the Isles of Scilly, or
(vi) an eligible parish council within the meaning of section 1(2) of the Local Government Act 2000,
(b) in relation to Wales, a county council, a county borough council or a community council,
(c) in relation to Scotland, a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994, or
(d) in relation to Northern Ireland, a district council.

## 55 Part 7: supplementary

(1) A disclosure of information under regulation 54 or 54A does not breach any restriction on such disclosure imposed by statute or otherwise.
(2) But nothing in those regulations authorises a disclosure that—
(a) contravenes the data protection legislation, or
(b) is prohibited by any of Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016 .
(3) Nothing in this Part is to be read as requiring a person who has acted or is acting as counsel or solicitor for any person to disclose any privileged information in their possession in that capacity.
(4) Regulations 54 and 54A do not limit the circumstances in which information may be disclosed apart from those regulations.
(5) Nothing in this Part limits any conditions which may be contained in a Treasury licence or a trade licence.
(6) In this regulation—
“the data protection legislation” has the same meaning as in the Data Protection Act 2018 (see section 3 of that Act) ;
“privileged information” means information with respect to which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings.

## Part 8: Enforcement

## 56 Penalties for offences

(1) A person who commits an offence under any provision of Part 3 (Finance) , regulation 36D(1), (2) or (3) (aircraft offences), 36F (prohibition on chartering or operating a specified ship), 36G(4) (prohibition on port entry), 36H(4) (directions prohibiting port entry) or 36I(3) (movement of ships: directions), or regulation 43 (finance: licensing offences), is liable—
(a) on summary conviction in England and Wales, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine (or both);
(b) on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);
(c) on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);
(d) on conviction on indictment, to imprisonment for a term not exceeding 7 years or a fine (or both).
(2) A person who commits an offence under any provision of Part 5 (Trade) is liable—
(a) on summary conviction in England and Wales, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine (or both);
(b) on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);
(c) on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);
(d) on conviction on indictment, to imprisonment for a term not exceeding 10 years or a fine (or both).
(2A) A person who commits an offence under regulation 36D(4) (disclosure of information), 36H(6) (directions prohibiting port entry: confidentiality) or 36I(5) (movement of ships: confidentiality) is liable—
(a) on summary conviction in England and Wales, to imprisonment for a term not exceeding 6 months or a fine (or both);
(b) on summary conviction in Scotland, to imprisonment for a term not exceeding 6 months or a fine not exceeding level 5 on the standard scale (or both);
(c) on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding level 5 on the standard scale (or both).
(3) A person who commits an offence under regulation 9(6) (confidentiality), 43A (director disqualification: licensing offences), 44 (Trade: licensing offences), 44A (aircraft: licensing offences), 44B (ships: licensing offences), 52(6) or 53(5) (offences in connection with trade licences) is liable—
(a) on summary conviction in England and Wales, to imprisonment for a term not exceeding the general limit in a magistrates’ court or a fine (or both);
(b) on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);
(c) on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);
(d) on conviction on indictment, to imprisonment for a term not exceeding 2 years or a fine (or both).
(4) A person who commits an offence under regulation 46(6) or 50 (information offences in connection with Part 3) is liable—
(a) on summary conviction in England and Wales, to imprisonment for a term not exceeding 6 months or a fine (or both);
(b) on summary conviction in Scotland, to imprisonment for a term not exceeding 6 months or a fine not exceeding level 5 on the standard scale (or both);
(c) on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding level 5 on the standard scale (or both).
(5) In relation to an offence committed before 2nd May 2022 the reference in each of paragraphs (1)(a), (2)(a) and (3)(a) to the general limit in a magistrates’ court is to be read as a reference to 6 months.

## 57 Liability of officers of bodies corporate etc

(1) Where an offence under these Regulations, committed by a body corporate—
(a) is committed with the consent or connivance of any director, manager, secretary or other similar officer of the body corporate, or any person who was purporting to act in any such capacity, or
(b) is attributable to any neglect on the part of any such person,
that person as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.
(2) In paragraph (1) “director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body corporate.
(3) Paragraph (1) also applies in relation to a body that is not a body corporate, with the substitution for the reference to a director of the body of a reference—
(a) in the case of a partnership, to a partner;
(b) in the case of an unincorporated body other than a partnership—
(i) where the body's affairs are managed by its members, to a member of the body;
(ii) in any other case, to a member of the governing body.
(4) Section 171(4) of CEMA (which is a provision similar to this regulation) does not apply to any offence under these Regulations to which that provision would, in the absence of this paragraph, apply.

## 58 Jurisdiction to try offences

(1) Where an offence under regulation 9(6) (confidentiality), Part 3 (Finance), regulation 43 (finance: licensing offences) , regulation 44A (aircraft: licensing offences), 44B (ships: licensing offences) or regulation 46(6) or 50 (information offences in connection with Part 3) is committed in the United Kingdom—
(a) proceedings for the offence may be taken at any place in the United Kingdom, and
(b) the offence may for all incidental purposes be treated as having been committed at any such place.
(2) Where an offence under these Regulations is committed outside the United Kingdom—
(a) proceedings for the offence may be taken at any place in the United Kingdom, and
(b) the offence may for all incidental purposes be treated as having been committed at any such place.
(3) In the application of paragraph (2) to Scotland, any such proceedings against a person may be taken—
(a) in any sheriff court district in which the person is apprehended or is in custody, or
(b) in such sheriff court district as the Lord Advocate may determine.
(4) In paragraph (3) “sheriff court district” is to be read in accordance with the Criminal Procedure (Scotland) Act 1995 (see section 307(1) of that Act) .

## 59 Procedure for offences by unincorporated bodies

(1) Paragraphs (2) and (3) apply if it is alleged that an offence under these Regulations has been committed by an unincorporated body (as opposed to by a member of the body).
(2) Proceedings in England and Wales or Northern Ireland for such an offence must be brought against the body in its own name.
(3) For the purposes of proceedings, for such an offence brought against an unincorporated body—
(a) rules of court relating to the service of documents have effect as if the body were a body corporate;
(b) the following provisions apply as they apply in relation to a body corporate—
(i) section 33 of the Criminal Justice Act 1925 and Schedule 3 to the Magistrates' Courts Act 1980 ;
(ii) section 18 of the Criminal Justice Act (Northern Ireland) 1945 and Article 166 of, and Schedule 4 to, the Magistrates' Courts (Northern Ireland) Order 1981 .
(4) A fine imposed on an unincorporated body on its conviction of an offence under these Regulations is to be paid out of the funds of the body.

## 60 Time limit for proceedings for summary offences

(1) Proceedings for an offence under these Regulations which is triable only summarily may be brought within the period of 12 months beginning with the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the prosecutor's knowledge.
(2) But such proceedings may not be brought by virtue of paragraph (1) more than 3 years after the commission of the offence.
(3) A certificate signed by the prosecutor as to the date on which the evidence in question came to the prosecutor's knowledge is conclusive evidence of the date on which it did so; and a certificate to that effect and purporting to be so signed is to be treated as being so signed unless the contrary is proved.
(4) In relation to proceedings in Scotland—
(a) section 136(3) of the Criminal Procedure (Scotland) Act 1995 (date of commencement of summary proceedings) applies for the purposes of this regulation as it applies for the purposes of that section, and
(b) references in this regulation to the prosecutor are to be treated as references to the Lord Advocate.

## 61 Trade enforcement: application of CEMA

(1) Where the Commissioners investigate or propose to investigate any matter with a view to determining—
(a) whether there are grounds for believing that a relevant offence has been committed, or
(b) whether a person should be prosecuted for such an offence,
the matter is to be treated as an assigned matter.
(2) In paragraph (1) “assigned matter” has the meaning given by section 1(1) of CEMA .
(3) In this regulation a “relevant offence” means an offence under—
(a) Part 5 (Trade),
(b) regulation 44 (trade: licensing offences),
(c) regulation 52(6) (general trade licences: records), or
(d) regulation 53(5) (general trade licences: inspection of records).
(3A) The Commissioners may not investigate the suspected commission of a relevant offence listed in paragraph (3B), (3C) or (3D), unless the suspected offence has been the subject of—
(a) a referral to the Commissioners by the Secretary of State, or
(b) a decision by the Commissioners to treat the suspected offence as if it had been referred to them under sub-paragraph (a).
(3B) Paragraph (3A) applies to the suspected commission of an offence under any of the following provisions—
(a) regulation 22(3) (supply and delivery of restricted goods from a third country to Iran) insofar as the offence does not relate to military goods, missile-list goods, nuclear-list goods, other restricted goods, graphite and relevant metals;
(b) regulation 23(3) (making available restricted goods and restricted technology) insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the UK, to military goods and military technology, missile-list goods and missile-list technology, nuclear-list goods and nuclear-list technology, other restricted goods and other restricted technology, and graphite and relevant metals;
(c) regulation 25(3) (technical assistance relating to restricted goods and restricted technology) insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the UK, to military goods and military technology, missile-list goods and missile-list technology, nuclear-list goods and nuclear list technology, other restricted goods and restricted technology, or graphite and relevant metals;
(d) regulation 26(5) (financial services and funds relating to restricted goods and restricted technology) insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the UK, to military goods and military technology, missile-list goods and missile-list technology, nuclear-list goods and nuclear-list technology, other restricted goods and restricted technology, or graphite and relevant metals;
(e) regulation 27(3) (brokering services: non-UK activity relating to restricted goods and restricted technology) insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the UK, to military goods and military technology, missile-list goods and missile list technology, nuclear-list goods and nuclear-list technology, other restricted goods and restricted technology, or graphite and relevant metals;
(f) regulation 27B (supply and delivery of gold, precious metals and diamonds to Iran), insofar as the offence does not relate to the import or export of goods;
(g) regulation 27C (making available gold, precious metals and diamonds), insofar as the offence does not relate to the import or export of goods;
(h) regulation 27D (technical assistance relating to gold, precious metals and diamonds), insofar as the offence does not relate to the import or export of goods;
(i) regulation 27E (financial services and funds relating to gold, precious metals and diamonds), insofar as the offence does not relate to the import or export of goods;
(j) regulation 27F (brokering services relating to gold, precious metals and diamonds) insofar as the offence does not relate to the import or export of goods;
(k) regulation 27I (supply and delivery of energy-related goods), insofar as the offence does not relate to the import or export of goods;
(l) regulation 27J (making energy-related goods or energy-related technology available), insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the United Kingdom;
(m) regulation 27K (transfer of energy-related technology), insofar as the offence does not relate to the transfer of technology to or from the United Kingdom;
(n) regulation 27L (technical assistance relating to energy-related goods and energy-related technology), insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the United Kingdom;
(o) regulation 27M (financial services and funds relating to energy-related goods and energy-related technology), insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the United Kingdom;
(p) regulation 27N (brokering services: non-UK activity relating to energy-related goods and energy-related technology), insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the United Kingdom;
(q) regulation 27O (prohibition on providing relevant energy-related services);
(r) regulation 27Q (supply and delivery of sectoral software goods), insofar as the offence does not relate to the import or export of goods;
(s) regulation 27R (making sectoral software goods and sectoral software and technology available), insofar as the offence does not relate to the import or export of goods or transfer of technology to or from the United Kingdom;
(t) regulation 27S (transfer of sectoral software and technology), insofar as the offence does not relate to transfer of technology to or from the United Kingdom;
(u) regulation 27T (technical assistance relating to sectoral software goods and sectoral software and technology), insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the United Kingdom;
(v) regulation 27U (financial services and funds relating to sectoral software goods and sectoral software and technology), insofar as the offence does not relate to the import or export of goods or transfer of technology to or from the United Kingdom;
(w) regulation 27V (brokering services: non-UK activity relating to sectoral software goods and sectoral software and technology) insofar as the offence does not relate to the import or export of goods or transfer of technology to or from the United Kingdom;
(x) regulation 31A (technical assistance relating to relevant goods and technology), insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the United Kingdom;
(y) regulation 31B (financial services and funds relating to relevant goods and technology), insofar as the offence does not relate to the import or export of goods or the transfer of technology to or from the United Kingdom;
(z) regulation 31C (brokering services relating to relevant goods and technology) insofar as the offence does not relate to the import or export of goods or transfer of technology to or from the United Kingdom;
(z1) regulation 31E (acquisition of gold, precious metals and diamonds), insofar as the offence does not relate to the import or export of goods;
(z2) regulation 31F (supply and delivery of gold, precious metals and diamonds from a place in Iran), insofar as the offence does not relate to the import or export of goods;
(z3) regulation 31G (technical assistance relating to gold, precious metals and diamonds), insofar as the offence does not relate to the import or export of goods;
(z4) regulation 31H (financial services and funds relating to gold, precious metals and diamonds), insofar as the offence does not relate to the import or export of goods;
(z5) regulation 31I (brokering services in relation to gold, precious metals and diamonds), insofar as the offence does not relate to the import or export of goods;
(z6) regulation 31K (acquisition of oil and petroleum products), insofar as the offence does not relate to the import or export of goods;
(z7) regulation 31L (supply and delivery of oil and petroleum products), insofar as the offence does not relate to the import or export of goods;
(z8) regulation 31M (technical assistance relating to oil and petroleum products), insofar as the offence does not relate to the import or export of goods;
(z9) regulation 31N (financial services and funds relating to oil and petroleum products), insofar as the offence does not relate to the import or export of goods;
(z10) regulation 31O (brokering services relating to oil and petroleum products), insofar as the offence does not relate to the import or export of goods;
(z11) regulation 31Q (acquisition of petrochemicals), insofar as the offence does not relate to the import or export of goods;
(z12) regulation 31R (supply and delivery of petrochemicals to a third country), insofar as the offence does not relate to the import or export of goods;
(z13) regulation 31S (technical assistance relating to petrochemicals), insofar as the offence does not relate to the import or export of goods;
(z14) regulation 31T (financial services and funds relating to petrochemicals), insofar as the offence does not relate to the import or export of goods;
(z15) regulation 31U (brokering services relating to petrochemicals), insofar as the offence does not relate to the import or export of goods;
(z16) regulation 31W (acquisition of natural gas), insofar as the offence does not relate to the import or export of goods;
(z17) regulation 31X (supply and delivery of natural gas to a third country), insofar as the offence does not relate to the import or export of goods;
(z18) regulation 31Y (technical assistance relating to natural gas), insofar as the offence does not relate to the import or export of goods;
(z19) regulation 31Z (financial services and funds relating to natural gas), insofar as the offence does not relate to the import or export of goods;
(z20) regulation 31Z1 (brokering services relating to natural gas), insofar as the offence does not relate to the import or export of goods;
(z21) regulation 33A (banknotes and coinage), insofar as the offence does not relate to the import or export of goods;
(z22) regulation 33B (making available certain vessels), insofar as the offence does not relate to the import or export of goods;
(z23) regulation 33C (technical assistance relating to certain tankers and cargo vessels);
(z24) regulation 33D (technical assistance relating to ships);
(z25) regulation 33E (provision of services relating to specified ships);
(z26) regulation 33F (procurement of services relating to specified ships).
(3C) Paragraph (3A) also applies to the suspected commission of a relevant offence under any of regulations 44(1) or (2), 52(6) and 53(5) insofar as—
(a) the suspected offence relates to a licence issued under regulation 41 (trade licences), and
(b) the activity authorised by that licence would, if no licence had been issued, amount to an offence specified in paragraph (3B).
(3D) Paragraph (3A) also applies to the suspected commission of a relevant offence under regulation 35(2) (circumventing etc. prohibitions), insofar as the prohibited activity to which the suspected offence relates is the circumvention of, or enabling or facilitation of a contravention of, a prohibition in relation to an offence specified in paragraph (3B).
(4) Section 138 of CEMA (arrest of persons) applies to a person who has committed, or whom there are reasonable grounds to suspect of having committed, a relevant offence as it applies to a person who has committed, or whom there are reasonable grounds to suspect of having committed, an offence for which the person is liable to be arrested under the customs and excise Acts , but as if—
(a) any reference to an offence under, or for which a person is liable to be arrested under, the customs and excise Acts were to a relevant offence;
(b) in subsection (2), the reference to any person so liable were to a person who has committed, or whom there are reasonable grounds to suspect of having committed, a relevant offence.
(5) The provisions of CEMA mentioned in paragraph (6) apply in relation to proceedings for a relevant offence as they apply in relation to proceedings for an offence under the customs and excise Acts, but as if—
(a) any reference to the customs and excise Acts were to any of the provisions mentioned in paragraph (3)(a) to (d);
(b) in section 145(6), the reference to an offence for which a person is liable to be arrested under the customs and excise Acts were to a relevant offence;
(c) in section 151, the reference to any penalty imposed under the customs and excise Acts were to any penalty imposed under these Regulations in relation to a relevant offence;
(d) in section 154(2)—
(i) the reference to proceedings relating to customs or excise were to proceedings under any of the provisions mentioned in paragraph (3)(a) to (d), and
(ii) the reference to the place from which any goods have been brought included a reference to the place to which goods have been exported, supplied or delivered or the place to or from which technology has been transferred.
(6) The provisions of CEMA are sections 145, 146, 147, 148(1), 150, 151, 152, 154 and 155 (legal proceedings).
(7) Any term in this regulation that is defined in regulation 34 (interpretation of Part 5: Trade) bears the same meaning as in that regulation.

