uksi/2019/792 — The Syria (Sanctions) (EU Exit) Regulations 2019

2019 No. 792 Exiting The European Union Sanctions The Syria (Sanctions) (EU Exit) Regulations 2019 Made 3rd April 2019 Laid before Parliament 5th April 2019 Coming into force in accordance with regulation 1(2) and (3) The Secretary of State in exercise of the powers conferred by sections 1(1)(c) and (3)(b), 3(1)(a), (b)(iii), (c)(iii), (d), (e)(iii), (g)(iii) and (2)(c), 4, 5, 6(1)(a), (2) and (7), 9(2)(a), 10(2)(a) and (c), (3) and (4), 11(2) to (9), 15(2)(a) and (b), (3), (4)(b), (5) and (6), 16, 17(2) to (9), 19, 20, 21(1), 54(1) and (2) and 62(4) to (6) of, and paragraphs 2(a)(iii) and (b), 3(a), (b) and (c)(iii), 4(a)(iii), (b), (c) and (d), 5(a)(ii), (b) to (d), 6(a)(ii) and (iii) and (b), 7(b), 11(a)(ii) and (iii), 13(a), (b), (c), (d), (g), (h), (i), (k), (l), (m), (n), (p), (q) and (w), 14(a), (e), (f) and (k), 17 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) of that Act, that it is appropriate to do so, makes the following Regulations: PART 1 General Citation and commencement 1 1 These Regulations may be cited as the Syria (Sanctions) (EU Exit) Regulations 2019. 2 The following provisions come into force on the day after the day on which the Regulations are laid before Parliament— a this regulation; b regulation 2 (interpretation); c regulation 4 (purposes); d regulation 5 (power to designate persons) e regulation 6 (designation criteria); f regulation 7 (interpretation of regulation 6); g regulation 8 (notification and publicity where designation power used); h Schedule 1 (rules for interpretation of regulation 7(2)). 3 All other provisions come into force on exit day . Interpretation 2 In these Regulations— “ the Act ” means the Sanctions and Anti-Money Laundering Act 2018; ... “ arrangement ” includes any agreement, understanding, scheme, transaction or series of transactions, whether or not legally enforceable (but see paragraph 12 of Schedule 1 for the meaning of that term in that Schedule); “ the Assad regime ” means the regime in Syria from 9th May 2011 to 8th December 2024 led by Bashar Al-Assad and includes its public bodies, corporations or agencies, or any person who acted on its behalf or at its direction; “ brokering service ” means any service to secure, or otherwise in relation to, an arrangement, including but not limited to— the selection or introduction of persons as parties or potential parties to the arrangement, the negotiation of the arrangement, the facilitation of anything that enables the arrangement to be entered into, and the provision of any assistance that in any way promotes or facilitates the arrangement; “ CEMA ” means the Customs and Excise Management Act 1979 ; “ chemical weapons ” has the same meaning as it has in article 2 of the Chemical Weapons Convention; “ the Chemical Weapons Convention ” means the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on their Destruction signed at Paris on 13th January 1993 ; “ the Commissioners ” means the Commissioners for Her Majesty's Revenue and Customs; “ conduct ” includes acts and omissions; “ consular post ” has the same meaning as it has 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 ; “ director disqualification licence ” means a licence under regulation 61A; “ 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 Syria Regulation ” means Council Regulation (EU) No 36/2012 of 18 January 2012, concerning restrictive measures in view of the situation in Syria and repealing Regulation (EU) No 442/2011 , as it has effect in EU law immediately before IP completion day ; “ humanitarian assistance activity ” includes the work of international and non-governmental organisations carrying out relief activities in Syria for the benefit of the civilian population there; ... “ trade licence ” means a licence under regulation 62; “ Treasury licence ” means a licence under regulation 61(1); “ United Kingdom person ” has the same meaning as in section 21 of the Act. Application of prohibitions and requirements outside the United Kingdom 3 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 by— a regulation 9(2) (confidential information), b Part 3 (Finance), c Part 5 (Trade), d . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . e a condition of a Treasury licence or a trade 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 by Chapter 2 of Part 3 (Investment, financial services and financial markets), b by or under regulation 57(5) (notification requirements in respect of exceptions relating to petroleum products) or Part 8 (Information and records), or by reason of a request made under a power conferred by Part 8, or c by a condition of a Treasury licence or a trade 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. Purposes 4 The purposes of the regulations contained in this instrument that are made under section 1 of the Act are— a to promote the peace, stability and security of Syria; b to promote respect for democracy, the rule of law and good governance in Syria, including in particular promoting the successful completion of Syria’s transition to a democratic country; c to discourage actions, policies or activities which repress the civilian population in Syria; d to promote compliance with international human rights law and respect for human rights in Syria, including in particular, respect for— i the right to life of persons in Syria; ii the right of persons in Syria not to be held in slavery or required to perform forced or compulsory labour; iii the right of persons not to be subjected to torture or cruel, inhuman or degrading treatment or punishment in Syria; iv the right to liberty and security of persons in Syria, including freedom from arbitrary arrest, detention or enforced disappearance; v the right to a fair trial of persons charged with criminal offences in Syria; vi the rights of journalists, human rights defenders, civil society activists, religious leaders, politicians and all other persons in Syria to freedom of expression, peaceful assembly and association with others; vii the enjoyment of rights and freedoms in Syria without discrimination, including on the basis of a person’s sex, race, colour, language, religion, political or other opinion, national or social origin, association with a national minority, property, birth or other status; e to provide accountability for gross violations of human rights carried out by or on behalf of the Assad regime. PART 2 Designation of persons Power to designate persons 5 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 11 to 15 (asset-freeze etc); aa regulation 23A (director disqualification sanctions); b regulation 24 (immigration). 