The Zimbabwe (Sanctions) (EU Exit) Regulations 2019

SCHEDULES

Regulation 7(3)

SCHEDULE 1 U.K. Rules for interpretation of regulation 7(2)

Application of Schedule U.K.

1.—(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.

Commencement Information

I1 Sch. 1 para. 1 not in force at made date, see reg. 1(2)

I2 Sch. 1 para. 1 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Joint interests U.K.

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

Commencement Information

I3 Sch. 1 para. 2 not in force at made date, see reg. 1(2)

I4 Sch. 1 para. 2 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Joint arrangements U.K.

3.—(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.

Commencement Information

I5 Sch. 1 para. 3 not in force at made date, see reg. 1(2)

I6 Sch. 1 para. 3 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Calculating shareholdings U.K.

4.—(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.

Commencement Information

I7 Sch. 1 para. 4 not in force at made date, see reg. 1(2)

I8 Sch. 1 para. 4 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Voting rights U.K.

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

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

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

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

Commencement Information

I9 Sch. 1 para. 5 not in force at made date, see reg. 1(2)

I10 Sch. 1 para. 5 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

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. U.K.

Commencement Information

I11 Sch. 1 para. 6 not in force at made date, see reg. 1(2)

I12 Sch. 1 para. 6 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Rights to appoint or remove members of the board U.K.

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

Commencement Information

I13 Sch. 1 para. 7 not in force at made date, see reg. 1(2)

I14 Sch. 1 para. 7 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

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. U.K.

Commencement Information

I15 Sch. 1 para. 8 not in force at made date, see reg. 1(2)

I16 Sch. 1 para. 8 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Shares or rights held “indirectly” U.K.

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

(a) holds the share in question, or

(b) is part of a chain of persons—

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

(ii) the last of whom holds the share.

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

(a) holds that right, or

(b) is part of a chain of persons—

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

(ii) the last of whom holds that right.

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

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

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

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

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

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

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

(b) the directorship is held by A itself.

Commencement Information

I17 Sch. 1 para. 9 not in force at made date, see reg. 1(2)

I18 Sch. 1 para. 9 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Shares held by nominees U.K.

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

Commencement Information

I19 Sch. 1 para. 10 not in force at made date, see reg. 1(2)

I20 Sch. 1 para. 10 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Rights treated as held by person who controls their exercise U.K.

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

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

(a) by that person,

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

(c) with that person's consent or concurrence.

Commencement Information

I21 Sch. 1 para. 11 not in force at made date, see reg. 1(2)

I22 Sch. 1 para. 11 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

12.  “ Arrangement” includes— U.K.

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

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

Commencement Information

I23 Sch. 1 para. 12 not in force at made date, see reg. 1(2)

I24 Sch. 1 para. 12 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Rights exercisable only in certain circumstances etc U.K.

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

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

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

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

(3) “Relevant insolvency proceedings” means—

(a) administration within the meaning of the Insolvency Act 1986 M1

(b) administration within the meaning of the Insolvency (Northern Ireland) Order 1989 M2 , 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.

Commencement Information

I25 Sch. 1 para. 13 not in force at made date, see reg. 1(2)

I26 Sch. 1 para. 13 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Marginal Citations

M1 1986 c. 45.

M2 S.I. 1989/2405 (N.I. 19).

Rights attached to shares held by way of security U.K.

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

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

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

Commencement Information

I27 Sch. 1 para. 14 not in force at made date, see reg. 1(2)

I28 Sch. 1 para. 14 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(j)

Regulation 19

SCHEDULE 2 U.K. List of internal repression goods and internal repression technology

Firearms and related goods U.K.

1.  Firearms, ammunition and related accessories, as follows—

(a) firearms;

(b) ammunition specially designed for firearms;

(c) weapon-sights.

Commencement Information

I29 Sch. 2 para. 1 not in force at made date, see reg. 1(2)

I30 Sch. 2 para. 1 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

2.  Simulators for training persons to use firearms. U.K.

Commencement Information

I31 Sch. 2 para. 2 not in force at made date, see reg. 1(2)

I32 Sch. 2 para. 2 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

3.  Bombs and grenades. U.K.

Commencement Information

I33 Sch. 2 para. 3 not in force at made date, see reg. 1(2)

I34 Sch. 2 para. 3 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

Vehicles U.K.

4.—(1) Subject to sub-paragraph (3), the following types of vehicles—

(a) vehicles equipped with a water cannon, specially designed or modified for the purpose of riot control;

(b) vehicles specially designed or modified to be electrified to repel boarders;

(c) vehicles specially designed or modified to remove barricades, including construction equipment with ballistic protection;

(d) vehicles specially designed for the transport or transfer of prisoners or detainees;

(e) vehicles specially designed to deploy mobile barriers.

(2) Components for the vehicles specified in sub-paragraph (1) that have been designed for the purposes of riot control.

(3) Vehicles that might otherwise fall within sub-paragraph (1) are not internal repression goods if they are specially designed for the purposes of fire-fighting.

(4) For the purposes of this paragraph, “vehicle” includes a trailer.