## 62 Trade offences in CEMA: modification of penalty

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

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

Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005 (investigatory powers) applies to any offence under Part 3 (Finance) or regulation 43 (finance: licensing offences).

## 64 Monetary penalties

Each provision in Part 5 (Trade) which contains a prohibition imposed for a purpose mentioned in section 3(1) or (2) of the Act is to be regarded as not being financial sanctions legislation for the purposes of Part 8 of the Policing and Crime Act 2017.

## Part 9: Maritime enforcement

## 65 Exercise of maritime enforcement powers

(1) A maritime enforcement officer may, for a purpose mentioned in paragraph (2) or (3), exercise any of the maritime enforcement powers in relation to—
(a) a British ship in foreign waters or international waters,
(b) a ship without nationality in international waters, or
(c) a foreign ship in international waters,
and a ship within sub-paragraph (a), (b) or (c) is referred to in this Part as “a relevant ship”.
(2) The maritime enforcement powers may be exercised for the purpose of enforcing any of the following—
(a) a prohibition in any of regulations 21 to 24 (trade prohibitions relating to restricted goods and restricted technology);
(aa) a prohibition in any of regulations 27A to 27C (export, supply and delivery and making available gold, precious metals and diamonds);
(ab) a prohibition in any of regulations 27H to 27K (export, supply and delivery, making available and transfer of energy-related goods or technology);
(ac) a prohibition in any of regulations 27P to 27S (export, supply and delivery, making available and transfer of sectoral software goods or sectoral software and technology);
(b) a prohibition in any of regulations 28 to 31 (import, supply, transfer etc of goods and technology from Iran);
(ba) a prohibition in any of regulations 31D to 31F (import, acquisition, supply etc. of gold, precious metals and diamonds);
(bb) a prohibition in any of regulations 31J to 31L (import, acquisition, supply etc. of oil and petroleum products);
(bc) a prohibition in any of regulations 31P to 31R (import, acquisition, supply etc. of petrochemicals);
(bd) a prohibition in any of regulations 31V to 31X (import, acquisition, supply etc. of natural gas);
(be) a prohibition in regulations 33A (banknotes and coinage) or 33B (making available certain vessels);
(c) a prohibition imposed by a condition of a trade licence in relation to a prohibition mentioned in any of sub-paragraphs (a) to (be).
(3) The maritime enforcement powers may also be exercised in relation to a relevant ship for the purpose of—
(a) investigating the suspected carriage of relevant goods on the ship, or
(b) preventing the continued carriage on the ship of goods suspected to be relevant goods.
(4) In this Part, “the maritime enforcement powers” are the powers conferred by regulations 67 and 68.
(5) This regulation is subject to regulation 69 (restrictions on exercise of maritime enforcement powers).

## 66 Maritime enforcement officers

(1) The following persons are “maritime enforcement officers” for the purposes of this Part—
(a) a commissioned officer of any of Her Majesty's ships;
(b) a member of the Ministry of Defence Police (within the meaning of section 1 of the Ministry of Defence Police Act 1987 );
(c) a constable—
(i) who is a member of a police force in England and Wales,
(ii) within the meaning of section 99 of the Police and Fire Reform (Scotland) Act 2012 , or
(iii) who is a member of the Police Service of Northern Ireland or the Police Service of Northern Ireland Reserve;
(d) a special constable—
(i) appointed under section 27 of the Police Act 1996 ,
(ii) appointed under section 9 of the Police and Fire Reform (Scotland) Act 2012, or
(iii) in Northern Ireland, appointed by virtue of provision incorporating section 79 of the Harbours, Docks, and Piers Clauses Act 1847 ;
(e) a constable who is a member of the British Transport Police Force;
(f) a port constable, within the meaning of section 7 of the Marine Navigation Act 2013 , or a person appointed to act as a constable under provision made by virtue of section 16 of the Harbours Act 1964 ;
(g) a designated customs official within the meaning of Part 1 of the Borders, Citizenship and Immigration Act 2009 (see section 14(6) of that Act) ;
(h) a designated NCA officer who is authorised by the Director General of the National Crime Agency (whether generally or specifically) to exercise the powers of a maritime enforcement officer under this Part.
(2) In this regulation, “a designated NCA officer” means a National Crime Agency officer who is either or both of the following—
(a) an officer designated under section 10 of the Crime and Courts Act 2013 as having the powers and privileges of a constable;
(b) an officer designated under that section as having the powers of a general customs official.

## 67 Power to stop, board, search etc

(1) This regulation applies if a maritime enforcement officer has reasonable grounds to suspect that a relevant ship is carrying prohibited goods or relevant goods.
(2) The officer may—
(a) stop the ship;
(b) board the ship;
(c) for the purpose of exercising a power conferred by paragraph (3) or regulation 68, require the ship to be taken to, and remain in, a port or anchorage in the United Kingdom or any other country willing to receive it.
(3) Where the officer boards a ship by virtue of this regulation, the officer may—
(a) stop any person found on the ship and search that person for—
(i) prohibited goods or relevant goods, or
(ii) any thing that might be used to cause physical injury or damage to property or to endanger the safety of any ship;
(b) search the ship, or any thing found on the ship (including cargo) for prohibited goods or relevant goods;
(4) The officer may—
(a) require a person found on a ship boarded by virtue of this regulation to provide information or produce documents;
(b) inspect and copy such information or documents.
(5) The officer may exercise a power conferred by paragraph (3)(a)(i) or (b) only to the extent reasonably required for the purpose of discovering prohibited goods or relevant goods.
(6) The officer may exercise the power conferred by paragraph (3)(a)(ii) in relation to a person only where the officer has reasonable grounds to believe that the person might use a thing to cause physical injury or damage to property or to endanger the safety of any ship.
(7) The officer may use reasonable force, if necessary, in the exercise of any power conferred by this regulation.

## 68 Seizure power

(1) This regulation applies if a maritime enforcement officer is lawfully on a relevant ship (whether in exercise of the powers conferred by regulation 65 or otherwise).
(2) The officer may seize any of the following which are found on the ship, in any thing found on the ship, or on any person found on the ship—
(a) goods which the officer has reasonable grounds to suspect are prohibited goods or relevant goods, or
(b) things within regulation 67(3)(a)(ii).
(3) The officer may use reasonable force, if necessary, in the exercise of any power conferred by this regulation.

## 69 Restrictions on exercise of maritime enforcement powers

(1) The authority of the Secretary of State is required before any maritime enforcement power is exercised in reliance on regulation 65 in relation to—
(a) a British ship in foreign waters, or
(b) a foreign ship in international waters.
(2) In relation to a British ship in foreign waters other than the sea and other waters within the seaward limits of the territorial sea adjacent to any relevant British possession, the Secretary of State may give authority under paragraph (1) only if the State in whose waters the power would be exercised consents to the exercise of the power.
(3) In relation to a foreign ship in international waters, the Secretary of State may give authority under paragraph (1) only if—
(a) the home state has requested the assistance of the United Kingdom for a purpose mentioned in regulation 65(2) or (3),
(b) the home state has authorised the United Kingdom to act for such a purpose, or
(c) the United Nations Convention on the Law of the Sea 1982 or a UN Security Council Resolution otherwise permits the exercise of the power in relation to the ship.

## 70 Interpretation of Part 9

(1) Subject to paragraph (2), any expression used in this Part and in section 19 or 20 of the Act has the same meaning in this Part as it has in section 19 or (as the case may be) section 20 of the Act.
(2) For the purpose of interpreting any reference to “prohibited goods” or “relevant goods” in this Part, any reference in section 19 or 20 of the Act to a “relevant prohibition or requirement” is to be read as a reference to any prohibition specified in regulation 65(2).

## Part 10: Supplementary and final provision

## 71 Notices

(1) This regulation applies in relation to a notice required by regulation 42 (licences: general provisions) to be given to a person.
(2) The notice may be given to an individual—
(a) by delivering it to the individual,
(b) by sending it to the individual by post addressed to the individual at his or her usual or last-known place of residence or business, or
(c) by leaving it for the individual at that place.
(3) The notice may be given to a person other than an individual—
(a) by sending it by post to the proper officer of the body at its principal office, or
(b) by addressing it to the proper officer of the body and leaving it at that office.
(3A) The notice may be given to the person by electronic means.
(4) The notice may be given to the person by other means... with the person's consent.
(5) In this regulation, the reference in paragraph (3) to a “principal office”—
(a) in relation to a registered company, is to be read as a reference to the company's registered office;
(b) in relation to a body incorporated or constituted under the law of a country other than the United Kingdom, includes a reference to the body's principal office in the United Kingdom (if any).
(6) In this regulation—
“proper officer”—
(a)in relation to a body other than a partnership, means the secretary or other executive officer charged with the conduct of the body's general affairs, and
(b)in relation to a partnership, means a partner or a person who has the control or management of the partnership business;
“registered company” means a company registered under the enactments relating to companies for the time being in force in the United Kingdom.

## 72 Article 20 of the Export Control Order 2008

Article 20 of the Export Control Order 2008 (embargoed destinations) is not to be taken to prohibit anything prohibited by Part 5 (Trade).

## 73 Trade: overlapping offences

A person is not to be taken to commit an offence under the Export Control Order 2008 if the person would, in the absence of this regulation, commit an offence under both—
(a) article 34, 35, 37 or 38 of that Order, and
(b) any provision of Part 5 (Trade) or regulation 44 (trade: licensing offences), 52(6) or 53(5) (offences in connection with record-keeping).

## 74 Revocations

(1) Council Regulation (EU) No 267/2012 of 23 March 2012 concerning restrictive measures against Iran and repealing Regulation (EU) No 961/2010 is revoked.
(2) The Iran (European Union Financial Sanctions) Regulations 2016 are revoked.
(3) The Export Control (Iran Sanctions) Order 2016 is revoked.
(4) The Iran (Financial Sanctions) Order 2007 is revoked.

## 75 Transitional provision: Treasury licences

(1) Paragraphs (2) to (4) apply to a licence which—
(a) was granted, or deemed to be granted, by the Treasury under regulation 9 of the 2016 Regulations ,
(b) was in effect immediately before the relevant date, and
(c) authorises conduct which would (on and after the relevant date, and in the absence of paragraphs (2) to (4)) be prohibited under Part 3 (Finance),
and such a licence is referred to in this regulation as “an existing financial sanctions licence”.
(2) An existing financial sanctions licence which authorises an act which would otherwise be prohibited has effect on and after the relevant date as if it had been issued by the Treasury under regulation 40(1) (Treasury licences).
(3) Any reference in an existing financial sanctions licence to the 2016 Regulations is to be treated on and after the relevant date as a reference to these Regulations.
(4) Any reference in an existing financial sanctions licence to a prohibition in—
(a) the 2016 Regulations, or
(b) the EU Iran Regulation,
is to be treated on and after the relevant date as a reference to the corresponding prohibition in Part 3.
(5) Paragraph (6) applies where—
(a) an application for a licence, or for the variation of a licence, under the 2016 Regulations was made before the relevant date,
(b) the application is for the authorisation of conduct which would (on and after the relevant date) be prohibited under Part 3, and
(c) a decision to grant or refuse the application has not been made before that date.
(6) The application is to be treated on and after the relevant date as an application for a licence, or for the variation of a licence (as the case may be), under regulation 40(1) (Treasury licences).
(7) In paragraphs (3) and (4), a reference to the 2016 Regulations is to be treated as including a reference to—
(a) the Iran (European Community Financial Sanctions) Regulations 2007 ,
(b) the Iran (European Union Financial Sanctions) Regulations 2010 , or
(c) the Iran (European Union Financial Sanctions) Regulations 2012 .
(8) In this regulation—
“the 2016 Regulations” means the Iran (European Union Financial Sanctions) Regulations 2016;
“the relevant date” means—
(a) where regulations under section 56 of the Act provide that Part 3 comes into force at a specified time on a day, that time on that day;
(b) otherwise, the date on which Part 3 comes into force.