2 The Secretary of State may designate different persons for the purposes of different provisions mentioned in paragraph (1). Conditions for the designation of persons by name 5A 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”). Designation criteria: meaning of “involved person” 6 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 For the purposes of regulation 5A (conditions for the designation of persons by name) an “ involved person ” means a person who— a is or has been involved in— i repressing the civilian population in Syria; ii activities carried out on behalf of the Assad regime, implementing or connected to the repressive policies of that regime; iii supporting or benefitting from the Assad regime; iv the commission of, or the obstruction of an independent investigation into, a serious human rights violation or abuse in Syria; v the commission of a violation of international humanitarian law in Syria; vi undermining democracy, the rule of law and good governance in Syria; vii the obstruction of humanitarian assistance activity in Syria; viii any other action, policy or activity which threatens the peace, stability or security of Syria, 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 one or more of the activities mentioned in paragraph (2)(a) includes being so involved in whatever way and wherever any actions constituting the involvement take place, and in particular includes— a a prominent person operating or controlling a business in Syria during the period of the Assad regime ; b working for, or being affiliated to, the Assad regime as— i a Minister, ii a member of the Syrian Armed Forces of the rank of colonel or the equivalent or higher, iii a member of the Syrian security and intelligence services, or iv a member of a militia; c carrying on prohibited activities related to chemical weapons in Syria; d being responsible for, engaging in or promoting an activity set out in paragraphs 2(a)(i), (ii) or (iv) to (vii) ; e providing financial services , or making available funds or economic resources , that could contribute to an activity set out in paragraph (2)(a); f being involved in the supply to Syria of restricted goods or restricted technology, or in providing financial services relating to such supply; g being involved in the supply to Syria of goods or technology which could contribute to an activity set out in paragraph (2)(a), or in providing financial services relating to such supply; h assisting the contravention or circumvention of any relevant provision. 4 In this regulation “ relevant provision ” means— a any provision of Part 3, 5 or 6; 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, 5 or 6. 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. 6 In this regulation, “restricted goods” and “restricted technology” mean any goods or any technology subject to a prohibition under Part 5 (Trade). Interpretation of regulation 6 7 1 For the purposes of regulation 6, 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. 5 For the purposes of regulation 6(2)(d), the reference to a person who is “associated” with another person includes, in particular, a person who is a family member of Bashar al-Assad or Rami Makhlouf. 6 The following definitions apply for the purposes of this regulation and regulation 6— “ family member ” has the same meaning as it has in paragraph 2(4) in Part 2 of Schedule 6 (Treasury licences: purposes); “ militia ” means a foreign, national or local armed group that is not part of the Syrian Armed Forces or the Syrian security and intelligence services; “ prohibited activities related to chemical weapons ” means— developing, producing, acquiring, stockpiling or retaining chemical weapons, transferring, directly or indirectly, chemical weapons to any person, using chemical weapons, engaging in any military preparations to use chemical weapons, and providing assistance to, encouraging or inducing any person to engage in any activity falling within sub-paragraphs (a) to (d). Notification and publicity where designation power used 8 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. Confidential information in certain cases where designation power used 9 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. PART 3 Finance CHAPTER 1 Asset-freeze etc Meaning of “designated person” in Chapter 1 of Part 3 10 In this Chapter, a “ designated person ” means a person who is designated under regulation 5 for the purposes of regulations 11 to 15. Asset-freeze in relation to designated persons 11 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 7 (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. Making funds available to designated persons 12 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 7 (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. Making funds available for benefit of designated persons 13 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 7 (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. Making economic resources available to designated persons 14 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 7 (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. Making economic resources available for benefit of designated persons 15 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 7 (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 UK