PART 10Enforcement
Penalties for offencesI866
1
A person who commits an offence under any provision of Part 3 (Finance), regulation 36 (port access or entry for UN designated ships), regulation 38(3) (financial transactions in relation to Libyan oil aboard UN designated ships), regulation 39(4) (circumvention of regulation 38), regulation 42 (movement of aircraft), or regulation 52 (finance: licensing offences) is liable—
a
on summary conviction in England and Wales, to imprisonment for a term not exceeding F2the general limit in a magistrates’ court or a fine (or both);
b
on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);
c
on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);
d
on conviction on indictment, to imprisonment for a term not exceeding 7 years or a fine (or both).
2
A person who commits an offence under any provision of Part 5 (Trade), regulation 35 (transporting etc. Libyan oil in relation to UN designated ships), regulation 37 (bunkering or ship supply services) or regulation 39(2) (circumvention of regulations 35 and 37) is liable—
a
on summary conviction in England and Wales, to imprisonment for a term not exceeding F3the general limit in a magistrates’ court or a fine (or both);
b
on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);
c
on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);
d
on conviction on indictment, to imprisonment for a term not exceeding 10 years or a fine (or both).
3
A person who commits an offence under regulation 9(6) (confidentiality), regulation 53 (trade: licensing offences), regulation 54 (port access or entry for UN designated ships: licensing offences), or regulation 62(6) or 63(5) (information offences in connection with general trade licences) is liable—
a
on summary conviction in England and Wales, to imprisonment for a term not exceeding F4the general limit in a magistrates’ court or a fine (or both);
b
on summary conviction in Scotland, to imprisonment for a term not exceeding 12 months or a fine not exceeding the statutory maximum (or both);
c
on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding the statutory maximum (or both);
d
on conviction on indictment, to imprisonment for a term not exceeding 2 years or a fine (or both).
4
A person who commits an offence under regulation 56(6) (finance: reporting obligations) or 60 (information offences in connection with Part 3) is liable—
a
on summary conviction in England and Wales, to imprisonment for a term not exceeding 6 months or a fine (or both);
b
on summary conviction in Scotland, to imprisonment for a term not exceeding 6 months or a fine not exceeding level 5 on the standard scale (or both);
c
on summary conviction in Northern Ireland, to imprisonment for a term not exceeding 6 months or a fine not exceeding level 5 on the standard scale (or both).
Liability of officers of bodies corporate etc.I167
1
Where an offence under these Regulations, committed by a body corporate—
a
is committed with the consent or connivance of any director, manager, secretary or other similar officer of the body corporate, or any person who was purporting to act in any such capacity, or
b
is attributable to any neglect on the part of any such person,
that person as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.
2
In paragraph (1) “director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body corporate.
3
Paragraph (1) also applies in relation to a body that is not a body corporate, with the substitution for the reference to a director of the body of a reference—
a
in the case of a partnership, to a partner;
b
in the case of an unincorporated body other than a partnership—
i
where the body's affairs are managed by its members, to a member of the body;
ii
in any other case, to a member of the governing body.
4
Section 171(4) of CEMA (which is a provision similar to this regulation) does not apply to any offence under these Regulations to which that provision would, in the absence of this paragraph, apply.
Jurisdiction to try offencesI968
1
Where an offence under Part 3 (Finance), Part 7 (Aircraft), or regulation 9(6) (confidentiality), regulation 36 (port access or entry for UN designated ships), regulation 38(3) (financial transactions relating in relation to Libyan oil aboard UN designated ships), 39(4) (circumvention of regulation 38), regulation 52 (finance: licensing offences), regulation 54 (port access or entry for UN designated ships: licensing offences), regulation 56(6) (finance: reporting obligations) or regulation 60 (information offences in connection with Part 3) is committed in the United Kingdom—
a
proceedings for the offence may be taken at any place in the United Kingdom, and
b
the offence may for all incidental purposes be treated as having been committed at any such place.
2
Where an offence under these Regulations is committed outside the United Kingdom—
a
proceedings for the offence may be taken at any place in the United Kingdom, and
b
the offence may for all incidental purposes be treated as having been committed at any such place.
3
In the application of paragraph (2) to Scotland, any such proceedings against a person may be taken—
a
in any sheriff court district in which the person is apprehended or is in custody, or
b
in such sheriff court district as the Lord Advocate may determine.
4
In paragraph (3) “sheriff court district” is to be read in accordance with the Criminal Procedure (Scotland) Act 1995 (see section 307(1) of that Act) M1.
Procedure for offences by unincorporated bodiesI469
1
Paragraphs (2) and (3) apply if it is alleged that an offence under these Regulations has been committed by an unincorporated body (as opposed to by a member of the body).
2
Proceedings in England and Wales or Northern Ireland for such an offence must be brought against the body in its own name.