## 76 Transitional provision: trade licences

(A1) Paragraph (B1) applies in relation to each licence or authorisation granted by the Secretary of State which—
(a) was in effect immediately before the relevant date, and
(b) authorises an act—
(i) which would otherwise be prohibited by any provision of the Export Control Order 2008 except article 20 of that Order (embargoed destinations), or which requires an authorisation under or pursuant to the Dual-Use Regulation, and
(ii) which would (on or after the relevant date, and in the absence of paragraph (B1)) be prohibited by Part 5 (Trade),
and such a licence or authorisation is referred to in this regulation as an “existing trade licence”.
(B1) A licence is deemed to have been issued by the Secretary of State at the beginning of the relevant date under regulation 41 (trade licences)—
(a) disapplying every provision of Part 5 which would, in the absence of this paragraph, prohibit any act authorised by the existing trade licence, and
(b) otherwise in the same terms as the existing trade licence.
(1) Paragraphs (2) to (4) apply to a licence or authorisation granted by the Secretary of State which—
(a) was in effect immediately before the relevant date,
(b) is not an existing trade licence, and
(c) authorises an act—
(i) which would otherwise be prohibited by either—
(aa) the EU Iran Regulation, or
(bb) the Iran (United Nations Sanctions) Order 2009, and
(ii) which would (on and after the relevant date, and in the absence of paragraphs (2) to (4)) be prohibited by Part 5 (Trade),
and such a licence or authorisation is referred to in this regulation as “an existing trade sanctions licence”.
(2) An existing trade sanctions licence has effect on and after the relevant date as if it were a licence which had been issued by the Secretary of State under regulation 41 (trade licences).
(3) Any reference in an existing trade sanctions licence to a provision of the Export Control (Iran Sanctions) Order 2016 , the Iran (United Nations Sanctions) Order 2009 or the Export Control Order 2008 is to be treated on and after the relevant date as a reference to the corresponding provision of these Regulations (if any).
(4) Any reference in an existing trade sanctions licence to a prohibition in the EU Iran Regulation is to be treated on and after the relevant date as a reference to the corresponding prohibition in Part 5 (Trade).
(5) In this regulation, “the relevant date” means—
(a) where regulations under section 56 of the Act provide that Part 5 comes into force at a specified time on a day, that time on that day;
(b) otherwise, the date on which Part 5 comes into force.

## 77 Transitional provision: pending applications for trade licences

(1) Paragraph (2) applies where—
(a) an application was made before the relevant date for a licence or authorisation under the Export Control (Iran Sanctions) Order 2016 or the EU Iran Regulation,
(b) the application is for authorisation of an act prohibited by Part 5 (Trade), and
(c) a decision to grant or refuse the application has not been made before the relevant date.
(2) The application is to be treated on and after the relevant date as an application for a licence under regulation 41 (trade licences).
(3) In this regulation, “the relevant date” means—
(a) where regulations under section 56 of the Act provide that Part 5 comes into force at a specified time on a day, that time on that day;
(b) otherwise, the date on which Part 5 comes into force.

## 78 Transitional Provisions: prior obligations

(1) Where immediately before 31 January 2020 at 11.00pm—
(a) a person was named in Annex IX of the EU Iran Regulation, and
(b) the person was a designated person,
any reference in a provision mentioned in paragraph (3) to a time when the person was not a designated person is to be read on the basis that the person became a designated person on the date on which the person was named in that Annex.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) The provision referred to in paragraph (1) is—
(a) regulation 37(5) (finance: exceptions from prohibitions), ...
(ab) regulation 37ZZB (finance: exceptions relating to payment of Treasury debt), and
(b) paragraphs 7A(b)(i), 7B and 10C of Schedule 2 (Treasury licences: purposes).
(4) In paragraph (1), the reference to the date on which a person was named in Annex IX of the EU Iran Regulation—
(a) if the person had previously been named in Annex V of the 2007 EU Iran Regulation, is to be read as the date on which the person was named in that Annex;
(b) if the person had previously been named in Annex VIII of the 2010 EU Iran Regulation but not in Annex V of the 2007 EU Iran Regulation, is to be read as the date on which the person was named in Annex VIII of the 2010 EU Iran Regulation.
(5) In this regulation—
“the 2007 EU Iran Regulation” means Council Regulation (EC) No 423/2007 of 19 April 2007 concerning restrictive measures against Iran ;
“the 2010 EU Iran Regulation” means Council Regulation (EU) No 961/2010 of 25 October 2010 on restrictive measures against Iran and repealing Regulation (EC) No 423/2007 ;
“designated person” has the same meaning as it has in Part 3 (Finance);
...

## Signature

Alan Duncan
Minister of State
Foreign and Commonwealth Office

## Schedule 1: Rules for interpretation of regulation 7(2)

## 1 Application of Schedule

(1) The rules set out in the following paragraphs of this Schedule apply for the purpose of interpreting regulation 7(2).
(2) They also apply for the purpose of interpreting this Schedule.

## 2 Joint interests

If two or more persons each hold a share or right jointly, each of them is treated as holding that share or right.

## 3 Joint arrangements

(1) If shares or rights held by a person and shares or rights held by another person are the subject of a joint arrangement between those persons, each of them is treated as holding the combined shares or rights of both of them.
(2) A “joint arrangement” is an arrangement between the holders of shares or rights that they will exercise all or substantially all the rights conferred by their respective shares or rights jointly in a way that is pre-determined by the arrangement.
(3) “Arrangement” has the meaning given by paragraph 12.

## 4 Calculating shareholdings

(1) In relation to a person who has a share capital, a reference to holding “more than 50% of the shares” in that person is to holding shares comprised in the issued share capital of that person of a nominal value exceeding (in aggregate) 50% of that share capital.
(2) In relation to a person who does not have a share capital—
(a) a reference to holding shares in that person is to holding a right or rights to share in the capital or, as the case may be, profits of that person;
(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.

## 5 Voting rights

(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.

## 7 Rights to appoint or remove members of the board

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.

## 9 Shares or rights held “indirectly”

(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.

## 10 Shares held by nominees

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

## 11 Rights treated as held by person who controls their exercise

(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.

## 13 Rights exercisable only in certain circumstances etc.

(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 ,
(b) administration within the meaning of the Insolvency (Northern Ireland) Order 1989 , 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.

## 14 Rights attached to shares held by way of security

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 1a: Energy-related goods and energy-related technology

### Part 1: Introduction

## 1 

In this Schedule, “development”, “production”, “required”, “software”, “technology” and “use” have the meanings given to them in the Dual-Use Regulation.

## 2 

For the purposes of Sections 1E, 2E and 3D in Part 3 of this Schedule, technology is not restricted as energy-related technology if it is—
(a) the minimum necessary for—
(i) the installation, operation, maintenance or repair of any goods which are restricted goods as defined by regulation 20, or
(ii) patent applications, including information for patent application,
(b) in the public domain, or
(c) basic scientific research.

### Part 2: Petrochemicals

## 3 

Any item falling within a commodity code mentioned in the first column of the following table.
Commodity code
Description
2812 11
Carbonyl dichloride (phosgene)
2814
Ammonia, anhydrous or in aqueous solution
3102 30
Ammonium nitrate, whether or not in aqueous solution
2901 21
Ethylene
2901 22
Propene (propylene)
2902 20
Benzene
2902 30
Toluene
2902 41
o-Xylene
2902 42
m-Xylene
2902 43
p-Xylene
2902 44
Mixed xylene isomers
2902 50
Styrene
2902 60
Ethyl benzene
2902 70
Cumene
2903 11
Chloromethane (methyl chloride) and chloroethane (ethyl chloride)
2903 29
Other than unsaturated chlorinated derivatives of acyclic hydrocarbons
2903 81
1.2, 3.4, 5.6-hexachlorocyclohexane (HCH (ISO)), including lindane (ISO, INN)
2903 82
Aldrin (ISO), chlordane (ISO) and heptachlor (ISO)
2903 99
Other halogenated derivatives of hydrocarbons
2903 91
Chlorobenzene, o-dichlorobenzene and p-dichlorobenzene
2903 92
Hexachlorobenzene (ISO) and DDT (ISO) (clofenotane (INN), 1.1,1-trichloro-2.2-bis (p-chlorophenyl) ethane)
2903 99 80
Other halogenated derivatives of aromatic hydrocarbons
2909
Ethers, ether-alcohols, ether-phenols, ether-alcohol-phenols, alcohol peroxides, ether peroxides, acetal and hemiacetal peroxides, ketone peroxides (whether or not chemically defined), and their halogenated, sulphonated, nitrated or nitrosated derivatives
2905 11
Methanol (methyl alcohol)
2905 12
Propan-1-ol (propyl alcohol) and propan-2-ol (isopropyl alcohol
2905 13
Butan-1-ol (n-butyl alcohol)
2905 31
Ethylene glycol (ethanediol)
2907 11
2907 19
Phenol (hydroxybenzene) and its salts, Cresols and their salts, Naphthols and their salts, other
2910 10
Oxirane (ethylene oxide)
2910 20
Methyloxirane (propylene oxide)
2914 11
Acetone
2917 14
Maleic anhydride
2917 35
Phthalic anhydride
2917 36
Terephthalic acid and its salts
2917 37
Dimethyl terephthalate
2926 10
Acrylonitrile
2929 10
Isocyanates
3901
Polymers of ethylene, in primary forms
2707 10
Benzol (benzene)
2707 20
Toluol (toluene)
2707 30
Xylol (xylenes)
2707 40
Naphthalene
2707 99 80
Phenols
2711 14
Ethylene, propylene, butylene and butadiene

### Part 3: Energy-related equipment and technology

### Chapter 1: Exploration and production of crude oil and natural gas

## 4 Section 1A: Equipment

Geophysical survey equipment, vehicles, vessels and aircraft specially designed or adapted to acquire data for oil and gas exploration and specially designed components therefor.

## 5 Section 1A: Equipment

Sensors specially designed for downhole well operations in oil and gas wells, including sensors used for measurement whilst drilling and the associated equipment specially designed to acquire and store data from such sensors.

## 6 Section 1A: Equipment

Drilling equipment designed to drill rock formations, specifically for the purpose of exploring for, or producing, oil, gas and other naturally occurring hydrocarbon materials.

## 7 Section 1A: Equipment

Drill bits, drill pipes, drill collars, centralisers and other equipment, specially designed for use in and with oil and gas well drilling equipment.

## 8 Section 1A: Equipment

Drilling wellheads, blowout preventers and Christmas or production trees and the specially designed components thereof, meeting the API and ISO specifications for use with oil and gas wells, and for the purposes of this paragraph—
(a) a “blowout preventer” is a device typically used at ground level (or, if drilling underwater, at the seabed) during drilling to prevent the uncontrolled escape of oil and/or gas from the well;
(b) a “Christmas tree or production tree” is a device typically used to control flow of fluids from the well when it is complete and oil and/or gas production has started;
(c) “API and ISO specifications” refers to the American Petroleum Institute specifications 6A, 16A, 17D and 11IW and the International Standards Organisation specifications 10423 and 13533 for blowout preventers, wellhead and Christmas trees for use on oil and/or gas wells.

## 9 Section 1A: Equipment

Drilling and production platforms for crude oil and natural gas.

## 10 Section 1A: Equipment

Vessels and barges incorporating drilling and/or petroleum processing equipment used for producing oil, gas and other naturally occurring flammable materials.

## 11 Section 1A: Equipment

Liquid/gas separators meeting API specification 12J, specially designed to process the production from an oil or gas well, to separate the petroleum liquids from any water and any gas from the liquids, and for these purposes “API specification 12J” refers to the American Petroleum Institute specification for process design of oil and gas separators and scrubbers.

## 12 Section 1A: Equipment

Gas compressor with a design pressure of 40 bar (PN 40 and/or ANSI 300) or more and having a suction volume capacity of 300,000 Nm3/h or more, for the initial processing and transmission of natural gas, excluded gas compressors for CNG (Compressed Natural Gas) filling stations, and specially designed components therefor.

## 13 Section 1A: Equipment

(1) Sub-sea production control equipment and the components thereof meeting API and ISO specifications for use with oil and gas wells.
(2) In sub-paragraph (1), “API and ISO specifications” refers to the American Petroleum Institute specification 17 F and/or the International Standards Organisation specification 13268 for sub-sea production control systems.

## 14 Section 1A: Equipment

Pumps, typically high capacity and/or high pressure (in excess of 0.3 m3 per minute and/or 40 bar), specially designed to pump drilling muds and/or cement into oil and gas wells.

## 15 Section 1B: Test and inspection equipment

Equipment specially designed for sampling, testing and analysing the properties of drilling mud, oil well cements and other materials specially designed and/or formulated for use in oil and gas wells.

## 16 Section 1B: Test and inspection equipment

Equipment specially designed for sampling, testing and analysing the properties of rock samples, liquid and gaseous samples and other materials taken from an oil and/or gas well either during or after drilling, or from the initial processing facilities attached thereto.

## 17 Section 1B: Test and inspection equipment

Equipment specially designed for collecting and interpreting information about the physical and mechanical condition of an oil and/or gas well, and for determining the in situ properties of the rock and reservoir formation.

