The Russia (Sanctions) (Overseas Territories) Order 2020

Functions of the Governor4A

1

In these Regulations, “the Governor” means, in relation to the Territory, the person holding or acting in the office of Governor of the Territory, or, if there is no such office, the officer for the time being administering the Territory.

2

The Governor may, to such extent and subject to such restrictions and conditions as the Governor thinks proper, delegate or authorise the delegation of any of the Governor's powers under these Regulations to any person, or class or description of persons, and any references in these Regulations to the Governor are to be construed accordingly.

3

In the exercise of any power conferred on the Governor by these Regulations, the Governor is to act in their discretion.

8Requirement to publish a list of persons designated by name

1

Subject to paragraph (2), the Governor must—

a

publish a list of designated persons, and

b

keep the list up to date.

2

Where, in accordance with regulation 8 (notification and publicity where designation power used)(as it has effect in the United Kingdom) the Secretary of State is not required to publicise generally a designation, variation or revocation, the Governor must not include in the list under paragraph (1) any details of that designation, variation or revocation.

3

The Governor may publish the list under paragraph (1) in any form the Governor considers appropriate, including by means of a website.

4

For the purpose of this regulation, “designated person” means any person for the time being designated by name by the Secretary of State under regulation 5(1) (power to designate persons by name)(as it has effect in the United Kingdom).

9ARequirement to publish a list of designations by description

1

Subject to paragraph (2), the Governor must—

a

publish a list of designations by description, and

b

keep the list up to date.

2

Where, in accordance with regulation 9A (notification and publicity where power to designate by description is used)(as it has effect in the United Kingdom) the Secretary of State is not required to publicise generally a designation, variation or revocation, the Governor must not include in the list under paragraph (1) any details of that designation, variation or revocation.

3

The Governor may publish the list under paragraph (1) in any form the Governor considers appropriate, including by means of a website.

4

For the purposes of this regulation, “designations by description” means where the Secretary of State has for the time being provided that persons of a specified description are designated persons under regulation 5(1A) (power to designate persons by description)(as it has effect in the United Kingdom).

10

In this Chapter, a “designated person” means a person who is designated from time to time by the Secretary of State under regulation 5 (power to designate persons)(as it has effect in the United Kingdom) for the purposes of regulations 11 to 15 (asset-freeze etc.)(as they have effect in the United Kingdom).

• “designated person” means a person who is designated from time to time by the Secretary of State under regulation 5 (power to designate persons)(as it has effect in the United Kingdom) for the purposes of regulation 18C (trust services)(as it has effect in the United Kingdom);

20

1

A person who is designated from time to time by the Secretary of State under regulation 5 (power to designate persons) (as it has effect in the United Kingdom) for the purposes of regulation 20 (immigration) (as it has effect in the United Kingdom) must not enter, transit or remain in the Territory.

2

Paragraph (1) does not apply to a person who—

a

belongs to the Territory, or

b

in respect of the Sovereign Base Areas, is permitted to reside in the Sovereign Base Areas under the law applicable to the Sovereign Base Areas.

3

Paragraph (1) does not apply to a person if the application of that paragraph to that person would be contrary to the United Kingdom's obligations under —

a

the European Convention on Human Rights, or

b

the Refugee Convention.

4

Paragraph (1) is subject to regulation 69 (immigration directions).

5

For the purposes of this regulation, a person (“P”) belongs to the Territory if—

a

in respect of Anguilla, P is an Anguillian (within the meaning given to that term in the law of Anguilla);

b

in respect of the Cayman Islands, P is a Caymanian (within the meaning given to that term in the law of the Cayman Islands);

c

in respect of the Falkland Islands, P has Falkland Islands status (within the meaning given to that term in the law of the Falkland Islands);

d

in respect of Montserrat, P is a Montserratian (within the meaning given to that term in the law of Montserrat);

e

in respect of Pitcairn, P has the right of abode in Pitcairn under the law of Pitcairn;

f

in respect of St Helena, P has St Helenian status (within the meaning given to that term in the law of St Helena);

g

in respect of Tristan da Cunha, P has the right of abode in Tristan da Cunha under the law of Tristan da Cunha;

h

in respect of the Turks and Caicos Islands, P is a Turks and Caicos Islander (within the meaning given to that term in the law of the Turks and Caicos Islands);

i

in respect of the Virgin Islands, P belongs to the Virgin Islands (within the meaning given to that term in the law of the Virgin Islands).

