Statutory guidance

Democratic People's Republic of Korea sanctions: statutory guidance

Updated 25 March 2026

Introduction

This guidance is about the financial, director disqualification, trade, aircraft, shipping and immigration sanctions imposed by The Democratic People’s Republic of Korea (Sanctions) (EU Exit) Regulations 2019 (‘the Regulations’).

About the Regulations

The Regulations impose sanctions both for the purpose of giving effect to the United Kingdom’s obligations under United Nations Security Council Resolutions including:

• UNSCR 1718 (2006)
• UNSCR 1874 (2009)
• UNSCR 2087 (2013)
• UNSCR 2094 (2013)
• UNSCR 2270 (2016)
• UNSCR 2321 (2016)
• UNSCR 2356 (2017)
• UNSCR 2371 (2017)
• UNSCR 2375 (2017)
• UNSCR 2397 (2017)

and the additional statutory purposes set out in the Regulations.

As a whole this sanctions regime is aimed at restricting the ability of the Democratic People’s Republic of Korea (DPRK) to continue with its WMD programmes, encouraging them to abandon those programmes and to decommission weapons in accordance with decisions of the UN Security Council, and promoting peace, security and stability on the Korean peninsula.

For more details see regulation 4: Purposes.

The legislation.gov.uk webpage tells you if the Regulations are up to date or if there are outstanding amendments. You can also view previous versions using the timeline and a list of the legislation that has affected the regulations.

About this guidance

As required by section 43 of the Sanctions and Anti-Money Laundering Act 2018 (‘the Sanctions Act’), the Secretary of State for Foreign, Commonwealth and Development Affairs has provided this guidance to support compliance with the Regulations.

This guidance is designed to give an overview of the prohibitions and requirements, the enforcement of these, and the circumstances in which exceptions and licences may be used. Where appropriate, it directs you to further detailed guidance to read alongside. See all updates to check this guidance is current.

1. Prohibitions and requirements

Sanctions regulations apply to: 

• any individual, business or organisation undertaking activities anywhere in the UK (including the territorial sea)
• any business or organisation incorporated or constituted under the law of any part of the UK undertaking activities anywhere in the world
• any UK national, wherever they are in the world

For full details see section 21 of the Sanctions Act. 

The maritime enforcement powers contained in Part 12 of the Regulations apply in relation to British ships in international or foreign waters, ships without nationality in international waters and foreign ships in international waters.

It is prohibited to intentionally participate in any activities if you know that the object or effect of them is directly or indirectly to circumvent the prohibitions imposed by the Regulations or to enable or facilitate a breach of those prohibitions.

If you are unclear about any aspects of the Regulations, in particular about whether action you are considering taking could breach the Regulations, you are advised to seek independent legal advice.

1.1 Designation of persons

Designation of persons provisions are contained in Part 2 of the Regulations.

The Regulations provide that the Secretary of State may designate persons for the purposes of financial and/or immigration and/or certain trade and shipping sanctions if they are, or have been, involved in a relevant activity (as defined in regulation 6).

The Regulations also provide that each person for the time being named by the United Nations Security Council or Sanctions Committee for the purposes of paragraph 8(d) of UNSCR 1718 is a designated person for the purposes of the financial, trade and shipping sanctions.

Persons subject to a travel ban under UNSCR 1718 are dealt with under UK immigration regulations. For further information, see Immigration sanctions.

The UK Sanctions List contains the names of all designated persons (DPs) and the sanctions that have been imposed on them. Checking the UK Sanctions List is an essential part of due diligence for many firms and other organisations.

1.2 Financial sanctions

Financial sanctions provisions are contained in Part 4 of the Regulations.

Asset freeze and making available provisions

The Regulations impose financial sanctions through a targeted asset freeze on designated persons and prohibitions on making funds or economic resources available. This involves the freezing of funds and economic resources (non-monetary assets, such as property or vehicles) of designated persons and ensuring that funds and economic resources are not made available to or for the benefit of designated persons, either directly or indirectly.

These prohibitions also apply in relation to entities owned or controlled by a designated person.

If you find out that a person or organisation you are dealing with is subject to the financial sanctions detailed in the Regulations, you must immediately:

• stop dealing with them
• freeze any assets you are holding for them
• inform OFSI as soon as possible

Investment and financial services and markets

The Regulations also impose sectoral sanctions, by restricting certain investment and financial services activities and access to markets.

Some of these restrictions relate to dealings with credit or financial institutions domiciled in the DPRK, their branches and subsidiaries (wherever located) and other credit or financial institutions not domiciled in the DPRK but owned or controlled by persons domiciled there (DPRK-connected credit or financial institutions).

The Regulations, for example, impose restrictions on UK credit or financial institutions establishing a banking or correspondent banking relationship with DPRK-connected credit or financial institutions, or on opening representative offices or establishing branches or subsidiaries in the DPRK. UK credit or financial institutions must also sever existing financial relationships with DPRK-connected credit or financial institutions, such as terminating joint ventures and relinquishing ownership interests. Nor can a UK credit or financial institution open a bank account for DPRK diplomatic missions or a DPRK diplomat.