## 18 Section 1C: Materials

Drilling mud, drilling mud additives and the components thereof, specially formulated to stabilise oil and gas wells during drilling, to recover drill cuttings to the surface and to lubricate and cool the drilling equipment in the well.

## 19 Section 1C: Materials

(1) Cements and other materials meeting the API and ISO specifications for use in oil and gas wells.
(2) In sub-paragraph (1), “API and ISO specification” refers to the American Petroleum Institute specification 10A or the International Standards Organisation specification 10426 for oil well cements and other materials specially formulated for use in the cementing of oil and gas wells.

## 20 Section 1C: Materials

Corrosion inhibiting, emulsion treatment, defoaming agents and other chemicals specially formulated to be used in the drilling for, and the initial processing of, petroleum produced from an oil and/or gas well.

## 21 Section 1D: Software

Software specially designed to collect and interpret data acquired from seismic, electromagnetic, magnetic or gravity surveys for the purpose of establishing oil or gas prospectivity.

## 22 Section 1D: Software

Software specially designed for storing, analysing and interpreting information acquired during drilling and production to assess the physical characteristics and behaviour of oil or gas reservoirs.

## 23 Section 1D: Software

Software specially designed for the use of petroleum production and processing facilities or specific sub-units of such facilities.

## 24 Section 1E: Technology

Technology required for the development, production or use of equipment specified in paragraphs 4 to 14.

### Chapter 2: Refining of crude oil and liquefaction of natural gas

## 25 Section 2A: Equipment

Heat exchangers as follows and specially designed components therefor—
(a) plate-fin heat exchangers with a surface/volume ratio greater than 500 m2/m3, specially designed for pre-cooling of natural gas;
(b) coil-wound heat exchangers specially designed for liquefaction or sub-cooling of natural gas.

## 26 Section 2A: Equipment

Cryogenic pumps for the transport of media at a temperature below minus 120 °C having a transport capacity of more than 500 m3/h and specially designed components therefor.

## 27 Section 2A: Equipment

(1) Coldbox and coldbox equipment not specified by paragraph 32.
(2) In sub-paragraph (1)—
(a) “Coldbox equipment” refers to a specially designed construction, which is specific for LNG plants and incorporates the process stage of liquefaction;
(b) the “coldbox”—
(i) comprises heat exchangers, piping, other instrumentation and thermal insulators;
(ii) has an inside temperature of below minus 120 °C (conditions for condensation of natural gas);
(iii) has the function of the thermal insulation of the equipment described above.

## 28 Section 2A: Equipment

Equipment for shipping terminals of liquefied gases having a temperature below minus 120 °C and specially designed components therefor.

## 29 Section 2A: Equipment

Flexible and non-flexible transfer line having a diameter greater than 50 mm for the transport of media below minus 120 °C.

## 30 Section 2A: Equipment

Maritime vessels specially designed for the transport of LNG.

## 31 Section 2A: Equipment

Electrostatic desalters specially designed to remove contaminants such as salts, solids and water from crude oil and specially designed components therefor.

## 32 Section 2A: Equipment

All crackers, including hydrocrackers, and cokers, specially designed for conversion of vacuum gas oils or vacuum residuum, and specially designed components therefor.

## 33 Section 2A: Equipment

Hydrotreaters specially designed for desulphurisation of gasoline, diesel cuts and kerosene and specially designed components therefor.

## 34 Section 2A: Equipment

Catalytic reformers specially designed for conversion of desulphurised gasoline into high-octane gasoline, and specially designed components therefor.

## 35 Section 2A: Equipment

Refinery units for C5-C6 cuts isomerisation, and refinery units for alkylation of light olefins, to improve the octane index of the hydrocarbon cuts.

## 36 Section 2A: Equipment

Pumps specially designed for the transport of crude oil and fuels, having a capacity of 50 m3/h or more and specially designed components therefor.

## 37 Section 2A: Equipment

(1) Tubes with an outer diameter of 0.2 m or more and made from any of the following materials—
(a) stainless steels with 23% chromium or more by weight;
(b) stainless steels and nickel bases alloys with a pitting resistance equivalent number higher than 33.
(2) In sub-paragraph (1)—
(a) the “pitting resistance equivalent” (“PRE”) number characterises the corrosion resistance of stainless steels and nickel alloys to pitting or crevice corrosion;
(b) the pitting resistance of stainless steels and nickel alloys is primarily determined by their compositions, primarily: chromium, molybdenum, and nitrogen;
(3) The formula to calculate the PRE number is—
PRE =% Cr + 3.3*% Mo + 30*% N

## 38 Section 2A: Equipment

Pipeline Inspection Gauge (“PIG”) and specially designed components therefor.

## 39 Section 2A: Equipment

(1) PIG launchers and PIG catchers for the integration or removing of PIGs.
(2) The “PIG” is a device typically used for cleaning or inspection of a pipeline from inside (corrosion state or crack formation) and is propelled by the pressure of the product in the pipeline.

## 40 Section 2A: Equipment

Tanks for the storage of crude oil and fuels with a volume greater than 1,000 m3 (1,000,000 litres) as follows, and specially designed components therefor—
(a) fixed roof tanks;
(b) floating roof tanks.

## 41 Section 2A: Equipment

Sub-sea flexible pipes specially designed for the transportation of hydrocarbons and injection fluids, water or gas, having a diameter greater than 50 mm.

## 42 Section 2A: Equipment

Flexible pipes used for high pressure for topside and sub-sea application.

## 43 Section 2A: Equipment

Isomeration equipment specially designed for production of high-octane gasoline based on light hydrocarbons as feed, and specially designed components therefor.

## 44 Section 2B: Test and inspection equipment

Equipment specially designed for testing and analysing of quality (properties) of crude oil and fuels.

## 45 Section 2B: Test and inspection equipment

Interface control systems specially designed for controlling and optimising of the desalting process.

## 46 Section 2C: Materials

Diethyleneglycol (CAS 111-46-6), Triethylene glycol (CAS 112-27-6).

## 47 Section 2C: Materials

N-Methylpyrrolidon (CAS 872-50-4), Sulfolane (CAS 126-33-0).

## 48 Section 2C: Materials

Zeolites, of natural or synthetic origin, specially designed for fluid catalytic cracking or for the purification and/or dehydration of gases, including natural gases.

## 49 Section 2C: Materials

Catalysts for the cracking and conversion of hydrocarbons as follows—
(a) single metal (platinum group) on alumina type or on zeolite, specially designed for catalytic reforming process;
(b) mixed metal species (platinum in combination with other noble metals) on alumina type or on zeolite, specially designed for catalytic reforming process;
(c) cobalt and nickel catalysts doped with molybdenum on alumina type or on zeolite, specially designed for catalytic desulphurisation process;
(d) palladium, nickel, chromium and tungsten catalysts on alumina type or on zeolite, specially designed for catalytic hydrocracking process.

## 50 Section 2C: Materials

(1) Gasoline additives specially formulated for increasing the octane number of gasoline.
(2) This entry includes Ethyl tertiary butyl ether (ETBE) (CAS 637-92-3) and Methyl tertiary butyl ether (MTBE) (CAS 1634-04-4).

## 51 Section 2D: Software

Software specially designed for the use of LNG plants or specific sub-units of such plants.

## 52 Section 2D: Software

Software specially designed for the development, production or use of plants (including their sub-units) for oil refining.

## 53 Section 2E: Technology

Technology required for the development, production or use of equipment for the conditioning and purification of raw natural gas (dehydration, sweetening, removal of impurities).

## 54 Section 2E: Technology

Technology for the liquefaction of natural gas, including technology required for the development, production or use of LNG plants.

## 55 Section 2E: Technology

Technology required for the development, production or use of equipment for the shipment of liquefied natural gas.

## 56 Section 2E: Technology

Technology required for the development, production or use of maritime vessels specially designed for the transport of liquefied natural gas.

## 57 Section 2E: Technology

Technology required for the development, production or use of tanks for the storage of crude oil and fuels.

## 58 Section 2E: Technology

Technology required for the development, production or use of a refinery plant, such as—
(a) technology for conversion of light olefin to gasoline;
(b) catalytic reforming and isomerisation technology;
(c) catalytic and thermal cracking technology.

### Chapter 3: Petrochemical Industry

## 59 Section 3A: Equipment

Reactors—
(a) specially designed for production of phosgene (CAS 506-77-4) and specially designed components therefor;
(b) for phosgenation specially designed for the production of HDI, TDI, MDI and specially designed components therefor, with the exception of secondary reactors;
(c) specially designed for low pressure (up to max 40 bar) polymerisation of ethylene and propylene and specially designed components therefor;
(d) specially designed for the thermal cracking of EDC (ethylene dichloride) and specially designed components therefor, with the exception of secondary reactors;
(e) specially designed for chlorination and oxychlorination in the production of vinyl chloride and specially designed components therefor, with the exception of secondary reactors.

## 60 Section 3A: Equipment

Thin film evaporators and falling film evaporators consisting of materials resistant to hot concentrated acetic acid and specially designed components therefor, and the relevant software developed therefor.

## 61 Section 3A: Equipment

Plants for the separation of hydrochloric acid by electrolysis and specially designed components therefor, and the relevant software developed therefor.

## 62 Section 3A: Equipment

Columns having a diameter larger than 5,000 mm and specially designed components therefor.

## 63 Section 3A: Equipment

Ball valves and plug valves with ceramic balls or plugs, having a nominal diameter of 10 mm or more, and specially designed components therefor.

## 64 Section 3A: Equipment

Centrifugal and/or reciprocating compressor having an installed power above 2 MW and meeting specification API 617 or API 618, where—
“API 617” is American Petroleum Institution specification for axial and centrifugal compressors and expander-compressors for petroleum, chemical and gas industry services, and
“API 618” is American Petroleum Institution specification for reciprocating compressors for petroleum, chemical and gas industry services.

## 65 Section 3B: Materials

Catalysts applicable to processes of production of trinitrotoluene, ammonium nitrate and other chemical and petrochemical processes used for explosive manufacturing, and the relevant software developed therefor.

## 66 Section 3B: Materials

Catalysts used for the production of monomers such as ethylene and propylene (steam cracking units and/or gas to petrochemicals units), and the relevant software developed therefor.

## 67 Section 3C: Software

Software specially designed for the development, production or use of equipment specified in paragraphs 59 to 64.

## 68 Section 3C: Software

Software specially designed for use in methanol plants.

## 69 Section 3D: Technology

Technology for the development, production or use of Gas-To-Liquid (GTL) or Gas-To-Petrochemicals (GTP) processes or for GTL- or GTP- plants.

## 70 Section 3D: Technology

Technology required for the development, production or use of equipment designed for the manufacture of ammonia and methanol plants.

## 71 Section 3D: Technology

Technology for the production of MEG (Mono ethylene glycol), EO (Ethylene oxide)/EG (Ethylene glycol).

## 72 Section 3D: Technology

In paragraphs 69 to 71, “technology” means specific information necessary for the development, production or use of goods, which takes the form of “technical data” or “technical assistance” as defined in Annex 1 to the Dual-Use Regulation.

### Part 4: Energy-related goods

## 73 

Any items falling within a commodity code listed in this Part.
Commodity code
Description
Casing, tubing and drill pipe, of a kind used in drilling for oil or gas—
7304 22
Drill pipe of stainless steel
7304 23
Other drill pipes
7304 24
Other, of stainless steel
7304 29
Other
7305
Other tubes and pipes (for example, welded, riveted or similarly closed), having circular cross-sections, the external diameter of which exceeds 406.4 mm, of iron or steel
Line pipe of a kind used for oil or gas pipelines—
7306 11
Welded, of stainless steel
7306 19
Other
Casing and tubing of a kind used in drilling for oil or gas—
7306 21
Welded, of stainless steel
7306 29
Other
Containers for compressed or liquefied gas, of iron or steel other than seamless containers—
7311 00 99
Other, of a capacity of 1,000 litres or more
7613
Aluminium containers for compressed or liquefied gas

## Schedule 1B: Gold, precious metals or diamonds

## 1 

Any thing falling within a commodity code listed in this Schedule.
Commodity code
Description
7102
Diamonds, whether or not worked, but not mounted or set
7106
Silver (including silver plated with gold or platinum), unwrought or in semi-manufactured forms, or in powder form
7108
Gold (including gold plated with platinum), unwrought or in semi-manufactured forms, or in powder form
7109
Base metals or silver, clad with gold, not further worked than semi-manufactured
7110
Platinum, unwrought or in semi-manufactured forms, or in powder form
7111
Base metals, silver or gold, clad with platinum, not further worked than semi-manufactured
7112
Waste and scrap of precious metal or of metal clad with precious metal; other waste and scrap containing precious metal or precious-metal compounds, of a kind used principally for the recovery of precious metal other than goods of heading 8549

## Schedule 1C: Graphite and relevant metals

## 1 

The metals falling within a commodity code listed in paragraphs 2 to 10 of this Schedule.