6

In this regulation—

• “the European Convention on Human Rights” means the Convention for the Protection of Human Rights and Fundamental Freedoms done at Rome on 4 November 1950 and the Protocols to the Convention M6;

• “the Refugee Convention” means the Convention relating to the Status of Refugees done at Geneva on 28 July 1951 and the Protocol to the Convention M7;

• “Pitcairn” means Pitcairn, Henderson, Ducie and Oeno Islands;

• “the Sovereign Base Areas” means the Sovereign Base Areas of Akrotiri and Dhekelia in the Island of Cyprus.

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 export was to, or the goods were for use in, Russia.

F474

A person who contravenes the prohibition in paragraph (1A) commits an offence, but it is a defence for a person charged with the offence of contravening paragraph (1A) to show that the person did not know and had no reasonable cause to suspect that the export was for the placing on board of a Russian-flagged vessel.

4A

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 the offence of contravening paragraph (1) to show that the person did not know and had no reasonable cause to suspect that the goods were consigned from Russia;

b

it a defence for a person charged with the offence of contravening paragraph (2) to show that the person did not know and had no reasonable cause to suspect that the goods originated in Russia.

30B

1

The export of relevant restricted goods to, or for use in, non-government controlled Ukrainian territory, is prohibited.

2

Paragraph (1) is subject to Part 7 (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 export was to, or the goods were for use in, non-government controlled Ukrainian territory.

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 export was to, or the goods were for use in, Russia.

• “designated person” means a person for the time being designated by the Secretary of State under regulation 5 (power to designate persons)(as it has effect in the United Kingdom) for the purposes of regulation 46A (technical assistance relating to aircraft and ships)(as it has effect in the United Kingdom);

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) to show that the person did not know and had no reasonable cause to suspect that the products were consigned from Russia;

b

it is a defence for a person charged with the offence of contravening paragraph (2) to show that the person did not know and had no reasonable cause to suspect that the products originated in Russia.

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 goods were relevant processed iron or steel products.

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) to show that the person did not know and had no reasonable cause to suspect that the goods were consigned from Russia;

b

it is a defence for a person charged with the offence of contravening paragraph (2) to show that the person did not know and had no reasonable cause to suspect that the goods originated in Russia.

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) to show that the person did not know and had no reasonable cause to suspect that the goods were consigned from Russia;

b

it a defence for a person charged with the offence of contravening paragraph (2) to show that the person did not know and had no reasonable cause to suspect that the goods originated in Russia.

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) to show that the person did not know and had no reasonable cause to suspect that the goods were consigned from Russia;

b

it is a defence for a person charged with the offence of contravening paragraph (2) to show that the person did not know and had no reasonable cause to suspect that the goods originated in Russia.

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) to show that the person did not know and had no reasonable cause to suspect that the gold originated in Russia.

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 gold jewellery originated in Russia.

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 goods were relevant processed gold.

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) to show that the person did not know and had no reasonable cause to suspect that the goods were consigned from Russia;

b

it is a defence for a person charged with the offence of contravening paragraph (2) to show that the person did not know and had no reasonable cause to suspect that the goods originated in Russia.

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) to show that the person did not know and had no reasonable cause to suspect that that the liquefied natural gas was consigned from Russia;

b

it is a defence for a person charged with the offence of contravening paragraph (2) to show that the person did not know and had no reasonable cause to suspect that the liquefied natural gas originated in Russia.

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 goods originated in non-government controlled Ukrainian territory.

48

1

The export of infrastructure-related goods to, or for use in, non-government controlled Ukrainian territory, is prohibited.

2

Paragraph (1) is subject to Part 7 (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 export was to, or the goods were for use in, non-government controlled Ukrainian territory.