credit or financial institutions: accounts and correspondent banking relationships etc 16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Opening of, or taking up of business by, a representative office, branch or subsidiary of Syrian credit or financial institution 17 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Acquisition or extension of ownership interest by Syrian credit or financial institution 18 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sale or purchase of bonds 19 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, Assad regime bonds or bonds guaranteed by the Assad regime and issued between 19th January 2012 and 8th December 2024 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 Assad regime bonds or bonds guaranteed by the Assad regime and issued between 19th January 2012 and 8th December 2024 , 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 sell or purchase Assad regime bonds or bonds guaranteed by the Assad regime . 4 The following persons fall within this paragraph— a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b a Syrian credit or financial institution c a person acting on behalf of or at the direction of a person falling within sub-paragraph ... (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 ... (b) or (c). 5 Paragraphs (1) to (3) are subject to regulation 60 (exception for acts done for purposes of national security or prevention of serious crime). 6 A person who contravenes a prohibition in paragraph (1) to (3) commits an offence. 7 For the purposes of this regulation, “Assad regime bonds” means bonds issued by the Assad regime . 8 For the purposes of this regulation, “ Syrian credit or financial institution ” means— a a credit or financial institution domiciled in Syria; or b a branch or subsidiary, wherever located, of a credit or financial institution domiciled in Syria. Insurance and reinsurance services 20 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Investments in relation to crude oil and electricity production 21 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CHAPTER 3 Interpretation and further provision Circumventing etc prohibitions 22 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 11 to 15 or 19 , or b to enable or facilitate the contravention of any such prohibition. 2 A person who contravenes a prohibition in paragraph (1) commits an offence. Interpretation of Part 3 23 1 In this Part— “ branch ” means— ... in relation to a credit or financial institution domiciled in Syria, 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 Syria ” means a person, other than an individual, who— in the case of an undertaking domiciled in Syria, by way of business— operates a currency exchange office, transmits money (or any representation of monetary value) by any means, or cashes cheques that are made payable to customers, and in the case of any other person domiciled in Syria, 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; “ subsidiary ” has the meaning given by section 1159 of the Companies Act 2006 ; ... 2 In paragraph (1), the definitions of— a “credit or financial institution domiciled in Syria”, ... 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 . PART 3A Director disqualification sanctions Director disqualification sanctions 23A 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 Immigration 24 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 Interpretation Definitions relating to goods and technology prohibited under Part 5 25 1 For the purposes of this Part— “ arms and related materiel ” means— military goods, and any thing which is, or would be, classified under chapter 93 of the Goods Classification Table, other than military goods; ... ... ... ... “ the Goods Classification Table ” has the same meaning as it has in paragraph 1(3) in Part 1 of Schedule 2; “ goods relating to chemical and biological weapons ” means— any thing specified in Schedule 3, other than technology relating to chemical and biological weapons (but see paragraph (3)), and any tangible storage medium on which technology relating to chemical and biological weapons is recorded or from which it can be derived; ... ... “ interception and monitoring goods ” means any item mentioned in sub-paragraph (a) or (b), provided that it may be used for interception and monitoring services— a relevant Schedule 4 item; any tangible storage medium on which interception and monitoring technology is recorded or from which it can be derived; “ interception and monitoring technology ” means any thing— which is described as software in paragraph 2 of Schedule 4 provided that it may be used for interception and monitoring services, and which is described as software or other technology in paragraph 3 of Schedule 4, (but see paragraph (5)); “ internal repression goods ” means— any thing specified in Schedule 5, other than— any thing which is internal repression technology, any thing for the time being specified in Schedule 2 to the Export Control Order 2008 , or any thing for the time being specified in Annex Ⅰ of the Dual-Use Regulation, and any tangible storage medium on which internal repression technology is recorded or from which it can be derived; “ internal repression technology ” means any thing which is described in Schedule 5 as software or technology; ... “ military goods ” means— 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 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; “ technology relating to chemical and biological weapons ” means any thing specified as technology or software in Schedule 3, other than technology which is— the minimum necessary for— the installation, operation, maintenance and repair of any goods which are not subject to a prohibition under this Part, or patent applications, in the public domain, or basic scientific research; ... 2 For the purpose of the definition of “arms and related materiel” in paragraph (1), paragraph 1(2) in Part 1 of Schedule 2 (the rules of interpretation for the purpose of determining whether or not a thing is “classified”) applies. 