| Guvnor

Enforced by: ECJU
Status: In Force
Penalty ceiling: Regulated

Does it bind you?

Business-side roles with duties under this instrument.

Financial Services Firm1

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Financial Services Firm — also bound by 167 other Acts

Commission Delegated Regulation (EU) No 231/2013 of 19 December 2012 supplementing Directive 2011/61/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositaries, leverage, transparency and supervision (Text with EEA relevance) 63 duties

Friendly Societies Act 1992 52 duties

Commission Delegated Regulation (EU) No 153/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on requirements for central counterparties (Text with EEA relevance) 52 duties

The Financial Services and Markets Act 2000 (Recognition Requirements for Investment Exchanges , Clearing Houses and Central Securities Depositories ) Regulations 2001 50 duties

The Credit Unions (Northern Ireland) Order 1985 43 duties

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

Part 1

General

0 of 4 sections shown

4 other sections in this Part — procedural and definitional

s.001 Citation and commencement

s.002 Interpretation

s.003 Application of prohibitions and requirements outside the United Kingdom

s.004 Purposes

Part 2

Designation of persons

0 of 6 sections shown

6 other sections in this Part — procedural and definitional

s.005 Power to designate persons

s.005 Conditions for the designation of persons by name

s.006 Designation criteria: meaning of “involved person”

s.007 Interpretation of regulation 6

s.008 Notification and publicity where designation power used

s.009 Confidential information in certain cases where designation power used

Part 3

Finance

0 of 14 sections shown

14 other sections in this Part — procedural and definitional

s.010 Meaning of “designated person” in Chapter 1 of Part 3

s.011 Asset-freeze in relation to designated persons

s.012 Making funds available to designated persons

s.013 Making funds available for benefit of designated persons

s.014 Making economic resources available to designated persons

s.015 Making economic resources available for benefit of designated persons

s.016 UK credit or financial institutions: accounts and correspondent banking relationships etc

s.017 Opening of, or taking up of business by, a representative office, branch or subsidiary of Syrian credit or financial institution

s.018 Acquisition or extension of ownership interest by Syrian credit or financial institution

s.019 Sale or purchase of bonds

s.020 Insurance and reinsurance services

s.021 Investments in relation to crude oil and electricity production

s.022 Circumventing etc prohibitions

s.023 Interpretation of Part 3

Part 3

Director disqualification sanctions

0 of 1 section shown

1 other section in this Part — procedural and definitional

s.023 Director disqualification sanctions

Part 4

Immigration

0 of 1 section shown

1 other section in this Part — procedural and definitional

s.024 Immigration

Part 5

Trade

0 of 27 sections shown

27 other sections in this Part — procedural and definitional

s.025 Definitions relating to goods and technology prohibited under Part 5

s.026 Definition of “interception and monitoring services”

s.027 Interpretation of other expressions used in Part 5

s.028 Application of prohibitions in Chapter 2 of Part 5

s.029 Export prohibition

s.030 Supply and delivery prohibition

s.031 Prohibition in connection with making goods and technology available

s.032 Transfer of technology prohibition

s.033 Prohibition relating to the associated provision of technical assistance

s.034 Prohibitions relating to the associated provision of financial services and funds

s.035 Prohibitions relating to the associated provision of brokering services: non-UK activity

s.036 Import of arms and related materiel ...

s.037 Acquisition of military goods and technology ...

s.038 Transport of military goods ...

s.039 Transfer of military technology

s.040 Prohibitions relating to the associated provision of financial services and funds

s.041 Bank notes or coinage

s.042 Goods prohibitions relating to gold, precious metals or diamonds

s.043 Technical assistance relating to gold, precious metals or diamonds

s.044 Financial services and funds relating to gold, precious metals or diamonds

s.045 Brokering services: non-UK activity relating to gold, precious metals or diamonds

s.046 Luxury goods

s.047 Electricity production

s.048 Provision of interception and monitoring services

s.049 Circumventing etc prohibitions

s.049 Trade: end-use control

s.050 Defences

Part 6

Aircraft

0 of 4 sections shown

4 other sections in this Part — procedural and definitional

s.051 Movement of aircraft

s.052 Directions under regulation 51: supplementary

s.053 Offences

s.054 Interpretation

Part 7

Exceptions and licences

0 of 18 sections shown

18 other sections in this Part — procedural and definitional

s.055 Asset-freeze etc: exceptions from prohibitions

s.055 Asset-freeze etc.: exception from prohibitions for required payments

s.056 Exceptions relating to insurance and reinsurance services

s.057 Exceptions relating to petroleum products

s.058 Trade: exceptions from further prohibitions

s.059 Aircraft: exceptions from prohibitions

s.059 Exception for authorised conduct in a relevant country

s.060 Exception for acts done for purposes of national security or prevention of serious crime

s.061 Treasury licences

s.061 Director disqualification licences

s.062 Trade licences

s.063 Aircraft licences

s.064 Licences: general provisions

s.065 Finance: licensing offences

s.065 Director disqualification: licensing offences

s.066 Trade: licensing offences

s.067 Aircraft: licensing offences

s.068 Section 8B(1) to (3) of Immigration Act 1971: directions

Part 8

Information and records

1 of 12 sections shown

s.069 Finance: reporting obligations Regulated

Report designated persons, suspicious activity, and annual holdings to the TreasuryFinancial Services Firm