57GRequirement to publish a list of specified ships

1

Subject to paragraph (2), the Governor must—

a

publish a list of specified ships, and

b

keep the list up to date.

2

Where, in accordance with regulation 57G (notification and publicity where specification power used) (as it has effect in the United Kingdom) the Secretary of State is not required to publicise generally a specification or revocation, the Governor must not include in the list under paragraph (1) any details of that specification or revocation.

3

The Governor may publish the list under paragraph (1) in any form the Governor considers appropriate, including by means of a website.

57L

1

Where a direction is given under regulation 57J(9)(c) or (d), to the extent that the direction conflicts with the requirements of article 12 of the ANO (revocation etc. of permissions), those requirements are to be disregarded.

2

Where a direction is given under regulation 57J which conflicts with a permission under article 135 or 137 of the ANO, the permission is to be disregarded.

3

In so far as a direction under regulation 57J conflicts with any requirement in the applicable law of the Territory that corresponds to the requirements of section 93 of the Transport Act 2000 or of an order under section 94 of that Act, the direction is to be disregarded.

4

In so far as a direction under regulation 57J conflicts with the requirements of any other relevant law applicable to the Territory, the requirements are to be disregarded.

5

The Secretary of State may notify a person that the existence of a direction under regulation 57J, any part of the content of the direction, or anything done under the direction, is to be treated as confidential.

6

The Governor may notify a person that the existence of a direction issued by the Governor under regulation 57J, any part of the content of the direction, or anything done under the direction, is to be treated as confidential.

7

A person must not disclose any information if the Secretary of State or the Governor (as the case may be) notifies that person under paragraph (5) or (6) that the information is to be treated as confidential.

8

For the purposes of this regulation, a “direction” under regulation 57J includes the refusal, suspension or revocation of permission under regulation 57J(9).

57MRegistration of an aircraft in the Territory

1

The Governor must refuse to register an aircraft if, on the basis of the information given to the Governor by the applicant, the Secretary of State or a third person, the aircraft appears to be a relevant aircraft.

2

The Secretary of State may direct the Governor to terminate the registration of a relevant aircraft.

3

In so far as a direction under paragraph (2) conflicts with the provisions of Part 2 (Registration and marking of aircraft) of the ANO, those provisions are to be disregarded.

4

For the purposes of this regulation, “relevant aircraft” means—

a

an aircraft owned or operated by a designated person, or

b

an aircraft chartered by demise by a designated person.

5

Any reference in this regulation to registering an aircraft is a reference to registering an aircraft in the register in relation to the Territory kept by the Governor.

6

In paragraph (4), a “designated person” means a person for the time being designated by the Secretary of State under regulation 5 (power to designate persons)(as it has effect in the United Kingdom) for the purposes of regulation 57J or 57M (movement or registration of aircraft)(as they have effect in the United Kingdom).

60ZZB

1

The prohibitions in regulation 18C (trust services) are not contravened by any act done by a person (“P”)—

a

in satisfaction of an obligation in respect of the provision of trust services by P to or for the benefit of—

i

a designated person, or

ii

a person connected with Russia,

where those services are provided in relation to the discharge of or compliance with a statutory or regulatory obligation of the Territory;

b

for the purposes of complying with the prohibitions and obligations in Chapter 1 of Part 3 (asset freeze etc.);

c

in connection with transferable securities or money-market instruments where dealing with such securities or instruments is not prohibited by regulation 16 or 18B.

2

The prohibitions in regulation 18C are not contravened by the provision of the following trust services where the condition in paragraph (3) is met—

a

trust services provided to a community amateur sports club registered as such under the applicable law of the Territory;

b

trust services provided to a trust for charitable services registered (or which is or is not required to register) as a charity under the applicable law of the Territory;

c

trust services provided to a pension scheme registered under the applicable law of the Territory;

d

trust services for the purposes of a trust relating to the creation of a beneficial interest in securities belonging to a person whose name and address are maintained on a register of securities in the Territory;

e

trust services provided by the operator or trustee of an authorised unit trust scheme in relation to that scheme;

f

trust services provided in the course of, or in connection with, carrying on by way of business the activity specified in article 40 (safeguarding and administering investments) of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, except in so far as the activity relates to a unit trust scheme which is not an authorised unit trust scheme; or

g

trust services provided in the course of, or in connection with, the acting by way of business as an agent holding funds, economic resources or documents in escrow until the performance of a contractual condition agreed between two or more other persons, including the person for whom the funds, economic resources or documents are being held.