3 The definition of “goods relating to chemical and biological weapons” does not apply to anything specified in Part 3 of Schedule 3, other than Isopropanol (as specified in paragraph 6(p) of that Part), which are consumer goods packaged for— a retail sale for an individual's personal use, or b individual use. 4 For the purpose of the definition of “interception and monitoring goods” in paragraph (1) “ a relevant Schedule 4 item ” means any thing described in Schedule 4, other than— a any thing which is interception and monitoring technology, or b any thing for the time being specified in— i Schedule 2 to the Export Control Order 2008, or ii Annex Ⅰ of the Dual-Use Regulation. 5 The definition of “interception and monitoring technology” does not apply to software which is— a generally available to the public, or b in the public domain. Definition of “interception and monitoring services” 26 1 For the purposes of this Part, “ interception and monitoring services ” means any service that has as its object or effect the interception of a communication in the course of its transmission by means of a telecommunication system. 2 A person intercepts a communication in the course of its transmission by means of a telecommunication system if, and only if— a the person does a relevant act in relation to the system, and b the effect of the relevant act is to make any content of the communication available, at a relevant time, to a person who is not the sender or intended recipient of the communication. 3 In paragraph (2) a “ relevant act ”, in relation to a telecommunication system, means— a modifying, or interfering with, the system or its operation; b monitoring transmissions made by means of the system; c monitoring transmissions made by wireless telegraphy to or from apparatus that is part of the system. 4 In paragraph (2), a “ relevant time ”, in relation to a communication transmitted by means of a telecommunication system, means— a any time while the communication is being transmitted, and b any time when the communication is stored in or by the system (whether before or after its transmission). 5 For the purpose of paragraph (2), the cases in which any content of a communication is to be taken to be made available to a person at a relevant time include any case in which any of the communication is diverted or recorded at a relevant time so as to make the content of the communication available to a person after that time. 6 In paragraph (3), references to modifying a telecommunication system include references to attaching any apparatus to, or otherwise modifying or interfering with— a any part of the system, or b any wireless telegraphy apparatus used for making transmissions to or from apparatus that is part of the system. 7 For the purposes of this regulation, the following definitions also apply— “ apparatus ” includes any equipment, machinery or device (whether physical or logical) and any wire or cable; “communication”, for the purpose of a telecommunication system, includes— anything comprising speech, music, sounds, visual images or data of any description, and signals serving for the impartation of anything between persons, between a person and a thing or between things, for the actuation or control of any apparatus; “ content ”, in relation to a communication and a telecommunication system, means any element of the communication, or any data attached to or logically associated with the communication, which reveals anything of what might reasonably be considered to be the meaning (if any) of the communication, but— any meaning arising from the fact of the communication or from any data relating to the transmission of the communication is to be disregarded, and anything which is systems data is not content; “ systems data ” means any data that enables or facilitates, or identifies or describes anything connected with enabling or facilitating, the functioning of a telecommunication system (including any apparatus forming part of the system); “ a telecommunication system ” means a system (including the apparatus comprised in it) that exists for the purpose of facilitating the transmission of communications by any means involving the use of electrical or electromagnetic energy; “ wireless telegraphy ” and “ wireless telegraphy apparatus ” have the same meaning as in sections 116 and 117 of the Wireless Telegraphy Act 2006 . Interpretation of other expressions used in Part 5 27 1 Paragraphs 32 to 36 of Schedule 1 to the Act (trade sanctions) apply for the purpose of interpreting expressions in this Part. 2 In this Part, any reference to the United Kingdom includes a reference to the territorial sea. 3 In this Part— a the following definitions apply— “ the Government of Syria ” includes its public bodies, corporations or agencies, its armed forces or any person acting on its behalf or at its direction; “ technical assistance ”, in relation to goods or technology, means— technical support relating to the repair, development, production, assembly, testing, use or maintenance of the goods or technology, or any other technical service relating to the goods or technology; “ transfer ” has the meaning given by paragraph 37 of Schedule 1 to the Act; the following terms have the meaning given to them in the Dual-Use Regulation— “basic scientific research”; “in the public domain”. 4 For the purpose of regulation 25(5), software is “generally available to the public” if the software is sold from stock at retail selling points without restriction, by means of— a over the counter transactions, b mail order transactions, c electronic transactions, or d telephone order transactions. 5 For the purposes of this Part , a person is to be regarded as “connected with” Syria if the person is— a an individual who is, or an association or combination of individuals who are, ordinarily resident in Syria, b an individual who is, or an association or combination of individuals who are, located in Syria, c a person, other than an individual, which is incorporated or constituted under the law of Syria, or d a person, other than an individual, which is domiciled in Syria. 