## 2 

Raw or semi-fabricated graphite
Commodity code
Description
2504
Natural graphite
3801
Artificial graphite; colloidal or semi-colloidal graphite; preparations based on graphite or other carbon in the form of pastes, blocks, plates or other semi-manufactures
6815 11
Non-electrical articles of graphite or other carbon, incl. carbon fibres
6903 10
Other refractory ceramic goods (for example, retorts, crucibles, muffles, nozzles, plugs, supports, cupels, tubes, pipes, sheaths, rods and slide gates), other than those of siliceous fossil meals or of similar siliceous earths containing, by weight, more than 50% of free carbon
8545
Carbon electrodes, carbon brushes, lamp carbons, battery carbons and other articles of graphite or other carbon, with or without metal, of a kind used for electrical purposes

## 3 

Iron and steel
Code
Description
7201
Pig iron and spiegeleisen in pigs, blocks or other primary forms
7202
Ferro-alloys
7203
Ferrous products obtained by direct reduction of iron ore and other spongy ferrous products, in lumps, pellets or similar forms; iron having a minimum purity by weight of 99.94%, in lumps, pellets or similar forms
7204
Ferrous waste and scrap; remelting scrap ingots of iron or steel
7205
Granules and powders, of pig iron, spiegeleisen, iron or steel
7206
Iron and non-alloy steel in ingots or other primary forms (excluding iron of heading 7203)
7207
Semi-finished products of iron or non-alloy steel
7218
Stainless steel in ingots or other primary forms; semi-finished products of stainless steel
7224
Other alloy steel in ingots or other primary forms; semi-finished products of other alloy steel

## 4 

Copper and articles thereof
Commodity code
Description
7401
Copper mattes; cement copper (precipitated copper)
7402
Unrefined copper; copper anodes for electrolytic refining
7403
Refined copper and copper alloys, unwrought
7404
Copper waste and scrap
7405
Master alloys of copper
7406
Copper powders and flakes
7407
Copper bars, rods and profiles
7410
Copper foil (whether or not printed or backed with paper, paperboard, plastics or similar backing materials) of a thickness (excluding any backing) not exceeding 0.15 mm
7413
Stranded wire, cables, plaited bands and the like, of copper, not electrically insulated

## 5 

Nickel and articles thereof
Commodity code
Description
7501
Nickel mattes, nickel oxide sinters and other intermediate products of nickel metallurgy
7502
Unwrought nickel
7503
Nickel waste and scrap
7504
Nickel powders and flakes
7505
Nickel bars, rods, profiles and wire
7506
Nickel plates, sheets, strip and foil
7507
Nickel tubes, pipes and tube or pipe fittings (for example, couplings, elbows, sleeves)

## 6 

Aluminium
Commodity code
Description
7601
Unwrought aluminium
7602
Aluminium waste and scrap
7603
Aluminium powders and flakes
7605
Aluminium wire
7606
Aluminium plates, sheets and strip, of a thickness exceeding 0.2 mm
7609
Aluminium tube or pipe fittings (for example, couplings, elbows, sleeves)
7614
Stranded wire, cables, plaited bands and the like, of aluminium, not electrically insulated

## 7 

Lead
Commodity code
Description
7801
Unwrought lead
7802
Lead waste and scrap
7804
Lead plates, sheets, strip and foil; lead powders and flakes

## 8 

Zinc
Commodity code
Description
7901
Unwrought zinc
7902
Zinc waste and scrap
7903
Zinc dust, powders and flakes
7904
Zinc bars, rods, profiles and wire
7905
Zinc plates, sheets, strip and foil

## 9 

Tin
Commodity code
Description
8001
Unwrought tin
8002
Tin waste and scrap
8003
Tin bars, rods, profiles and wire

## 10 

Other base metals, cermets, articles thereof
Commodity code
Description
8101
Tungsten (wolfram) and articles thereof, including waste and scrap
8102
Molybdenum and articles thereof, including waste and scrap
8103
Tantalum and articles thereof, including waste and scrap
8104
Magnesium and articles thereof, including waste and scrap
8105
Cobalt mattes and other intermediate products of cobalt metallurgy; cobalt and articles thereof, including waste and scrap
8106
Bismuth and articles thereof, including waste and scrap
8108
Titanium and articles thereof, including waste and scrap
8109
Zirconium and articles thereof, including waste and scrap
8110
Antimony and articles thereof, including waste and scrap
8111
Manganese and articles thereof, including waste and scrap
8112
Beryllium, chromium, hafnium, rhenium, thallium, cadmium, germanium, vanadium, gallium, indium and niobium (columbium), and articles of these metals, including waste and scrap
8113
Cermets and articles thereof, including waste and scrap

## Schedule 1D: Maritime Goods and Maritime Technology

## 1 

The items falling within a commodity code listed in the following table
Commodity Code
Description
8406 10
Turbines for marine propulsion
8406 90
Parts, stator blades, rotors and their blades
8407 21
Marine propulsion engines, outboard motors
8407 29
Other
8408 10
Marine propulsion engines
8409 91
Parts suitable for use solely or principally with the engines of heading 8407 or 8408: other
8409 99
Parts suitable for use solely or principally with the engines of heading 8407 or 8408: other
8411 81
Other gas turbines
8411 82
Other gas turbines of a power exceeding 5,000 kW
8468
Machinery and apparatus for soldering, brazing or welding, whether or not capable of cutting, other than those of heading 8515; gas-operated surface tempering machines and appliances
8483
Transmission shafts (including cam shafts and crank shafts) and cranks; bearing housings and plain shaft bearings; gears and gearing; ball or roller screws; gear boxes and other speed changers, including torque converters; flywheels and pulleys, including pulley blocks; clutches and shaft couplings (including universal joints)
8487 10
Ships' or boats' propellers and blades therefor
8515
Electric (including electrically heated gas), laser or other light or photon beam, ultrasonic, electron beam, magnetic pulse or plasma arc soldering, brazing or welding machines and apparatus, whether or not capable of cutting; electric machines and apparatus for hot spraying of metals or cermets
9014 10
Direction finding compasses
9014 80
Other instruments and appliances
9014 90
Parts and accessories
9015
Surveying (including photogrammetrical surveying), hydrographic, oceanographic, hydrological, meteorological or geophysical instruments and appliances, excluding compasses; rangefinders

## 2 

“Maritime technology” means any technology required for the development, production or use of any maritime good specified in the table following paragraph 1, and for these purposes, the terms “required”, “development”, “production” and “use” have the meanings given to them in Annex 1 to the Dual-Use Regulation.

## Schedule 1E: Natural gas

## 1 

The items falling within a commodity code listed in the following table.
Commodity code
Description
2711 11
Natural Gas – in liquefied state
2711 21
Natural Gas – in gaseous state
2711 12
Propane
2711 13
Butanes
2711 19
Other liquified gases than natural gas, propane, butanes, ethylene, propylene, butylene and butadiene

## Schedule 1F: Oil and petroleum products

## 1 

The products falling within a commodity code listed in the following table.
Commodity code
Description
2709
Petroleum oils and oils obtained from bituminous minerals, crude
2710
Petroleum oils and oils obtained from bituminous minerals, other than crude; preparations not elsewhere specified or included, containing by weight 70% or more of petroleum oils or of oils obtained from bituminous minerals, these oils being the basic constituents of the preparations; waste oils
2712
Petroleum jelly; paraffin wax, microcrystalline petroleum wax, slack wax, ozokerite, lignite wax, peat wax, other mineral waxes, and similar products obtained by synthesis or by other processes, whether or not coloured
2713
Petroleum coke, petroleum bitumen and other residues of petroleum oils or of oils obtained from bituminous minerals
2714
Bitumen and asphalt, natural; bituminous or oil-shale and tar sands; asphaltites and asphaltic rocks
2715
Bituminous mixtures based on natural asphalt, on natural bitumen, on petroleum bitumen, on mineral tar or on mineral tar pitch (for example, bituminous mastics, cut-backs)

## Schedule 1G: Other restricted goods and other restricted technology

### Part 1: Introduction

## 1 

In this Schedule—
(a) “development”, “production”, “software”, “technology” and “use” have the meanings given to them in Annex 1 to the Dual-Use Regulation;
(b) terms between double quotation marks in the Description column of the table following paragraph 3 which do not introduce a definition are defined in Annex 1 to the Dual-Use Regulation;
(c) a reference number in the Description column of the table following paragraph 3 is a reference to the description of dual-use items set out in Annex 1 to the Dual-Use Regulation.

## 2 

A good listed in Part 2 of this Schedule which is included as a component (a “restricted component”) in any goods, including plant, which are not goods listed in Part 2 of this Schedule, does not cease to be an other restricted good within the meaning of regulation 34 if the restricted component is the principal element of those goods, and can feasibly be removed or used for other purposes.