3

The condition in this paragraph is that the trust services are not provided primarily to, or for the benefit of, a designated person or a person connected with Russia.

4

Where the condition in paragraph (5) is met, the prohibitions in regulation 18C are not contravened by the provision of trust services for making funds and economic resources available to or for the benefit of—

a

a person under the age of 18,

b

a person who at the material time lacks capacity, being unable to make a decision for themselves in relation to the matter because of an impairment of, or a disturbance in the functioning of, the mind or brain (whether permanent or temporary).

5

The condition in this paragraph is that the trust services are not provided primarily to, or for the benefit of, a designated person.

6

In this regulation, whether trust services are provided for the benefit of a person is to be construed in accordance with regulation 18C.

7

In this regulation—

• “authorised unit trust scheme” means a unit trust scheme which is authorised by the relevant financial authority in the Territory;

• “designated person” has the meaning given in regulation 18C(7);

• “the operator” has the meaning given in section 237 of the Financial Services and Markets Act 2000;

• “person connected with Russia” is to be construed in accordance with regulation 19A(2);

• “trust services” has the meaning given in regulation 18C(7);

• “trustee” has the meaning given in section 237 of the Financial Services and Markets Act 2000;

• “unit trust scheme” means a collective investment scheme under which the property is held on trust for the participants, except that it does not include a contractual scheme.

62AExceptions for authorised conduct outside the Territory

1

Where a person’s conduct outside the Territory would, in the absence of this paragraph, contravene a prohibition in any of Chapters 1 and 2 of Part 3 (Finance) or F50Chapters 2 to 6 and Chapter 6B of Part 5 (Trade), the prohibition is not contravened if the conduct is authorised by a licence issued under regulation 64 (Treasury licences) (as it has effect in the United Kingdom) or regulation 65 (trade licences) (as it has effect in the United Kingdom).

2

Where a person’s conduct in a relevant country would, in the absence of this paragraph, contravene a prohibition in any of Chapters 1 and 2 of Part 3 or F50Chapters 2 to 6 and Chapter 6B of Part 5 (“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.

3

In this regulation—

• “relevant country” means—

  1. a

     any of the Channel Islands,

  2. b

     the Isle of Man, or

  3. c

     any British overseas territory other than the Territory.

63

1

Where an act would, in the absence of this paragraph, be prohibited by regulation 9(2) or 9B(2) (confidentiality) or any prohibition in Part 3 (Finance) or Part 5 (Trade) or under or by virtue of Part 6 (Ships) or Part 6A (Aircraft), that prohibition does not apply to the act if the act is one which—

a

a responsible officer has determined would be in the interests of—

i

national security, or

ii

the prevention or detection of serious crime in the United Kingdom or elsewhere, or

b

the Governor, with the consent of the Secretary of State, has determined would be in the interests of the prevention or detection of serious crime in the Territory.

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 8 (Information and records) or Part 10 (Maritime enforcement), that requirement does not apply if—

a

a responsible officer has determined that not doing the thing in question would be in the interests of—

i

national security, or

ii

the prevention or detection of serious crime in the United Kingdom or elsewhere, or

b

the Governor, with the consent of the Secretary of State, has determined that not doing the thing in question would be in the interests of the prevention or detection of serious crime in the Territory.

3

In this regulation, “responsible officer” means a person in the service of the Crown or holding office under the Crown in the United Kingdom, acting in the course of that person’s duty.

64Financial sanctions licences

1

The prohibitions in Chapters 1 and 2 of Part 3 (Finance) F63and regulations 46Z9B to 46Z9D (maritime transportation of certain oil and oil products) do not apply to anything done under the authority of a licence issued by the Governor under this paragraph.