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CHAPTER 2 Trade prohibitions relating to export, supply, sale and transfer Application of prohibitions in Chapter 2 of Part 5 28 1 Except where otherwise provided, the prohibitions contained in this Chapter apply to the goods falling within paragraph (2) and the technology falling within paragraph (3). 2 The following goods fall within this paragraph— a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b goods relating to chemical and biological weapons; c . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . d interception and monitoring goods; e internal repression goods. 3 The following technology falls within this paragraph— a interception and monitoring technology; b internal repression technology; c technology relating to chemical and biological weapons; d . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Export prohibition 29 1 The export of goods to which this paragraph applies to, or for use in, Syria is prohibited. 2 Paragraph (1) is subject to Part 7 (Exceptions and licences). Supply and delivery prohibition 30 1 A person must not directly or indirectly supply or deliver goods to which this paragraph applies from a third country to a place in Syria. 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 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 Syria. 4 In this regulation “ third country ” means a country that is not the United Kingdom, the Isle of Man or Syria. Prohibition in connection with making goods and technology available 31 1 A person must not— a directly or indirectly make goods or technology to which this paragraph applies available to a person connected with Syria, or b directly or indirectly make goods or technology to which this paragraph applies available for use in Syria. 2 Paragraph (1) is subject to Part 7 (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 Syria; 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 Syria. Transfer of technology prohibition 32 1 A person must not— a transfer technology to which this paragraph applies to a place in Syria, or b transfer technology to which this paragraph applies to a person connected with Syria. 2 Paragraph (1) is subject to Part 7 (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 Syria; 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 Syria. Prohibition relating to the associated provision of technical assistance 33 1 A person must not directly or indirectly provide technical assistance relating to goods or technology to which this paragraph applies— a to a person connected with Syria, or b for use in Syria. 2 Paragraph (1) is subject to Part 7 (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 Syria; 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 Syria. 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Prohibitions relating to the associated provision of financial services and funds 34 1 A person must not directly or indirectly provide, to a person connected with Syria, financial services in pursuance of or in connection with an arrangement whose object or effect is— a the export of goods to which this paragraph applies, b the direct or indirect supply or delivery of goods to which this paragraph applies, c directly or indirectly making goods or technology to which this paragraph applies available to a person, d the transfer of technology to which this paragraph applies, or e the direct or indirect provision of technical assistance relating to goods or technology to which this paragraph applies. 2 A person must not directly or indirectly make funds available to a person connected with Syria 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 goods to which this paragraph applies to, or for use in, Syria, b the direct or indirect supply or delivery of goods to which this paragraph applies to a place in Syria, c directly or indirectly making goods or technology to which this paragraph applies available— i to a person connected with Syria, or ii for use in Syria, d the transfer of technology to which this paragraph applies — i to a person connected with Syria, or ii to a place in Syria, or e the direct or indirect provision of technical assistance relating to goods or technology to which this paragraph applies — i to a person connected with Syria, or ii for use in Syria. 4 Paragraphs (1) to (3) are subject to Part 7 (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 Syria; 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. 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Prohibitions relating to the associated provision of brokering services: non-UK activity 35 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 goods to which this paragraph applies from a third country to a place in Syria, b directly or indirectly making goods to which this paragraph applies available in a third country for direct or indirect supply or delivery— i to a person connected with Syria, or ii to a place in Syria, c directly or indirectly making technology to which this paragraph applies available in a third country for transfer— i to a person connected with Syria, or ii to a place in Syria, d the transfer of technology to which this paragraph applies from a place in a third country— i to a person connected with Syria, or ii to a place in Syria, e the direct or indirect provision, in a non-UK country, of technical assistance relating to goods or technology to which this paragraph applies — i to a person connected with Syria, or ii for use in Syria, f the direct or indirect provision, in a non-UK country, of financial services— i to a person connected with Syria, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 34(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 34(3), g directly or indirectly making funds available, in a non-UK country, to a person connected with Syria, where arrangement A, or any other arrangement in connection with which arrangement A is entered into, is an arrangement mentioned in regulation 34(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 34(3). 