Commencement Information

I35 Sch. 2 para. 4 not in force at made date, see reg. 1(2)

I36 Sch. 2 para. 4 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

Explosive substances and related goods U.K.

5.—(1) Subject to sub-paragraph (3), equipment and devices specially designed to initiate explosions by electrical or non-electrical means, including—

(a) firing sets;

(b) detonators;

(c) igniters;

(d) boosters;

(e) detonating cord.

(2) Subject to sub-paragraph (3), components that have been specially designed for any thing mentioned in sub-paragraph (1).

(3) Sub-paragraphs (1) and (2) do not apply to any thing that has been specially designed for a specific commercial use.

(4) For the purpose of sub-paragraph (3), a “specific commercial use” means the actuation or operation by explosive means of other equipment or devices the function of which is not the creation of explosions, including—

(a) car air-bag inflaters;

(b) electric-surge arresters;

(c) fire sprinkler actuators.

Commencement Information

I37 Sch. 2 para. 5 not in force at made date, see reg. 1(2)

I38 Sch. 2 para. 5 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

6.  Linear cutting explosive charges. U.K.

Commencement Information

I39 Sch. 2 para. 6 not in force at made date, see reg. 1(2)

I40 Sch. 2 para. 6 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

7.  The following explosives and related substances— U.K.

(a) amatol;

(b) nitrocellulose (containing more than 12.5 % nitrogen);

(c) nitroglycol;

(d) pentaerythritol tetranitrate (PETN);

(e) picryl chloride;

(f) 2,4,6-trinitrotoluene (TNT).

Commencement Information

I41 Sch. 2 para. 7 not in force at made date, see reg. 1(2)

I42 Sch. 2 para. 7 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

Other goods U.K.

8.—(1) Subject to sub-paragraph (2), the following equipment designed for the protection of [F1 a] person—

(a) body armour providing ballistic or stabbing protection or both;

(b) helmets providing ballistic or fragmentation protection, or both, including anti-riot helmets;

(c) anti-riot shields and ballistic shields.

(2) Sub-paragraph (1) does not apply to—

(a) any thing specially designed to protect persons for the following purposes—

(i) participation in competitive sport;

(ii) ensuring safety at work;

(b) any thing mentioned in paragraph(a) or (b) when accompanying a person for that person's own protection.

Textual Amendments

F1 Word in Sch. 2 para. 8(1) inserted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 7(4)(a); S.I. 2020/1514, reg. 4

Commencement Information

I43 Sch. 2 para. 8 not in force at made date, see reg. 1(2)

I44 Sch. 2 para. 8 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

9.  Night vision equipment. U.K.

Commencement Information

I45 Sch. 2 para. 9 not in force at made date, see reg. 1(2)

I46 Sch. 2 para. 9 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

10.  Thermal imaging equipment. U.K.

Commencement Information

I47 Sch. 2 para. 10 not in force at made date, see reg. 1(2)

I48 Sch. 2 para. 10 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

11.  Image intensifier tubes. U.K.

Commencement Information

I49 Sch. 2 para. 11 not in force at made date, see reg. 1(2)

I50 Sch. 2 para. 11 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

12.  Razor barbed wire. U.K.

Commencement Information

I51 Sch. 2 para. 12 not in force at made date, see reg. 1(2)

I52 Sch. 2 para. 12 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

13.  The following types of knives— U.K.

(a) knives that are designed for use by military personnel (military knives);

(b) knives that are designed for use as a weapon for inflicting injury (combat knives);

(c) bayonets with blade lengths in excess of 10 cm.

Commencement Information

I53 Sch. 2 para. 13 not in force at made date, see reg. 1(2)

I54 Sch. 2 para. 13 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

Production equipment U.K.

14.  Any equipment which is specially designed or modified for the development or for one or more of the production phases of any item mentioned in this Schedule.

Commencement Information

I55 Sch. 2 para. 14 not in force at made date, see reg. 1(2)

I56 Sch. 2 para. 14 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

Software and technology U.K.

15.  Any software which is specially designed for the simulators mentioned in paragraph 2.

Commencement Information

I57 Sch. 2 para. 15 not in force at made date, see reg. 1(2)

I58 Sch. 2 para. 15 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

16.  Any technology which is specially designed [F2 for the development, production or use of] any item mentioned in this Schedule. U.K.

Textual Amendments

F2 Words in Sch. 2 para. 16 substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 7(4)(b); S.I. 2020/1514, reg. 4

Commencement Information

I59 Sch. 2 para. 16 not in force at made date, see reg. 1(2)

I60 Sch. 2 para. 16 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

Interpretation U.K.

[F3 17.— (1) In this Schedule, “firearm” means any portable barrelled weapon that expels, is designed to expel or may be converted to expel, a shot, bullet or projectile by the action of a combustible propellant.

(2) For the purposes of this Schedule, the following terms have the meaning given to them in the Dual-Use Regulation—

• “development”;

• “production”;

• “software”;

• “technology”;

• “use”.]