2

Without prejudice to the generality of the powers conferred by paragraph (1), a financial sanctions licence issued by the Governor may, in particular, authorise acts which would otherwise be prohibited by any of F51regulations 11 to F7518C (financial restrictions) F64or 46Z9B to 46Z9D (maritime transportation of certain oil and oil products) for a particular period beginning with—

a

the coming into force of the prohibition, or

b

where the prohibition relates to a person designated for the purposes of regulations 11 to 15 (asset-freeze etc.) or regulation 17A (correspondent banking relationships etc.), the date on which the person was designated.

3

The Governor may issue a financial sanctions licence which authorises acts by a particular person only—

a

in the case of acts which would otherwise be prohibited by regulations 11 to 15, where the Governor considers that it is appropriate to issue the licence for a purpose set out in Part 1 (Asset-freeze etc.) of Schedule 5 (Financial sanctions licences: purposes),

F112aa

in the case of acts which would otherwise be prohibited by regulations 11 to 15, 16, 17, 17A, 18A and 18C, where the Governor considers that it is appropriate to issue the licence for a purpose set out in Part 1ZA of Schedule 5,

b

in the case of acts which would otherwise be prohibited by regulation 17 (loans and credit arrangements), where the Governor considers that it is appropriate to issue the licence for a purpose set out in Part 1A (Loans and credit arrangements) of Schedule 5,

c

in the case of acts which would otherwise be prohibited by regulation 17A, where the Governor considers that it is appropriate to issue the licence for a purpose set out in Part 1B (Correspondent banking relationships etc.) of Schedule 5,

d

in the case of acts which would otherwise be prohibited by regulation 17A(2) F113(processing payments), where the Governor considers that it is appropriate to issue the licence for a purpose set out in Part 1C F114(Processing payments) of Schedule 5,

e

in the case of acts which would otherwise be prohibited by regulation 18 (investments in relation to non-government controlled Ukrainian territory), where the Governor considers that it is appropriate to issue the licence for a purpose set out in Part 2 (Investment in non-government controlled Ukrainian territory) of Schedule 5, F52...

f

in the case of acts which would otherwise be prohibited by regulation 18A (provision of financial services relating to foreign exchange reserve and asset management), where the Governor considers that it is appropriate to issue the licence for a purpose set out in Part 1D (Foreign exchange reserve and asset management services) of Schedule 5, F65...

F53g

in the case of acts which would otherwise be prohibited by regulation 18B (investments in relation to Russia), where the Governor considers that it is appropriate to issue the licence for a purpose set out in Part 3 of Schedule 5F66, and

F76ga

in the case of acts which would otherwise be prohibited by regulation 18C (trust services), where the Governor considers that it is appropriate to issue the licence for a purpose set out in Part 3A of Schedule 5, and

F67h

in the case of acts which would otherwise be prohibited by regulations 46Z9B to 46Z9D (maritime transportation of certain oil and oil products), where the Governor considers that it is appropriate to issue the licence for the purpose set out in Part 4 (maritime transportation of certain oil and oil products) of Schedule 5.

4

Part A1 (Interpretation) of Schedule 5 has effect for the interpretation of terms in that Schedule.

5

The Governor may issue a financial sanctions licence only with the consent of the Secretary of State.

Immigration directions69

1

The Governor may, with the consent of the Secretary of State, direct that, in relation to any person falling within regulation 20 (immigration) whose name is specified, or who is of a specified description, that regulation has 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 Governor may, with the consent of the Secretary of State, 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 Governor may take such steps as the Governor 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.

71

1

The following are relevant firms for the purposes of regulation 70 (finance: reporting obligations)—

a

a relevant institution;

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 provides to other persons, by way of business—

i

accountancy services,

ii

advice about tax affairs,

iii

auditing services,

iv

legal or notarial services, or

F72v

company services, or

vi

trust services;

d

a firm or sole practitioner that carries out, or whose employees carry out, estate agency work;

e

the holder of a licence to operate a casino in the Territory;

f

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.