### Part 2: Other restricted goods

## 3 

The goods with a reference number listed in the following Table.
Reference number
Description
II.A0.001
Hollow cathode lamps as follows—
(a)Iodine hollow cathode lamps with windows in pure silicon or quartz
(b)Uranium hollow cathode lamps
II.A0.002
Faraday isolators in the wavelength range 500 nm – 650 nm
II.A0.003
Optical gratings in the wavelength range 500 nm – 650 nm
II.A0.004
Optical fibres in the wavelength range 500 nm – 650 nm coated with anti-reflecting layers in the wavelength range 500 nm – 650 nm and having a core diameter greater than 0.4 mm but not exceeding 2 mm
II.A0.005
Nuclear reactor vessel components and testing equipment, other than those specified in 0A001, as follows—
1Seals
2Internal components
3Sealing, testing and measurement equipment
II.A0.006
Nuclear detection systems for detection, identification or quantification of radioactive materials and radiation of nuclear origin and specially designed components thereof other than those specified in 0A001.j. or 1A004.c.
II.A0.007
Bellows-sealed valves made of aluminium alloy or stainless steel type 304, 304L or 316L, but not including bellow values defined in 0B001.c.6 and 2A226
II.A0.008
Laser mirrors, other than those specified in 6A005.e, consisting of substrates having a thermal expansion coefficient of 10 –6 K –1 or less at 20 °C (such as fused silica or sapphire), but not including optical systems specially designed for astronomical applications, unless the mirrors contain fused silica
II.A0.009
Laser lenses, other than those specified in 6A005.e.2, consisting of substrates having a thermal expansion coefficient of 10 –6 K –1 or less at 20 °C (such as fused silica)
II.A0.010
Pipes, piping, flanges, fittings made of, or lined with, nickel or nickel alloy containing more than 40% nickel by weight, other than those specified in 2B350.h.1
II.A0.011
Vacuum pumps other than those specified in 0B002.f.2 or 2B231, as follows—
Turbomolecular pumps having a flowrate equal to or greater than 400 l/s
Roots type vacuum roughing pumps having a volumetric aspiration flowrate greater than 200 m3/h.
Bellows-sealed, scroll, dry compressor, and bellows-sealed, scroll, dry vacuum pumps
II.A0.012
Shielded enclosures for the manipulation, storage and handling of radioactive substances (Hot cells)
II.A0.013
Natural uranium or depleted uranium or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing, other than those specified in 0C001
II.A0.014
Detonation chambers having a capacity of explosion absorption of more than 2.5 kg TNT equivalent
II.A0.015
Glove Boxes, specially designed for radioactive isotopes, radioactive sources or radionuclides, and for these purposes “Glove Boxes” means equipment providing protection to the user, from—
(a)hazardous vapour, particles or radiation, or
(b)materials inside the equipment being handled or processed by a person outside the equipment,
by means of manipulators or gloves integrated into the equipment
II.A0.016
Toxic gas monitoring systems designed for continuous operation and detection of Hydrogen Sulphide, and specially designed detectors therefor
II.A0.017
Helium Leak Detectors
II.A1.001
Bis(2-ethylhexyl) phosphoric acid (HDEHP or D2HPA) CAS 298-07-7 solvent in any quantity, with a purity greater than 90%
II.A1.002
Fluorine gas (Chemical Abstract Number (CAS): 7782-41-4), with a purity of at least 95%
II.A1.003
Ring-shaped seals and gaskets, having an inner diameter of 400 mm or less, made of any of the following materials—
(a)Copolymers of vinylidene fluoride having 75% or more beta crystalline structure without stretching;
(b)Fluorinated polyimides containing 10% by weight or more of combined fluorine;
(c)Fluorinated phosphazene elastomers containing 30% by weight or more of combined fluorine;
(d)Polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®);
(e)Fluoro-elastomers (e.g., Viton ®, Tecnoflon ®);
(f)Polytetrafluoroethylene (PTFE)
II.A1.004
Personal equipment for detecting radiation of nuclear origin, including personal dosimeters, but not including nuclear detection systems defined in item 1A004.c
II.A1.005
Electrolytic cells for fluorine production with an output capacity greater than 100 g of fluorine per hour, but not including electrolytic cells defined in item 1B225
II.A1.006
Catalysts, other than those prohibited by 1A225, containing platinum, palladium or rhodium, usable for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water
II.A1.007
Aluminium and its alloys, other than those specified in 1C002.b.4 or 1C202.a, in crude or semi-fabricated form having either of the following characteristics—
(a)Capable of an ultimate tensile strength of 460 MPa or more at 293 K (20°C), or
(b)Having a tensile strength of 415 MPa or more at 298 K (25°C)
II.A1.008
Magnetic metals, of all types and of whatever form, having an initial relative permeability of 120,000 or more and a thickness between 0.05 and 0.1 mm
II.A1.009
“Fibrous or filamentary materials” or prepregs, as follows—
(a)Carbon or aramid “fibrous or filamentary materials” having either of the following characteristics—
(i)A “specific modulus” exceeding 10 × 106 m; or
(ii)A “specific tensile strength” exceeding 17 × 104 m;
(b)Glass “fibrous or filamentary materials” having either of the following characteristics—
(i)A “specific modulus” exceeding 3.18 × 106 m; or
(ii)A “specific tensile strength” exceeding 76.2 × 103 m;
(c)Thermoset resin-impregnated continuous “yarns”, “rovings”, “tows” or “tapes” with a width of 15 mm or less (once prepregs), made from carbon or glass “fibrous or filamentary materials” other than those specified in II.A1.010.a. or b,
but not including fibrous or filamentary materials defined in items 1C010.a, 1C010.b, 1C210.a and 1C210.b
II.A1.010
Resin-impregnated or pitch-impregnated fibres (prepregs), metal or carbon-coated fibres (preforms) or carbon fibre preforms, as follows—
(a)Made from “fibrous or filamentary materials” specified in II.A1.009 above;
(b)Epoxy resin “matrix” impregnated carbon “fibrous or filamentary materials” (prepregs), specified in 1C010.a, 1C010.b or 1C010.c, for the repair of aircraft structures or laminates, of which the size of individual sheets does not exceed 50 cm × 90 cm;
(c)Prepregs specified in 1C010.a, 1C010.b or 1C010.c, when impregnated with phenolic or epoxy resins having a glass transition temperature (Tg) less than 433 K (160°C) and a cure temperature lower than the glass transition temperature,
but not including “fibrous or filamentary materials” defined in item 1C010.e.
Technical note: for the purposes of this item, “carbon fibre preforms” are ordered arrangements of uncoated or coated fibres intended to constitute a framework of a part before the “matrix” is introduced to form a “composite”
II.A1.011
Reinforced silicon carbide ceramic composites usable for nose tips, re-entry vehicles, nozzle flaps, usable in “missiles”, other than those specified in 1C107
II.A1.012
Maraging steels, other than those specified in 1C116 or 1C216, capable of an ultimate tensile strength of 2 050 MPa or more, at 293 K (20°C), and for these purposes “maraging steel capable of” encompasses maraging steel before or after heat treatment
II.A1.013
Tungsten, tantalum, tungsten carbide, tantalum carbide and alloys, having both of the following characteristics—
(a)In forms having a hollow cylindrical or spherical symmetry (including cylinder segments) with an inside diameter between 50 mm and 300 mm; and
(b)A mass greater than 5 kg,
but not including tungsten, tungsten carbide and alloys defined in item 1C226
II.A1.014
Elemental powders of cobalt, neodymium or samarium or alloys or mixtures thereof containing at least 20% by weight of cobalt, neodymium or samarium, with a particle size less than 200 μm
II.A1.015
Pure tributyl phosphate (TBP) CAS No 126-73-8 or any mixture having a TBP content of more than 5% by weight
II.A1.016
Maraging steel, other than those prohibited by 1C116, 1C216 or II.A1.012, and for these purposes, “maraging steels” are iron alloys generally characterised by high nickel, very low carbon content and the use of substitutional elements or precipitates to produce strengthening and age-hardening of the alloy
II.A1.017
Metals, metal powders and material as follows—
(a)Tungsten and tungsten alloys, other than those prohibited by 1C117, in the form of uniform spherical or atomized particles of 500 μm diameter or less with a tungsten content of 97% by weight or more;
(b)Molybdenum and molybdenum alloys, other than those prohibited by 1C117, in the form of uniform spherical or atomized particles of 500 μm diameter or less with a molybdenum content of 97% by weight or more;
(c)Tungsten materials in the solid form, other than those prohibited by 1C226, or II.A1.013 having material compositions as follows—
(i)Tungsten and alloys containing 97% by weight or more of tungsten;
(ii)Copper infiltrated tungsten containing 80% by weight or more of tungsten; or
(iii)Silver infiltrated tungsten containing 80% by weight or more of tungsten
II.A1.018
Soft magnetic alloys having a chemical composition as follows—
(a)Iron content between 30% and 60%, and
(b)Cobalt content between 40% and 60%
II.A1.019
“Fibrous or filamentary materials” or prepregs, not prohibited by this Schedule (under II.A1.009, II.A1.010), or not specified by Annex I of the Dual-Use Regulation, as follows—
(a)Carbon “fibrous or filamentary materials”, but not including; fabrics;
(b)Thermoset resin-impregnated continuous “yarns”, “rovings”, “tows”, or “tapes”, made from carbon “fibrous or filamentary materials”;
(c)Polyacrylonitrile (PAN) continuous “yarns”, “rovings”, “tows” or “tapes”
II.A1.020
Steel alloys in sheet or plate form, having any of the following characteristics—
(a)Steel alloys capable of ultimate tensile strength of 1 200 MPa or more, at 293 K (20 °C); or
(b)Nitrogen-stabilised duplex stainless steel.
Note: The phrase alloys “capable of” encompasses alloys before or after heat treatment.
Technical Note: “Nitrogen-stabilised duplex stainless steel” has a two-phase microstructure consisting of grains of ferritic and austenitic steel with the addition of nitrogen to stabilise the microstructure
II.A1.021
Carbon-Carbon Composite material
II.A1.022
Nickel alloys in crude or semi-fabricated form, containing 60% by weight or more nickel
II.A1.023
Titanium alloys in sheet or plate form capable of an ultimate tensile strength of 900 MPa or more at 293 K (20°C).
Note: The phrase ‘alloys capable of’ encompasses alloys before or after heat treatment
II.A1.024
Propellants and constituent chemicals for propellants as follows—
(a)Toluene Diisocyanate (TDI)
(b)Methyl Diphenyl Diisocyanate (MDI)
(c)Isophorone Diiscocyanate (IPDI)
(d)Sodium Perchlorate
(e)Xylidine
(f)Hydroxy Terminated Polyether (HTPE)
(g)Hydroxy Terminated Caprolactone Ether (HTCE)
Technical Note: This item refers to pure substance and any mixture containing at least 50% of one of the chemicals mentioned above
II.A1.025
Lubricating materials containing, as their principal ingredients, any of the following—
(a)Perfluoroalkylether, (CAS 60164-51-4);
(b)Perfluoropolyalkylether, PFPE, (CAS 6991-67-9).
For these purposes, “Lubricating materials” means oils and fluids
A2 Materials Processing
Number
Description
II.A2.001
Vibration test systems, equipment and components thereof, other than those specified in 2B116—
(a)Vibration test systems employing feedback or closed loop techniques and incorporating a digital controller, capable of vibrating a system at an acceleration equal to or greater than 0.1 g rms between 0.1 Hz and 2 kHz and imparting forces equal to or greater than 50 kN, measured bare table;
(b)Digital controllers, combined with specially designed vibration test software, with a real-time bandwidth greater than 5 kHz designed for use with vibration test systems specified in item (a);
(c)Vibration thrusters (shaker units), with or without associated amplifiers, capable of imparting a force equal to or greater than 50 kN, measured bare table, and usable in vibration test systems specified in item (a);
(d)Test piece support structures and electronic units designed to combine multiple shaker units in a system capable of providing an effective combined force equal to or greater than 50 kN, measured bare table, and usable in vibration systems specified in item (a).
Technical Note: “Bare table” means a flat table, or surface, with no fixture or fittings
II.A2.002
Machine tools and components and numerical controls for machine tools, as follows—
(a)Machine tools for grinding having positioning accuracies with “all compensations available” equal to or less (better) than 15 μm according to ISO 230/2 (1988) (1) or national equivalents along any linear axis, but not including machine tools for grinding defined in items 2B201.b and 2B001.c.;
(b)Components and numerical controls, specially designed for machine tools specified in 2B001, 2B201, or under item (a)
II.A2.003
Balancing machines and related equipment as follows—
(a)Balancing machines, designed or modified for dental or other medical equipment, having all the following characteristics—
(i)Not capable of balancing rotors/assemblies having a mass greater than 3 kg;
(ii)Capable of balancing rotors/assemblies at speeds greater than 12,500 rpm;
(iii)Capable of correcting imbalance in two planes or more; and
(iv)Capable of balancing to a residual specific imbalance of 0.2 g × mm per kg of rotor mass;
(b)Indicator heads designed or modified for use with machines specified in item (a) above.
Technical Note: Indicator heads are sometimes known as balancing instrumentation
II.A2.004
Remote manipulators that can be used to provide remote actions in radiochemical separation operations or hot cells, other than those specified in 2B225, having either of the following characteristics—
(a)A capability of penetrating a hot cell wall of 0.3 m or more (through the wall operation); or
(b)A capability of bridging over the top of a hot cell wall with a thickness of 0.3 m or more (over the wall operation)
II.A2.006
Furnaces capable of operation at temperatures above 400°C as follows—
(a)Oxidation furnaces;
(b)Controlled atmosphere heat treatment furnaces
Note: This item does not cover tunnel kilns with roller or car conveyance, tunnel kilns with conveyor belt, pusher type kilns or shuttle kilns, specially designed for the production of glass, tableware ceramics or structural ceramics
II.A2.007
“Pressure transducers”, other than those defined in 2B230, capable of measuring absolute pressures at any point in the range 0 to 200 kPa and having both of the following characteristics—
(a)Pressure sensing elements made of or protected by “Materials resistant to corrosion by uranium hexafluoride (UF6 )”, and
(b)Having either of the following characteristics—
(i)a full scale of less than 200 kPa and an “accuracy” of better than ± 1% of full scale; or
(ii)a full scale of 200 kPa or greater and an “accuracy” of better than 2 kPa
II.A2.008
Liquid-liquid contacting equipment (mixer-settlers, pulsed columns, centrifugal contactors); and liquid distributors, vapour distributors or liquid collectors designed for such equipment, where all surfaces that come in direct contact with the chemical(s) being processed are made from stainless steel (see also entry II.A2.014 1).
Note: for stainless steel with more than 25% nickel and 20% chromium by weight see entry II.A2.014.a
II.A2.009
Industrial equipment and components, other than those specified in 2B350.d, as follows (see also entry II.A2.015): Heat exchangers or condensers with a heat transfer surface area greater than 0.05 m2, and less than 30 m2; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) are made from the following materials: 1. Stainless steel
Note 1: for stainless steel with more than 25% nickel and 20% chromium by weight see entry II.A2.015a.
Note 2: This item does not cover vehicle radiators.
Technical Note: The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the heat exchanger.
II.A2.010
Multiple-seal, and seal-less pumps, other than those specified in 2B350.i, suitable for corrosive fluids, with manufacturer's specified maximum flow-rate greater than 0.6 m3 /hour, or vacuum pumps with manufacturer's specified maximum flow-rate greater than 5 m3 /hour, measured under standard temperature (273 K or 0°C) and pressure (101.3 kPa) conditions; and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from the following materials (See also entry II.A2.016)—
1.Stainless steel
Note: for stainless steel with more than 25% nickel and 20% chromium by weight see entry II.A2.016a.
Technical Note: The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the pump.
II.A2.011
Centrifugal separators, capable of continuous separation without the propagation of aerosols and manufactured from—
1.Alloys with more than 25% nickel and 20% chromium by weight;
2.Fluoropolymers;
3.Glass (including vitrified or enamelled coating or glass lining);
4.Nickel or alloys with more than 40% nickel by weight;
5.Tantalum or tantalum alloys;
6.Titanium or titanium alloys; or
7.Zirconium or zirconium alloys
Note: This item does not cover centrifugal separators defined in entry 2B352.
II.A2.012
Sintered metal filters made of nickel or nickel alloy with more than 40% nickel by weight. Note: This item does not cover filters defined in item 2B352.d
II.A2.013
Spin-forming machines and flow-forming machines, other than those controlled by 2B009, 2B109 or 2B209, having a roller force of more than 60 kN and specially designed components therefor
Technical note: For the purpose of II.A2.013, machines combining the functions of spin-forming and flow-forming are regarded as flow-forming machines
II.A2.014
Liquid-liquid contacting equipment (mixer-settlers, pulsed columns, centrifugal contactors); and liquid distributors, vapour distributors or liquid collectors designed for such equipment where all surfaces that come in direct contact with the chemical(s) being processed are any of the following (see also II.A2.008)—