3
For the purposes of proceedings for such an offence brought against an unincorporated body—
a
rules of court relating to the service of documents have effect as if the body were a body corporate;
b
the following provisions apply as they apply in relation to a body corporate—
i
4
A fine imposed on an unincorporated body on its conviction of an offence under these Regulations is to be paid out of the funds of the body.
Time limit for proceedings for summary offencesI570
1
Proceedings for an offence under these Regulations which is triable only summarily may be brought within the period of 12 months beginning with the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the prosecutor's knowledge.
2
But such proceedings may not be brought by virtue of paragraph (1) more than 3 years after the commission of the offence.
3
A certificate signed by the prosecutor as to the date on which the evidence in question came to the prosecutor's knowledge is conclusive evidence of the date on which it did so; and a certificate to that effect and purporting to be so signed is to be treated as being so signed unless the contrary is proved.
4
In relation to proceedings in Scotland—
a
section 136(3) of the Criminal Procedure (Scotland) Act 1995 (date of commencement of summary proceedings) applies for the purposes of this regulation as it applies for the purposes of that section, and
b
references in this regulation to the prosecutor are to be treated as references to the Lord Advocate.
Trade enforcement: application of CEMAI271
1
Where the Commissioners investigate or propose to investigate any matter with a view to determining—
a
whether there are grounds for believing that a relevant offence has been committed, or
b
whether a person should be prosecuted for such an offence,
the matter is to be treated as an assigned matter.
2
In paragraph (1) “assigned matter” has the meaning given by section 1(1) of CEMA M6.
3
In this regulation a “relevant offence” means an offence under—
a
Part 5 (Trade),
b
regulation 35 (transporting etc. Libyan oil in relation to UN designated ships),
c
regulation 37 (bunkering or ship supply services),
d
regulation 39(2) (circumventing etc. prohibitions),
e
regulation 53 (trade: licensing offences),
f
regulation 62(6) (general trade licences: records), or
g
regulation 63(5) (general trade licences: inspection of records).
4
Section 138 of CEMA M7 (arrest of persons) applies to a person who has committed, or whom there are reasonable grounds to suspect of having committed, a relevant offence as it applies to a person who has committed, or whom there are reasonable grounds to suspect of having committed, an offence for which the person is liable to be arrested under the customs and excise Acts M8, but as if—
a
any reference to an offence under, or for which a person is liable to be arrested under, the customs and excise Acts were to a relevant offence;
b
in subsection (2), the reference to any person so liable were to a person who has committed, or whom there are reasonable grounds to suspect of having committed, a relevant offence.
5
The provisions of CEMA mentioned in paragraph (6) apply in relation to proceedings for a relevant offence as they apply in relation to proceedings for an offence under the customs and excise Acts, but as if—
a
any reference to the customs and excise Acts were to any of the provisions mentioned in paragraph (3)(a) to (g);
b
in section 145(6), the reference to an offence for which a person is liable to be arrested under the customs and excise Acts were to a relevant offence;
c
in section 151, the reference to any penalty imposed under the customs and excise Acts were to any penalty imposed under these Regulations in relation to a relevant offence;
d
in section 154(2)—
i
the reference to proceedings relating to customs or excise were to proceedings under any of the provisions mentioned in paragraph (3)(a) to (g), and
ii
the reference to the place from which any goods have been brought included a reference to the place to which goods have been exported, supplied or delivered or the place to or from which technology has been transferred.
6
The provisions of CEMA are sections 145, 146, 147, 148(1), 150, 151, 152, 154 and 155 M9 (legal proceedings).
Trade offences in CEMA: modification of penaltyI372
1
Paragraph (2) applies where a person is guilty of an offence under section 50(2) or (3) of CEMA in connection with a prohibition mentioned in regulation 24 (import of arms and related materiel and internal repression goods).
2
Where this paragraph applies, the reference to 7 years in section 50(4)(b) of CEMA M10 is to be read as a reference to 10 years.
3
Paragraph (4) applies where a person is guilty of an offence under section 68(2) of CEMA in connection with a prohibition mentioned in regulation 23(1) (export of restricted goods).
4
Where this paragraph applies, the reference to 7 years in section 68(3)(b) of CEMA M11 is to be read as a reference to 10 years.
5
Paragraph (6) applies where a person is guilty of an offence under section 170(2) of CEMA in connection with a prohibition mentioned in regulation 23(1) or 24 (exports and imports).
6
Where this paragraph applies, the reference to 7 years in section 170(3)(b) of CEMA M12 is to be read as a reference to 10 years.
Application of Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005I673
Chapter 1 of Part 2 of the Serious Organised Crime and Police Act 2005 (investigatory powers) M13 applies to an offence under Part 3 (Finance), regulation 38 (financial transactions relating to Libyan oil) or regulation 52 (finance: licensing offences).
Monetary penaltiesI774
Each provision in Part 5 (Trade) which contains a prohibition imposed for a purpose mentioned in section 3(1) or (2) of the Act is to be regarded as not being financial sanctions legislation for the purposes of Part 8 of the Policing and Crime Act 2017 (monetary penalties) M14.