2

For the purposes of paragraph (1), the following definitions apply—

• F74“company services” means any of the following services—

  1. a

     forming companies or other legal persons;

  2. b

     acting, or arranging for another person to act—

     1. i

        as a director or secretary of a company,

     2. ii

        as a partner of a partnership, or

     3. iii

        in a similar capacity in relation to other legal persons;

  3. 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;

  4. d

     acting, or arranging for another person to act, as a nominee shareholder for a person;

• “estate agency work”, in relation to the Territory, is to be read in accordance with section 1 of the Estate Agents Act 1979 M9, 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 Territory 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;

• “relevant institution” has the same meaning as it has in regulation 58;

• F73...

• F74“trust services” has the meaning given in regulation 18C(7) (trust services).

3

For the purposes of regulation 70(1), 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 permission under Part 4A of the Financial Services and Markets Act 2000 would be required if it had its registered office (or if it does not have one, its head office) in the United Kingdom, and

b

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.

Trade: information powers75

1

An authorised officer may request a person who is concerned (in whatever capacity) in a relevant activity to provide such information as the authorised officer may reasonably require about the relevant activity.

2

The authorised officer may specify the way in which, and the period within which, information is to be provided.

3

If no such period is specified, the information which has been requested must be provided within a reasonable time.

4

A request under paragraph (1) may include a request to produce specified documents or documents of a specified description.

5

Where the authorised officer requests that documents be produced, the authorised officer may—

a

take copies or extracts from any document so produced,

b

request any person producing a document to give an explanation of it,

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, and

d

remove, at a reasonable time and for a reasonable period, any document so produced if the authorised officer considers it is necessary to do so.

6

Where a document has been removed by an authorised officer under paragraph (5)(d)—

a

the authorised officer must, on request, provide a receipt for the document;

b

if the document is reasonably required for the proper conduct of a business, the authorised officer must, as soon as practicable and free of charge, provide a copy of the document to the person who produced it.

7

Where a document requested to be produced under paragraph (4) is subject to a lien, the production or removal of the document in accordance with this regulation does not affect, and is not to be regarded as breaking, the lien.

8

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 any prohibition in F54Chapters 2 to 6 and Chapter 6B of Part 5 (Trade), or

b

which would constitute a contravention of the prohibition in regulation 55 (circumventing etc. prohibitions).

Trade: information offences75A

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 75 (trade: information powers);

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 75, destroys, mutilates, defaces, conceals or removes any document;

d

otherwise intentionally obstructs an authorised officer in the exercise of their powers under regulation 75.

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.

Suspected ships, aircraft or vehicles79A

1

Where an authorised officer has reasonable cause to suspect that a ship, aircraft or vehicle has been, or is being, or is about to be, used in the commission of an offence under Part 5 (Trade) or regulation 68(2) (trade: licensing offences), the authorised officer may—

a

in relation to an aircraft or vehicle, require the relevant person to keep the aircraft or vehicle and any goods it is carrying in the Territory, until the authorised officer notifies the relevant person that the aircraft or vehicle (as the case may be) may depart, or

b

in relation to a ship, require the relevant person—

i

not to cause or permit the ship to proceed with the voyage on which it is engaged or about to engage, until the authorised officer notifies the relevant person that the ship may proceed;

ii

not to land any part of the ship's cargo at any port specified by the authorised officer, except with the authorised officer's prior consent;

iii

if the ship is in port in the Territory, to cause the ship to remain there until the authorised officer notifies the relevant person that the ship may depart;

iv

if the ship is in any other place, to cause it to proceed to a port specified by the authorised officer and keep it there, until the authorised officer notifies the relevant person that the ship may depart.

2

Where the authorised officer considers it necessary in order to secure compliance with a requirement made under paragraph (1), the authorised officer may detain the ship, aircraft or vehicle and any goods it is carrying.

3

Where an authorised officer detains a ship, aircraft or vehicle and any goods it is carrying in accordance with paragraph (2), the authorised officer must deliver to the master of the ship, the aircraft operator or the owner of the vehicle (as the case may be) a detention direction.