2 Paragraph (1) is subject to Part 7 (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; “ third country ” means— for the purposes of paragraph (1)(a) and (b), a country that is not the United Kingdom, the Isle of Man or Syria, and for the purposes of any other provision of paragraph (1), a country that is not the United Kingdom or Syria. 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CHAPTER 3 Trade prohibitions relating to import, purchase and transportation Import of arms and related materiel ... 36 1 The import of the following goods which are consigned from Syria is prohibited— a arms and related materiel; b . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The import of the goods mentioned in paragraph (1) which originate in Syria is prohibited. 3 Paragraphs (1) and (2) are subject to Part 7 (Exceptions and licences). Acquisition of military goods and technology ... 37 1 A person must not— a directly or indirectly acquire goods or technology to which this paragraph applies which originate in Syria; b directly or indirectly acquire goods or technology to which this paragraph applies which are located in Syria ; c directly or indirectly acquire goods or technology to which this paragraph applies from a person connected with Syria. 2 Paragraph (1) applies to— a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b military goods, and c military technology. 3 Paragraph (1) is subject to Part 7 (Exceptions and licences). 4 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 goods or technology originated in Syria; 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 located in Syria ; c it is a defence for a person charged with the offence of contravening paragraph (1)(c) (“P”) to show that P did not know and had no reasonable cause to suspect that the person was connected with Syria. Transport of military goods ... 38 1 A person must not directly or indirectly supply or deliver goods to which this paragraph applies from a place in Syria to a third country where those goods— a originate in Syria, or b are consigned from Syria. 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Paragraph (1) applies to— a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b military goods. 4 Paragraph (1) is subject to Part 7 (Exceptions and licences). 5 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 goods originated in Syria; a 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 were consigned from Syria. 6 In this regulation— ... “third country” means a country that is not the United Kingdom, the Isle of Man or Syria Transfer of military technology 39 1 A person must not transfer military technology to persons outside the United Kingdom or to a place outside the United Kingdom, where the transfer is from a place in Syria. 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 to show that the person did not know and had no reasonable cause to suspect that the transfer was from a place in Syria. Prohibitions relating to the associated provision of financial services and funds 40 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 to which regulation 36 applies which— i originate in Syria, or ii are consigned from Syria; b the direct or indirect acquisition of goods or technology to which regulation 37(1) applies— i originating in Syria, or ii located in Syria; c the direct or indirect supply or delivery of goods to which regulation 38(1) applies from a place in Syria to a third country, where those goods— i originate in Syria, or ii are consigned from Syria; d . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . e the transfer of military technology to persons outside the United Kingdom or to a place outside the United Kingdom where the transfer is from a place in Syria. 2 Paragraph (1) is subject to Part 7 (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 a prohibition in paragraph (1) 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. CHAPTER 4 Trade prohibitions relating to particular categories of goods Bank notes or coinage 41 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Goods prohibitions relating to gold, precious metals or diamonds 42 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Technical assistance relating to gold, precious metals or diamonds 43 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Financial services and funds relating to gold, precious metals or diamonds 44 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Brokering services: non-UK activity relating to gold, precious metals or diamonds 45 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Luxury goods 46 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Electricity production 47 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CHAPTER 5 Interception and monitoring services Provision of interception and monitoring services 48 1 A person must not directly or indirectly provide interception and monitoring services to, or for the benefit of, the Government of Syria . 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 that offence (“P”) to show that P did not know and had no reasonable cause to suspect that the services were provided to, or for the benefit of, the Government of Syria . CHAPTER 6 Further provision Circumventing etc prohibitions 49 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 2 to 5 of this Part, or b to enable or facilitate the contravention of any such prohibition. 2 A person who contravenes a prohibition in paragraph (1) commits an offence. Trade: end-use control 49A 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 Syria, or to a person connected with Syria, and b the goods or technology in question are subject to this Part 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 7 (Exception