(a)made from any of the following materials—
1.Alloys with more than 25% nickel and 20% chromium by weight;
2.Fluoropolymers;
3.Glass (including vitrified or enamelled coating or glass lining);
4.Graphite or carbon graphite;
5.Nickel or alloys with more than 40% nickel by weight;
6.Tantalum or tantalum alloys;
7.Titanium or titanium alloys; or
8.Zirconium or zirconium alloys; or
(b)made from both stainless steel and one or more of the materials specified in II.A2.014.a.
Technical Note: “Carbon graphite” is a composition consisting of amorphous carbon and graphite, in which the graphite content is 8% or more by weight
II.A2.015
Industrial equipment and components, other than those specified in 2B350.d, as follows (see also II.A2.009): Heat exchangers or condensers with a heat transfer surface area greater than 0.05 m2, and less than 30 m2; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) are any of the following—
(a)Made from any of the following materials—
1.Alloys with more than 25% nickel and 20% chromium by weight;
2.Fluoropolymers;
3.Glass (including vitrified or enamelled coating or glass lining);
4.Graphite or carbon graphite;
5.Nickel or alloys with more than 40% nickel by weight;
6.Tantalum or tantalum alloys;
7.Titanium or titanium alloys;
8.Zirconium or zirconium alloys;
9.Silicon carbide; or
10.Titanium carbide; or
(b)Made from both stainless steel and one or more of the materials specified in II.A2.015.a.
Note: This item does not cover vehicle radiators. Technical Note: The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the heat exchanger.
“Carbon graphite” has the same meaning as in item II.A2.014.
II.A2.016
Multiple-seal, and seal-less pumps, other than those specified in 2B350.i, suitable for corrosive fluids, with manufacturer's specified maximum flow-rate greater than 0.6 m3/hour, or vacuum pumps with manufacturer's specified maximum flow-rate greater than 5 m3/hour (measured under standard temperature (273 K or 0°C) and pressure (101.3 kPa) conditions); and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are any of the following (see also II.A2.010)—
(a)made from any of the following materials—
1.Alloys with more than 25% nickel and 20% chromium by weight;
2.Ceramics;
3.Ferrosilicon;
4.Fluoropolymers;
5.Glass (including vitrified or enamelled coatings or glass lining);
6.Graphite or carbon graphite;
7.Nickel or alloys with more than 40% nickel by weight;
8.Tantalum or tantalum alloys;
9.Titanium or titanium alloys;
10.Zirconium or zirconium alloys;
11.Niobium (columbium) or niobium alloys; or
12.Aluminium alloys; or
(b)made from both stainless steel and one or more of the materials specified in II.A2.016.a
Technical Note: The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the pump.
“Carbon graphite” has the same meaning as in item II.A2.014.
II.A2.017
Electrical Discharge Machine (EDM) tools for removing or cutting metals, ceramics or “composites”, as follows, and specially designed ram, sinker or wire electrodes therefor—
(a)ram or sinker electrode Electrical Discharge Machines;
(b)wire electrode Electrical Discharge Machines
Note: Electrical Discharge Machines are also known as Spark Erosion Machines or Wire Erosion Machines.
II.A2.018
Computer controlled or “numerically controlled” co-ordinate measuring machines (CMM), or dimensional inspection machines, having a three dimensional (volumetric) maximum permissible error of indication (MPP E) at any point in the operating range of the machine (i.e. within the length axes) equal to or less (better) than (3 + L/1,000) μm (L is the measured length in mm), tested according to ISO 10360-2 (2001), and measurement probes designed therefor
II.A2.019
Computer controlled or “numerically controlled” Electron Beam Welding Machines, and specially designed components therefor
II.A2.020
Computer controlled or “numerically controlled” Laser Welding and Laser Cutting Machines, and specially designed components therefor
II.A2.021
Computer controlled or “numerically controlled” Plasma Cutting Machines, and specially designed components therefor
II.A3.022
Vibration Monitoring Equipment specially designed for rotors or rotating equipment and machinery, capable of measuring any frequency in the range 600-2,000 Hz
II.A2.023
Liquid Ring Vacuum Pumps, and specially designed components therefor
II.A2.024
Rotary Vane Vacuum Pumps, and specially designed components therefor
Note 1: II.A2.024 does not control rotary vane vacuum pumps that are specially designed for specific other equipment.
Note 2: The control status of rotary vane vacuum pumps that are specially designed for specific other equipment is determined by the control status of the other equipment.
II.A2.025
Air filters, as follows, having one or more physical size dimension exceeding 1,000 mm—
(a)High Efficiency Particulate Air (HEPA) filters;
(b)Ultra-Low Penetration Air (ULPA) filters
Note: II.A2.025 does not control air filters specially designed for medical equipment.
A3 Electronics
Number
Description
II.A3.001
High voltage direct current power supplies having both of the following characteristics—
(a)Capable of continuously producing, over a time period of eight hours, 10 kV or more, with output power of 5 kW or more with or without sweeping; and
(b)Current or voltage stability better than 0.1% over a time period of four hours
Note: This item does not cover power supplies defined in items 0B001.j.5 and 3A227
II.A3.002
Mass spectrometers, other than those specified in 3A233 or 0B002.g, capable of measuring ions of 200 atomic mass units or more and having a resolution of better than 2 parts in 200, as follows, and ion sources thereof—
(a)Inductively coupled plasma mass spectrometers (ICP/MS);
(b)Glow discharge mass spectrometers (GDMS);
(c)Thermal ionisation mass spectrometers (TIMS);
(d)Electron bombardment mass spectrometers which have a source chamber constructed from, lined with or plated with “materials resistant to corrosion by uranium hexafluoride UF6”;
(e)Molecular beam mass spectrometers having either of the following characteristics—
1.A source chamber constructed from, lined with or plated with stainless steel or molybdenum and equipped with a cold trap capable of cooling to 193 K (– 80 °C) or less; or
2.A source chamber constructed from, lined with or plated with “materials resistant to corrosion by uranium hexafluoride (UF6)”;
(e)mass spectrometers equipped with a microfluorination ion source designed for actinides or actinide fluorides
II.A3.003
Spectrometers and diffractometers, designed for the indicative test or quantitative analysis of the elemental composition of metals or alloys without chemical decomposition of the material
II.A3.004
Frequency changers or generators, and Variable Speed electrical drives, other than those prohibited by 0B001 or 3A225, having all of the following characteristics, and specially designed components and software therefor—
(a)Multiphase output capable of providing a power of 10 W or greater;
(b)Capable of operating at a frequency of 600 Hz or more; and
(c)Frequency control better (less) than 0.2%
Technical Note: Frequency changers are also known as converters or inverters.
Notes:
1.Item II.A3.004 does not control frequency changers that include communication protocols or interfaces designed for specific industrial machinery (such as machine tools, spinning machines, printed circuit board machines) so that the frequency changers cannot be used for other purposes while meeting the performance characteristics above.
2.Item II.A3.004 does not control frequency changers specially designed for vehicles and which operate with a control sequence that is mutually communicated between the frequency changer and the vehicle control unit
A6. Sensors and Lasers
Number
Description
II.A6.001
Yttrium aluminium garnet (YAG) rods
II.A6.002
Optical equipment and components, other than those specified in 6A002, 6A004.b as follows: Infrared optics in the wavelength range 9,000 nm – 17,000 nm and components thereof, including cadmium telluride (CdTe) components
II.A6.003
Wave front corrector systems for use with a laser beam having a diameter exceeding 4 mm, and specially designed components thereof, including control systems, phase front sensors and deformable mirrors including bimorph mirrors
Note: This item does not cover mirrors defined in 6A004.a, 6A005.e and 6A005.f.
Technical note: “deformable mirrors” are mirrors having any of the following—
(a)a single continuous optical reflecting surface which is dynamically deformed by the application of individual torques or forces to compensate for distortions in the optical waveform incident upon the mirror; or
(b)multiple optical reflecting elements that can be individually and dynamically repositioned by the application of torques or forces to compensate for distortions in the optical waveform incident upon the mirror.
Deformable mirrors are also known as adaptive optic mirrors.
II.A6.004
Argon ion “lasers” having an average output power equal to or greater than 5 W
Note: This item does not cover argon ion “lasers” defined in items 0B001.g.5, 6A005 and 6A205.a.
II.A6.005
Semiconductor “lasers” and components thereof, as follows—
(a)Individual semiconductor “lasers” with an output power greater than 200 mW each, in quantities larger than 100;
(b)Semiconductor “laser” arrays having an output power greater than 20 W
Notes:
(1) Semi-conductor “lasers” are commonly called “laser” diodes.
(2) This item does not cover “lasers” defined in items 0B001.g.5, 0B001.h.6 and 6A005.b.
(3) This item does not cover “laser” diodes with a wavelength in the range 1,200 nm – 2,000 nm.
II.A6.006
Tunable semiconductor “lasers” and tunable semiconductor “laser” arrays, of a wavelength between 9 μm and 17 μm, as well as array stacks of semiconductor “lasers” containing at least one tunable semiconductor “laser” array of such wavelength
Notes:
1.Semiconductor “lasers” are commonly called “laser” diodes.
2.This item does not cover semiconductor “lasers” defined in items 0B001.h.6 and 6A005.b
II.A6.007
Solid state “tunable” “lasers” and specially designed components thereof as follows—
(a)Titanium-sapphire lasers;
(b)Alexandrite lasers.
Note: This item does not cover titanium-sapphire and alexandrite lasers defined in items 0B001.g.5, 0B001.h.6 and 6A005.c.1
II.A6.008
Neodymium-doped (other than glass) “lasers”, having an output wavelength greater than 1,000 nm but not exceeding 1,100 nm and output energy exceeding 10 J per pulse.
Note: This item does not cover neodymium-doped (other than glass) “lasers” defined in item 6A005.c.2.b
II.A6.009
Components of acousto-optics, as follows—
(a)Framing tubes and solid-state imaging devices having a recurrence frequency equal to or exceeding 1 kHz;
(b)Recurrence frequency supplies;
(c)Pockels cells
II.A6.010
Radiation-hardened cameras, or lenses thereof, other than those specified in 6A203.c., specially designed, or rated as radiation-hardened, to withstand a total radiation dose greater than 50 × 103 Gy (silicon) (5 × 106 rad (silicon)) without operational degradation.
Technical Note: The term “Gy (silicon)” refers to the energy in Joules per kilogram absorbed by an unshielded silicon sample when exposed to ionising radiation
II.A6.011
Tunable pulsed dye laser amplifiers and oscillators, having all of the following characteristics—
1.Operating at wavelengths between 300 nm and 800 nm;
2.An average output power greater than 10 W but not exceeding 30 W;
3.A repetition rate greater than 1 kHz; and
4.Pulse width less than 100 ns
Notes:
(1) This item does not cover single mode oscillators.
(2) This item does not cover tunable pulsed dye laser amplifiers and oscillators defined in item 6A205.c, 0B001.g.5 and 6A005
II.A6.012
Pulsed carbon dioxide “lasers” having all of the following characteristics—
1.Operating at wavelengths between 9,000 nm and 11,000 nm;
2.A repetition rate greater than 250 Hz;
3.An average output power greater than 100 W but not exceeding 500 W; and
4.Pulse width less than 200 ns
Note: This item does not cover pulsed carbon dioxide laser amplifiers and oscillators defined in items 6A205.d., 0B001.h.6. and 6A005.d.
II.A6.013
Copper vapour “lasers” having both of the following characteristics—
1.Operating at wavelengths between 500 and 600 nm; and
2.An average output power equal to or greater than 15 W
II.A6.014
Pulsed carbon monoxide “lasers” having all of the following characteristics—
1.Operating at wavelengths between 5,000 and 6,000 nm;
2.A repetition rate greater than 250 Hz;
3.An average output power greater than 100 W; and
4.Pulse width of less than 200 ns.
Note: This item does not control the higher power (typically 1 to 5 kW) industrial carbon monoxide “lasers” used in applications such as cutting and welding, as these latter “lasers” are either continuous wave or are pulsed with a pulse width greater than 200 ns
II.A6.015
Vacuum pressure gauges, being electrically powered and having measurement accuracy of 5% or less (better).
‘Vacuum pressure gauges’ include Pirani Gauges, Penning Gauges and Capacitance Manometers
II.A6.016
Microscopes and related equipment and detectors, as follows—
(a)Scanning Electron Microscopes;
(b)Scanning Auger Microscopes;
(c)Transmission Electron Microscopes;
(d)Atomic Force Microscopes;
(e)Scanning Force Microscopes;
(f)Equipment and detectors, specially designed for use with the microscopes specified in items (a) to (e) above, employing any of the following materials analysis techniques—
1.X-ray Photo Spectroscopy (XPS);
2.Energy-dispersive X-ray Spectroscopy (EDX, EDS); or
3.Electron Spectroscopy for Chemical Analysis (ESCA)
A7 Navigation and Avionics
Number
Description
II.A7.001
Inertial navigation systems and specially designed components thereof, as follows—
I.Inertial navigation systems which are certified for use on “civil aircraft” by civil authorities of a State participating in the Wassenaar Arrangement, and specially designed components thereof, as follows—
(a)Inertial navigation systems (INS) (gimballed or strapdown) and inertial equipment designed for “aircraft”, land vehicle, vessels (surface or underwater) or “spacecraft” for attitude, guidance or control, having any of the following characteristics, and specially designed components thereof—
1.Navigation error (free inertial) subsequent to normal alignment of 0.8 nautical mile per hour (nm/hr) Circular Error Probable (‘CEP’) or less (better); or
2.Specified to function at linear acceleration levels exceeding 10 g;
(b)Hybrid Inertial Navigation Systems embedded with Global Navigation Satellite Systems(s) (GNSS) or with “Data-Based Referenced Navigation” (“DBRN”) System(s) for attitude, guidance or control, subsequent to normal alignment, having an INS navigation position accuracy, after loss of GNSS or “DBRN” for a period of up to four minutes, of less (better) than 10 metres CEP;
(c)Inertial Equipment for Azimuth, Heading, or North Pointing having any of the following characteristics, and specially designed components thereof—
1.Designed to have an Azimuth, Heading, or North Pointing accuracy equal to, or less (better) than 6 arc/ minutes RMS at 45 degrees latitude; or
2.Designed to have a non-operating shock level of at least 900 g at a duration of at least 1 msec.
Note: The parameters of I(a) and I(b) are applicable with any of the following environmental conditions—
1Input random vibration with an overall magnitude of 7.7 g rms in the first half hour and a total test duration of one and a half hours per axis in each of the three perpendicular axes, when the random vibration meets both the following conditions—
(1)A constant power spectral density (PSD) value of 0.04 g2 /Hz over a frequency interval of 15 to 1,000 Hz; and
(2)The PSD attenuates with a frequency from 0.04g2 /Hz to 0.01g2 /Hz over a frequency interval from 1,000 to 2,000 Hz;
2A roll and yaw rate equal to or greater than + 2.62 radian/s (150 deg/s); or
3According to national standards equivalent to 1 or 2 above.
Technical Notes
1.I.(b). refers to systems in which an INS and other independent navigation aids are built into a single unit (embedded) in order to achieve improved performance.
2.“Circular Error Probable” (“CEP”): In a circular normal distribution, the radius of the circle containing 50 percent of the individual measurements being made, or the radius of the circle within which there is a 50 percent probability of being located.
II. Theodolite systems incorporating inertial equipment specially designed for civil surveying purposes and designed to have an Azimuth, Heading, or North Pointing accuracy equal to, or less (better) than 6 arc minutes RMS at 45 degrees latitude, and specially designed components thereof.
III. Inertial or other equipment using accelerometers specified in 7A001 or 7A101, where such accelerometers are specially designed and developed as MWD (Measurement While Drilling) sensors for use in downhole well services operations
II.A7.002
Accelerometers containing piezoelectric ceramic transducer element, having a sensitivity of 1,000 mV/g or better (higher)
A9 Aerospace and Propulsion
Number
Description
II.A9.001
Explosive bolts
II.A9.002
Load Cells capable of measuring rocket motor thrust having a capacity exceeding 30 kN.
Technical Note: ‘Load Cells’ means devices and transducers for the measurement of force in both tension and in compression.
Note: II.A9.002 does not include equipment, devices or transducers, specially designed for the measurement of the weight of vehicles, e.g. weigh bridges
II.A9.003
Electrical power generation gas turbines, components and related equipment as follows—
(a)Gas Turbines specially designed for electrical power generation, having an output exceeding 200 MW;
(b)Vanes, Stators, Combustion Chambers and Fuel Injection Nozzles, specially designed for electrical power generation gas turbines specified in item (a);
(c)Equipment specially designed for the development and production of electrical power generation gas turbines specified in item (a)