4

A detention direction under paragraph (3) must—

a

be in writing,

b

state the grounds on which the ship, aircraft or vehicle is detained, and

c

state that—

i

the power to detain is exercised under this regulation, and

ii

any requirements subject to which the detention is carried out must be complied with.

5

Paragraph (6) applies, in relation to a ship or aircraft, if—

a

the ship or aircraft (as the case may be) is not a Territory ship or Territory aircraft, and

b

there is in the Territory a consular officer for the country to which the ship or aircraft belongs.

6

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 or aircraft belongs.

7

An authorised officer may use reasonable force, if necessary, in the exercise of any power conferred by this regulation.

8

An authorised officer must, if requested to do so, produce evidence of their authority before exercising any power conferred by this regulation.

9

Nothing in this regulation affects any other provision of law conferring powers, imposing restrictions or enabling restrictions to be imposed in respect of ships, aircraft or vehicles.

10

In this regulation—

• “consular officer”, in relation to a foreign country, means the officer recognised by Her Majesty as a consular officer of that foreign country in the Territory;

• “the relevant person” means any of the following—

  1. a

     in relation to a ship, the owner, master or charterer of the ship;

  2. b

     in relation to an aircraft, the owner, charterer, operator or commander of the aircraft;

  3. c

     in relation to a vehicle, the owner, driver or operator of the vehicle.

Search warrants79B

1

A magistrate or justice of the peace may issue a search warrant if satisfied by information on oath that—

a

there is reasonable cause to suspect that a relevant offence under these Regulations has been, or is being, or is about to be, committed, and

b

evidence in relation to the offence is to be found on a ship, aircraft, vehicle or premises specified in the information.

2

A search warrant issued under this regulation is a warrant empowering an authorised officer to enter and search the ship, aircraft, vehicle or premises specified in the information, at any time within one month from the date of the warrant.

3

The powers conferred on an authorised officer by a search warrant under this regulation include powers to—

a

in the case of a power to enter a ship, aircraft or vehicle, stop that ship, aircraft or vehicle;

b

enter any land, where such entry appears to the authorised officer to be necessary in order to enter the ship, aircraft, vehicle or premises specified in the information;

c

take such other persons and such equipment on to the ship, aircraft, vehicle or premises as appear to the authorised officer to be necessary;

d

inspect and seize any thing found in the course of a search if the authorised officer has reasonable cause to suspect that—

i

it is evidence in relation to a relevant offence under these Regulations, or

ii

it is necessary to seize it in order to prevent it being concealed, lost, damaged, altered or destroyed;

e

take copies of any document.

4

An authorised officer who enters a ship, aircraft, vehicle or premises under a search warrant issued under this regulation may—

a

search any person found on the ship, aircraft, vehicle or premises whom the officer has reasonable cause to suspect to be in possession of any thing which may be required as evidence for the purposes of proceedings in respect of a relevant offence under these Regulations, and

b

seize any such thing found in such a search.

5

Any thing seized under paragraphs (3)(d) or (4)(b)—

a

may be retained for so long as is necessary in all the circumstances, and

b

where that thing is prohibited goods and is not authorised by a trade licence, may be forfeited, disposed of or transferred as appropriate.

6

A search of a person under paragraph (4)(a) must be carried out by a person of the same sex.

7

An authorised officer may use reasonable force, if necessary, in the exercise of any power conferred by this regulation.

8

An authorised officer must, if requested to do so, produce evidence of their authority before exercising any power conferred by this regulation.

9

Nothing in this regulation affects any other provision of law conferring powers, imposing restrictions or enabling restrictions to be imposed in respect of ships, aircraft or vehicles.

10

For the purposes of this regulation—

• “information on oath” includes any other form of application for a search warrant applicable in the Territory;

• “justice of the peace” includes other competent judicial authorities within the Territory responsible for issuing search warrants;

• “prohibited goods” means goods which have been, or are being, dealt with in contravention of any prohibition in Chapters 2 to 5 of Part 5 (Trade);

• “relevant offence” means an offence which is punishable with a term of imprisonment of more than 6 months.