11 other sections in this Part — procedural and definitional

s.069 Finance: reporting obligations for required payments

s.070 “Relevant firm”

s.071 Finance: powers to request information

s.072 Finance: production of documents

s.073 Finance: information offences

s.074 Trade: application of information powers in CEMA

s.075 General trade licences: records

s.076 General trade licences: inspection of records

s.077 Disclosure of information

s.077 Finance: disclosure to the Treasury

s.078 Part 8: supplementary

Part 9

Enforcement

0 of 9 sections shown

9 other sections in this Part — procedural and definitional

s.079 Penalties for offences

s.080 Liability of officers of bodies corporate etc

s.081 Jurisdiction to try offences

s.082 Procedure for offences by unincorporated bodies

s.083 Time limit for proceedings for summary offences

s.084 Trade enforcement: application of CEMA

s.085 Trade offences in CEMA: modification of penalty

s.086 Application of Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005

s.087 Monetary penalties

Part 10

Maritime enforcement

0 of 6 sections shown

6 other sections in this Part — procedural and definitional

s.088 Exercise of maritime enforcement powers

s.089 Maritime enforcement officers

s.090 Power to stop, board, search etc

s.091 Seizure power

s.092 Restrictions on exercise of maritime enforcement powers

s.093 Interpretation of Part 10

Part 11

Supplementary and final provision

0 of 10 sections shown

10 other sections in this Part — procedural and definitional

s.094 Directions under Part 6

s.095 Notices

s.096 Article 20 of the Export Control Order 2008

s.097 Trade: overlapping offences

s.098 Amendment to the Syria Council Regulation

s.099 Other amendments and revocations

s.100 Transitional provision: Treasury licences

s.101 Transitional provision: trade licences

s.102 Transitional provision: pending applications for trade licences

s.103 Transitional Provisions: prior obligations

Schedules

0 of 80 shown

80 other schedules

s.sch001 Application of Schedule

s.sch001 Shares held by nominees

s.sch001 Rights treated as held by person who controls their exercise

s.sch001 “Arrangement” includes— (a) any scheme, agreement or understanding, whether or...

s.sch001 Rights exercisable only in certain circumstances etc

s.sch001 Rights attached to shares held by way of security

s.sch001 Joint interests

s.sch001 Joint arrangements

s.sch001 Calculating shareholdings

s.sch001 Voting rights

s.sch001 In applying regulation 7(2) and this Schedule, the voting rights...

s.sch001 Rights to appoint or remove members of the board

s.sch001 A reference to a board of directors, in the case...

s.sch001 Shares or rights held “indirectly”

s.sch002 Definitions

s.sch002 Aviation fuel and aviation fuel additives

s.sch002 Crude oil and petroleum products

s.sch002 For the purposes of regulation 25(1), “ petroleum products ”...

s.sch002 Goods relating to electricity production

s.sch002 Gold, precious metals or diamonds

s.sch002 Luxury goods

s.sch003 Dual-use goods

s.sch003 Class ⅠⅠ biological safety cabinets or isolators with similar performance...

s.sch003 Batch centrifuges with a rotor capacity of 4 litres or...

s.sch003 (1) Fermenters capable of cultivation of pathogenic micro-organisms or viruses...

s.sch003 (1) Conventional or turbulent air-flow clean-air rooms and self-contained fan-HEPA...

s.sch003 (1) Any of the following chemical manufacturing facilities, equipment and...

s.sch003 (1) Subject to sub-paragraph (2), laboratory equipment for the analysis...

s.sch003 Software and technology

s.sch003 Principal element

s.sch003 Definition of Dual-Use Codes

s.sch003 Interpretation

s.sch003 Software

s.sch003 Technology

s.sch003 Chemicals

s.sch003 Software and technology

s.sch003 Chemicals

s.sch003 Any of the following chemicals at 90% concentration or greater—...

s.sch003 Materials

s.sch003 Full face-mask air-purifying and air-supplying respirators, other than any thing...

s.sch004 Interception and monitoring equipment

s.sch004 Any software which can perform any of the functions described...

s.sch004 Other software and other technology

s.sch004 Interpretation

s.sch004 Acronyms and abbreviations used in this Schedule

s.sch005 Firearms and related goods

s.sch005 Thermal imaging equipment.

s.sch005 Image intensifier tubes.

s.sch005 Razor barbed wire.

s.sch005 The following types of knives— (a) knives that are designed...

s.sch005 Production equipment

s.sch005 Software and technology

s.sch005 Any technology which is specially designed for the development, production...

s.sch005 Interpretation

s.sch005 Simulators for training persons to use firearms.

s.sch005 Bombs and grenades.

s.sch005 Vehicles

s.sch005 Explosive substances and related goods

s.sch005 Linear cutting explosive charges.

s.sch005 The following explosives and related substances— (a) amatol;

s.sch005 Other goods

s.sch005 Night vision equipment.

s.sch006 Interpretation

s.sch006 Education, professional training or academic research

s.sch006 Essential energy needs

s.sch006 Evacuations

s.sch006 Chemical Weapons Convention

s.sch006 Extraordinary situation

s.sch006 Prior obligations

s.sch006 Central and Commercial Banks of Syria

s.sch006 Insolvency

s.sch006 Assisting the civilian population in Syria

s.sch006 Basic needs

s.sch006 Legal services

s.sch006 Maintenance of frozen funds and economic resources

s.sch006 Extraordinary expenses

s.sch006 Judicial decisions etc.

s.sch006 Humanitarian assistance activities etc

s.sch006 Diplomatic missions etc

s.sch006 Human safety or environmental protection

Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.