Textual Amendments

F3 Sch. 2 para. 17 substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 7(4)(c); S.I. 2020/1514, reg. 4

Commencement Information

I61 Sch. 2 para. 17 not in force at made date, see reg. 1(2)

I62 Sch. 2 para. 17 in force at 22.3.2019 by S.I. 2019/627, reg. 13(1)(k)

Regulation 33(2)

SCHEDULE 3 U.K. Treasury licences: purposes

Interpretation U.K.

1.  In this Schedule—

“consular post” has the same meaning as in the Vienna Convention on Consular Relations done at Vienna on 24 April 1963 M3 , and any reference to the functions of a consular post is to be read in accordance with that Convention;

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

“diplomatic mission” is to be read in accordance with the Vienna Convention on Diplomatic Relations done at Vienna on 18 April 1961 M4 , and any reference to the functions of a diplomatic mission is to be read in accordance with that Convention;

“frozen funds or economic resources” means funds or economic resources frozen by virtue of regulation 11, 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 purpose of that regulation.

Commencement Information

I63 Sch. 3 para. 1 not in force at made date, see reg. 1(2)

I64 Sch. 3 para. 1 in force at 31.12.2020 by S.I. 2019/627, reg. 13(2); 2020 c. 1, Sch. 5 para. 1(1)

Marginal Citations

M3 United Nations Treaty Series, vol. 596, p. 261.

M4 United Nations Treaty Series, vol. 500, p. 95.

Basic needs U.K.

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

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

(a) medical needs;

(b) needs for—

(i) food;

(ii) [F4 payment] of insurance premiums;

(iii) [F5 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.

Textual Amendments

F4 Word in Sch. 3 para. 2(2)(b)(ii) substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 7(5); S.I. 2020/1514, reg. 4

F5 Word in Sch. 3 para. 2(2)(b)(iii) substituted (31.12.2020 immediately after IP completion day) by The Sanctions (EU Exit) (Miscellaneous Amendments) (No. 2) Regulations 2020 (S.I. 2020/590), regs. 1(2), 7(5); S.I. 2020/1514, reg. 4

Commencement Information

I65 Sch. 3 para. 2 not in force at made date, see reg. 1(2)

I66 Sch. 3 para. 2 in force at 31.12.2020 by S.I. 2019/627, reg. 13(2); 2020 c. 1, Sch. 5 para. 1(1)

Legal services U.K.

3.  To enable the payment of—

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

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

Commencement Information

I67 Sch. 3 para. 3 not in force at made date, see reg. 1(2)

I68 Sch. 3 para. 3 in force at 31.12.2020 by S.I. 2019/627, reg. 13(2); 2020 c. 1, Sch. 5 para. 1(1)

Maintenance of frozen funds and economic resources U.K.

4.  To enable the payment of—

(a) reasonable fees, or

(b) reasonable service charges,

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

Commencement Information

I69 Sch. 3 para. 4 not in force at made date, see reg. 1(2)

I70 Sch. 3 para. 4 in force at 31.12.2020 by S.I. 2019/627, reg. 13(2); 2020 c. 1, Sch. 5 para. 1(1)

Extraordinary expenses U.K.

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

Commencement Information

I71 Sch. 3 para. 5 not in force at made date, see reg. 1(2)

I72 Sch. 3 para. 5 in force at 31.12.2020 by S.I. 2019/627, reg. 13(2); 2020 c. 1, Sch. 5 para. 1(1)

Pre-existing judicial decisions etc U.K.

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

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

(b) the decision or lien—

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

(ii) is enforceable in the United Kingdom, and

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

Commencement Information

I73 Sch. 3 para. 6 not in force at made date, see reg. 1(2)

I74 Sch. 3 para. 6 in force at 31.12.2020 by S.I. 2019/627, reg. 13(2); 2020 c. 1, Sch. 5 para. 1(1)

Diplomatic missions U.K.

7.  To enable anything to be done in order that the functions of a diplomatic mission or consular post in Zimbabwe or of an international organisation enjoying immunities in accordance with international law may be carried out.

Commencement Information

I75 Sch. 3 para. 7 not in force at made date, see reg. 1(2)

I76 Sch. 3 para. 7 in force at 31.12.2020 by S.I. 2019/627, reg. 13(2); 2020 c. 1, Sch. 5 para. 1(1)

Extraordinary situation U.K.

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

Commencement Information

I77 Sch. 3 para. 8 not in force at made date, see reg. 1(2)

I78 Sch. 3 para. 8 in force at 31.12.2020 by S.I. 2019/627, reg. 13(2); 2020 c. 1, Sch. 5 para. 1(1)

Prior obligations U.K.

9.  To enable, by the use of a designated person's frozen funds or economic resources, the satisfaction of an obligation of that person (whether arising under a contract, other agreement or otherwise), provided that—

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

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

Commencement Information

I79 Sch. 3 para. 9 not in force at made date, see reg. 1(2)

I80 Sch. 3 para. 9 in force at 31.12.2020 by S.I. 2019/627, reg. 13(2); 2020 c. 1, Sch. 5 para. 1(1)