80

1

Paragraphs (3) to (8) apply to—

a

Anguilla;

b

British Antarctic Territory;

c

British Indian Ocean Territory;

d

Cayman Islands;

e

Montserrat;

f

Pitcairn, Henderson, Ducie and Oeno Islands;

g

Turks and Caicos Islands;

h

Virgin Islands.

2

Paragraphs (9) to (14) apply to—

a

Falkland Islands;

b

St Helena, Ascension and Tristan da Cunha;

c

South Georgia and the South Sandwich Islands;

d

the Sovereign Base Areas of Akrotiri and Dhekelia in the Island of Cyprus.

3

A person who commits an offence under any provision of Part 3 (Finance) or regulation 57 (Crimean ports direction or Donetsk ports direction), 57A (prohibition on port entry), 57B(4) (directions prohibiting port entry), 57C(3) (movement of ships), 57N(1) to (4) (aircraft offences) or 67 (finance: licensing offences) is liable—

a

on summary conviction, to imprisonment for a term not exceeding 6 months, or a fine not exceeding £5,000 or its equivalent in the currency of the Territory, or both;

b

on conviction on indictment, to imprisonment for a term not exceeding 7 years, or a fine, or both.

4

A person who commits an offence under any provision of Part 5 (Trade) is liable—

a

on summary conviction, to imprisonment for a term not exceeding 6 months, or a fine not exceeding £5,000 or its equivalent in the currency of the Territory, or both;

b

on conviction on indictment, to imprisonment for a term not exceeding 10 years, or a fine, or both.

5

A person who commits an offence under regulation 9(6), 9B(6) (confidentiality), 68 (trade: licensing offences), 68A (aircraft: licensing offences), 76(6) or 77(5) (offences in connection with general trade licences) is liable—

a

on summary conviction, to imprisonment for a term not exceeding 6 months, or a fine not exceeding £5,000 or its equivalent in the currency of the Territory, or both;

b

on conviction on indictment, to imprisonment for a term not exceeding 2 years, or a fine, or both.

6

A person who commits an offence under regulation 57D(8A) or (8B) (detention of ships) is liable—

a

on summary conviction, to a fine not exceeding £50,000 or its equivalent in the currency of the Territory;

b

on conviction on indictment, to a fine.

7

A person who commits an offence under regulation 57B(6) (directions prohibiting port entry: confidentiality), 57C(5) (movement of ships: confidentiality), 57N(5) (aircraft: confidentiality), 70(6) F115, 70A(6) or 74 (information offences in connection with Part 3) is liable, on summary conviction, to imprisonment for a term not exceeding 6 months, or a fine not exceeding £5,000 or its equivalent in the currency of the Territory, or both.

8

A person who commits an offence under regulation 75A (trade: information offences) is liable, on summary conviction, to a fine not exceeding £1,000 or its equivalent in the currency of the Territory.

9

A person who commits an offence under any provision of Part 3 or regulation 57, 57A, 57B(4), 57C(3), 57N(1) to (4) or 67 is liable on conviction to imprisonment for a term not exceeding 7 years, or a fine, or both.

10

A person who commits an offence under any provision of Part 5 is liable on conviction to imprisonment for a term not exceeding 10 years, or a fine, or both.

11

A person who commits an offence under regulation 9(6), 9B(6), 68, 68A, 76(6) or 77(5) is liable on conviction to imprisonment for a term not exceeding 2 years, or a fine, or both.

12

A person who commits an offence under regulation 57D(8A) or (8B) is liable to a fine.

13

A person who commits an offence under regulation 57B(6), 57C(5), 57N(5), 70(6) F115, 70A(6) or 74 is liable on conviction to imprisonment for a term not exceeding 6 months, or a fine not exceeding £5,000 or its equivalent in the currency of the Territory, or both.

14

A person who commits an offence under regulation 75A is liable on conviction to a fine not exceeding £1,000 or its equivalent in the currency of the Territory.

15

Where a fine in this regulation is expressed to be a sum in sterling or its equivalent in the currency of the Territory, the Governor may issue guidance specifying how to calculate the amount in the currency of the Territory which is to be considered equivalent to that sum in sterling.