### Part 3: Other restricted technology

## 4 

The following technology.
Number
Description
II.B.001
Technology required for the development, production or use of the items in Part 2 of this Schedule.
The term technology includes software

## 5 

Technology is not “other restricted technology” within the meaning of regulation 34 if it is—
(a) the minimum necessary for—
(i) the installation, operation, maintenance and repair of any goods which are restricted goods for the purposes of these Regulations, or
(ii) patent applications, including information for patent applications,
(b) in the public domain, or
(c) basic scientific research.

## Schedule 1H: Petrochemicals

## 1 

The items falling within a commodity code listed in the following table.
Commodity code
Description
2812 11
Carbonyl dichloride (phosgene)
2814
Ammonia, anhydrous or in aqueous solution
3102 30
Ammonium nitrate, whether or not in aqueous solution
2901 21
Ethylene
2901 22
Propene (propylene)
2902 20
Benzene
2902 30
Toluene
2902 41
o-Xylene
2902 42
m-Xylene
2902 43
p-Xylene
2902 44
Mixed xylene isomers
2902 50
Styrene
2902 60
Ethyl benzene
2902 70
Cumene
2903 11
Chloromethane (methyl chloride) and chloroethane (ethyl chloride)
2903 29
Unsaturated chlorinated derivatives of acyclic hydrocarbons, other than vinyl chloride (chloroethylene), Trichloroethylene or Tetrachloroethylene (perchloroethylene)
2903 81
1,2,3,4,5,6-Hexachlorocyclohexane (HCH (ISO)), including lindane (ISO, INN)
2903 82
Aldrin (ISO), chlordane (ISO) and heptachlor (ISO)
2903 91
Chlorobenzene, o-dichlorobenzene and p-dichlorobenzene
2903 92
Hexachlorobenzene (ISO) and DDT (ISO) (clofenotane (INN), 1,1,1-trichloro-2,2-bis(p-chlorophenyl)ethane)
2903 99
Other halogenated derivatives of hydrocarbons
2909
Ethers, ether-alcohols, ether-phenols, ether-alcohol-phenols, alcohol peroxides, ether peroxides, acetal and hemiacetal peroxides, ketone peroxides (whether or not chemically defined), and their halogenated, sulphonated, nitrated or nitrosated derivatives
2905 11
Methanol (methyl alcohol)
2905 12
Propan-1-ol (propyl alcohol) and propan-2-ol (isopropyl alcohol)
2905 13
Butan-1-ol (n-butyl alcohol)
2905 31
Ethylene glycol (ethanediol)
2907 11 - 2907 19
Phenols
2910 10
Oxirane (ethylene oxide)
2910 20
Methyloxirane (propylene oxide)
2914 11
Acetone
2917 14
Maleic anhydride
2917 35
Phthalic anhydride
2917 36
Terephthalic acid and its salts
2917 37
Dimethyl terephthalate
2926 10
Acrylonitrile
2929 10
Isocyanates
3901
Polymers of ethylene, in primary forms
2707 10
Benzol (benzene)
2707 20
Toluol (toluene)
2707 30
Xylol (xylenes)
2707 40
Naphthalene
2707 99 80
Phenols
2711 14
Ethylene, propylene, butylene and butadiene

## Schedule 1I: Sectoral software and technology

## 1 

Business enterprise software and technology meaning—
(a) enterprise resource planning software;
(b) customer relationship management software;
(c) business intelligence software;
(d) supply chain management software;
(e) enterprise data warehouse software;
(f) computerised maintenance management systems;
(g) project management software;
(h) product lifecycle management software;
(i) data services software;
(j) access control software;
(k) any component of the software described in sub-paragraphs (a) to (j), including human resource, accounting or fleet management components;
(l) any other information comprised in the software described in sub-paragraphs (a) to (j);
(m) technology required for the development, production or use of the software described in sub-paragraphs (a) to (j).

## 2 

Industrial design software and technology meaning—
(a) building information modelling software;
(b) computer aided design software;
(c) computer aided manufacture software;
(d) engineer to order software;
(e) any component of the software described in sub-paragraphs (a) to (d);
(f) any other information comprised in the software described in sub-paragraphs (a) to (d);
(g) technology required for the development, production or use of the software described in paragraphs (a) to (d).

## Schedule 2: Treasury licences: purposes

### Part 1: Designated Persons

## 1 Basic needs

(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—
(a)the wife or husband of the designated person;
(b)the civil partner of the designated person;
(c)any parent or other ascendant of the designated person;
(d)any child or other descendant of the designated person;
(e)any person who is a brother or sister of the designated person, or a child or other descendant of such a person.

## 2 Legal services

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.

## 3 Maintenance of frozen funds and economic resources

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.

## 4 Extraordinary expenses

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

## 5 Pre-existing judicial decisions etc

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

## 6 Prior obligations

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

## 7 Activities related to the Joint Comprehensive Plan of Action

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

### Part 1A: Purposes relating only to UN designated persons

## 7ZA 

To enable anything that is necessary—
(a) for activities directly related to the items specified in the lists referred to in sub-paragraphs 3(b)(i) and (ii) of resolution 1737, as those lists are revised or re-issued from time to time by the Security Council or the Committee;
(b) for the supply, sale, or transfer of items, materials, equipment, goods and technology, and the provision of any related technical assistance, training, financial assistance, investment, brokering or other services, by participant States of the Joint Comprehensive Plan of Action, or Member States acting in coordination with them, that falls within paragraph 22 of resolution 2231 and is directly related to—
(i) the modification of two cascades at the Fordow facility for stable isotope production;
(ii) the export of Iran’s enriched uranium in excess of 300 kilograms in return for natural uranium; and
(iii) the modernization of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor;
(c) for transfers and activities falling within sub-paragraphs (a), (b) or (c) of paragraph 23 of resolution 2231.

## 7A Pre-existing judicial decisions etc.

(1) 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 at a time when the person was not a designated person, and
(ii) is enforceable in the United Kingdom, ...
(c) the use of the frozen funds or economic resources does not directly or indirectly benefit any other designated person , and
(d) where sub-paragraph (2) applies, the activities to which the decision or the lien relate are consistent with—
(ii) the Joint Comprehensive Plan of Action, and
(iii) the provisions of resolutions 1696, 1737, 1747, 1803, 1835, 1929, and 2231.
(2) This sub-paragraph applies where the decisions or liens concerned were made or established at a time when the person concerned ceased to be a designated person pursuant to paragraph 7 of resolution 2231.

## 7B Prior obligations

(1) To enable, by the use of a designated person’s funds or economic resources, the satisfaction of an obligation of that designated person arising under a contract, provided that—
(a) the obligation arose at a time when that designated person was not a designated person,
(b) the obligation is not related to any of the prohibited items, materials, equipment, goods, technologies, assistance, training, financial assistance, investment, brokering or services referred to in paragraphs 3, 4 or 6 of resolution 1737,
(c) no payments are made to another designated person, whether directly or indirectly, and
(d) where sub-paragraph (2) applies, the activities contemplated under, and execution of, such obligations are consistent with—
(i) the Joint Comprehensive Plan of Action, and
(ii) the provisions of resolutions 1696, 1737, 1747, 1803, 1835, 1929 and 2231.
(2) This sub-paragraph applies where the obligation concerned arose at a time when the person concerned ceased to be a designated person pursuant to paragraph 7 of resolution 2231.
(3) In this paragraph, “designated person’s funds or economic resources” means funds or economic resources owned, held or controlled by a designated person, including, in particular, a reference to—
(a) funds or economic resources in which the designated 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 designated person.
(4) In this paragraph “that designated person” means—
(a) the designated person whose funds or economic resources are to be used (“U”), or
(b) any other designated person that within the meaning of regulation 7—
(i) U owns or controls directly or indirectly,
(ii) U is owned or controlled directly or indirectly by, or
(iii) is owned or controlled directly or indirectly by the same designated person that owns or controls directly or indirectly U.

### Part 2: Non-UN designated persons

## 8 Humanitarian assistance activities

(1) To enable anything to be done in connection with the performance of any humanitarian assistance activity.
(2) In sub-paragraph (1) “humanitarian assistance activity” includes the work of international and non-governmental organisations carrying out relief activities in Iran for the benefit of the civilian population there.

## 9 Diplomatic missions etc

(1) To enable anything to be done in order that the functions of a diplomatic mission or consular post, or of an international organisation enjoying immunities in accordance with international law, may be carried out.
(2) In sub-paragraph (1)—
“consular post” has the same meaning as in the Vienna Convention on Consular Relations done at Vienna on 24 April 1963 , and any reference to the functions of a consular post is to be read in accordance with that Convention;
“diplomatic mission” and any reference to the functions of a diplomatic mission, is to be read in accordance with the Vienna Convention on Diplomatic Relations done at Vienna on 18 April 1961 .

## 10 Extraordinary situation

To enable anything to be done to deal with an extraordinary situation.

## 10A Insolvency

(1) To enable anything to be done in connection with—
(a) any insolvency and restructuring proceedings relating to an insolvent person,
(b) any other relevant proceedings relating to a person other than an individual, or
(c) proceedings under the insolvency law of a country other than the United Kingdom that correspond to the proceedings in paragraph (a) or (b),
provided that any payments made directly or indirectly to a designated person are credited to a frozen account.
(2) In this paragraph—
“enactment” has the meaning given in section 54(6) of the Act;
“insolvency and restructuring proceedings” includes—
(a)the regimes and proceedings set out in Parts A1 to 6 of the Insolvency Act 1986, Parts 1A to 7 of the Insolvency (Northern Ireland) Order 1989 and so much of Part 1 of that Order as applies for the purposes of those Parts, but excluding—
(i)proceedings under Chapter 3 of Part 4 (members’ voluntary winding up) of the Insolvency Act 1986, and
(ii)proceedings under Chapter 3 of Part 5 (members’ voluntary winding up) of the Insolvency (Northern Ireland) Order 1989;
(b)arrangements and reconstructions under Part 26 of the Companies Act 2006;
(c)arrangements and reconstructions for companies in financial difficulty under Part 26A of the Companies Act 2006;
(d)the proceedings and arrangements set out in the Bankruptcy (Scotland) Act 2016;
“insolvent person” means a person (“P”), other than an individual, where—
(a)P is unable to pay its debts as they fall due, or
(b)the value of P’s assets is less than the amount of its liabilities, taking into account its contingent and prospective liabilities;
“other relevant proceedings” means—
(a)the regimes and proceedings set out in—
(i)sections 367 and 377A to 377J of, or Schedule 19C to, the Financial Services and Markets Act 2000;
(ii)the Insurers (Reorganisation and Winding Up) (Lloyd’s) Regulations 2005;
(iii)Parts 1 to 3 of the Banking Act 2009 (including Parts 2 and 3 as applied to building societies by section 90C of the Building Societies Act 1986);
(iv)the Investment Bank Special Administration Regulations 2011;
(v)Part 6 of the Financial Services (Banking Reform) Act 2013;
(vi)the Payment and Electronic Money Institution Insolvency Regulations 2021;
(vii)Schedule 11 to the Financial Services and Markets Act 2023;
(b)proceedings under any other special administration regime;
“special administration regime” means provision made by an enactment for an insolvency procedure that—
(a)is similar or corresponds to the ordinary administration procedure provided for by Schedule B1 to the Insolvency Act 1986 or Schedule B1 to the Insolvency (Northern Ireland) Order 1989, and
(b)provides for the administrator to have one or more special objectives instead of or in addition to the objectives of ordinary administration.

## 10B Judicial decisions etc.

To enable the implementation or satisfaction (in whole or in part) of a judicial, administrative or arbitral decision or lien which is enforceable in the United Kingdom (the “judicial decision”), provided that—
(a) where funds or economic resources are made available to a designated person, they are credited to a frozen account or otherwise frozen by virtue of regulation 12;
(b) where funds or economic resources are made available by a person (including a designated person) to a designated person to enable the implementation or satisfaction of the judicial decision, no other designated person benefits, directly or indirectly.

## 10C Prior obligations

To enable the satisfaction of an obligation of a designated person (whether arising under a contract, other agreement or otherwise), provided that—
(a) the obligation arose at a time when the person was not a designated person, and
(b) no payments are made to a designated person, whether directly or indirectly.

### Part 3: Interpretation

## 11 

(1) In this Schedule—
“designated person” has the same meaning as it has in Part 3 (Finance);
“frozen account” has the meaning given in regulation 37(7);
“frozen funds or economic resources” means funds or economic resources frozen by virtue of regulation 12, 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 7A, 7B or 10C when C was a designated person, C is to be treated as having been a designated person at the same time as P.

## Explanatory note

(This note is not part of the Regulations)
These Regulations are made under the Sanctions and Anti-Money Laundering Act 2018 (c.13) to establish a sanctions regime under that Act relating to nuclear activities in Iran. These Regulations are made for the purpose of complying with United Nations obligations and for the purposes of: encouraging Iran to abandon nuclear weapons programmes; restricting the ability of Iran to develop nuclear weapons and nuclear weapons delivery systems; and promoting implementation of the Joint Comprehensive Plan of Action agreed by Iran and others in 2015.
Following the UK's withdrawal from the European Union, these Regulations will replace the corresponding EU sanctions regime which is currently implemented via an EU Council Decision and Regulation.
These Regulations provide that persons who are listed by the UN are designated persons in the UK. The Regulations also confer a power on the Secretary of State to designate further persons who are, or have been, involved in activities related to the proliferation or development of nuclear weapons or nuclear weapons delivery systems in relation to Iran. Designated persons are excluded from the United Kingdom and are subject to financial sanctions, including having their funds and economic resources frozen.
These Regulations also impose trade restrictions in relation to specified goods and technology which are relevant to nuclear activities. They include military items and items on lists published by the UN and the International Atomic Energy Agency.
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 Secretary of State and the Treasury to issue licences in respect of activities that would otherwise be prohibited under the financial and trade sanctions. Schedule 3 to these Regulations sets out the purposes for which the Treasury will 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 set out the penalties that apply to such offences. 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.
Council Regulation (EU) No 267/2012 of 23 March 2012 (restrictive measures against Iran) is revoked by these Regulations. The Iran (European Union Financial Sanctions) Regulations 2016, the Export Control (Iran Sanctions) Order 2016, and the Iran (Financial Sanctions) Order 2007 are also revoked by these Regulations.
The UN Security Council documents relating to this sanctions regime, including lists of goods and technology referred to in UN Security Council resolution 2231, which are mentioned in regulation 34, are available at https://www.un.org/securitycouncil/content/2231/background.
The Harmonized Commodity Description and Coding System referred to in regulation 28 is available at: http://www.wcoomd.org/en/topics/nomenclature/instrument-and-tools/hs-nomenclature-2017-edition/hs-nomenclature-2017-edition.aspx. A copy may be inspected free of charge by arrangement with HM Revenue and Customs at 100 Parliament Street, London SW1A 2BQ.
An Impact Assessment has not been produced for these Regulations, as they are intended to ensure existing sanctions remain in place following the United Kingdom's withdrawal from the European Union. These Regulations are intended to deliver substantially the same policy effects as the existing European Union sanctions. 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.

---
Source: https://www.legislation.gov.uk/uksi/2019/461 (the official version)
Page: https://openlegislation.uk/iran-sanctions-nuclear-eu-exit-regulations-2019
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.