There are restrictions relating to branches, subsidiaries and representative offices of DPRK-connected credit or financial institutions, such as on the opening of representative offices or branches in the UK. It is also prohibited for DPRK-connected credit or financial institutions to acquire or extend any ownership interests in UK credit or financial institutions and prohibited for any person to participate in joint ventures and other business arrangements with a designated person.

The Regulations also impose sectoral restrictions prohibiting persons from accepting or approving investments in commercial activities where the investment is made by the Government of the DPRK, DPRK nationals and companies and others acting on their behalf or owned or controlled by such persons. These sectoral restrictions also include accepting or approving investments and prohibitions on the provision of financial services with and making funds available to such persons (with the exception of DPRK nationals), joint ventures and ownership interests with such persons. It is also prohibited for any person to transfer any funds to, or receive funds from, the DPRK.

Any sale or purchase of certain bonds must not be made to or from the DPRK Government, Central Bank or DPRK-connected credit or financial institutions. Nor must any person provide brokering, advertising or other services which assist the DPRK Government and other bodies to issue such bonds.

There is a prohibition on the leasing to, or otherwise making available of any land to, the Government of DPRK, any member of the Government of DPRK, or anyone that is known or suspected of acting on behalf of the Government of DPRK, or leasing any land from such a person.

Insurance or reinsurance in relation to ships is prohibited, where that ship is owned, controlled or operated by a person connected with the DPRK, if it is registered with the DPRK, flying the flag of DPRK or is a ‘specified’ ship under regulation 11(1) or (2).

The Office of Financial Sanctions Implementation (OFSI) is the authority responsible for implementing the UK’s financial sanctions on behalf of HM Treasury. OFSI helps to ensure that financial sanctions are properly understood, implemented and enforced in the UK. See more about how OFSI implements financial sanctions.

1.3 Director disqualification sanctions  

Director disqualification provisions are contained in Part 4A of the Regulations.

Persons designated under regulation 5 for the purpose of director disqualification sanctions under regulation 33A are disqualified from:

• being a director of a UK company
• directly or indirectly taking part in or being concerned in the promotion, formation or management of a UK company
• being a director of a foreign company that has sufficient connection to the UK, even if it is not registered, for example, if it carries out business or has assets in the UK

under the provisions of:

• section 11A of the Company Directors Disqualification Act 1986 (CDDA)
• Article 15A of the Company Directors Disqualification (Northern Ireland) Order 2002 (CDD(NI)O)

Companies House and the Department for the Economy (Northern Ireland) are responsible for recording information about director disqualification sanctions in their respective Disqualified Director Registers. Companies House is responsible for annotating the Companies Register and preventing registration of a disqualified director’s appointments.

See more information about director disqualification sanctions.

1.4 Trade sanctions

Trade sanctions provisions are contained in Part 6 of the Regulations.

The Regulations impose trade prohibitions relating to:

• military goods and military technology (as specified in Schedule 2 to the Export Control Order 2008)
• any thing which falls within Chapter 93 of the Goods Classification Table^{[footnote 1]}, other than military goods
• dual-use goods and technology (as specified in Annex I to Council Regulation 428/2009 as retained by the European Union (Withdrawal) Act 2018 (‘the Dual-Use Regulation’))
• other arms- and WMD-related goods and technology (specified in Schedule 2 of the Regulation and in a number of lists adopted by the UN, as set out at regulation 64)
• goods and technology for the armed forces of DPRK, as set out in regulation 43
• ‘armed forces goods’ and ‘armed forces technology’, as defined in regulation 44
• certain other goods - namely aviation fuel; condensates and natural gas liquids; crude oil; helicopters and vessels; industrial machinery, vehicles, iron, steel and other metals; luxury goods; and refined petroleum products; coal, iron and iron ore; copper, nickel, silver and zinc; earth and stone; food and agricultural products; gold ores and concentrates, titanium ore, vanadium ore and rare-earth minerals; lead and lead ore; machinery and electrical equipment; petroleum products; seafood; statues; textiles and wood
• fishing rights
• bank notes and coinage
• gold, precious metals and diamonds
• provision of mining, manufacturing and computer services
• the provision of certain services relating to ships and aircraft
• land

Many of these goods and services are specified by reference to annexes in EU Regulation 2017/1509 of 30 August 2017 concerning restrictive measures against the Democratic People’s Republic of Korea as in force immediately prior to IP completion day.

There are circumstances (set out in the relevant lists of controlled items) in which certain items are not controlled, for example when body armour or a helmet is accompanying a person for that person’s own protection. Please check the relevant lists as applicable.

Further detail on these trade prohibitions, including key terminology used, is explained below. The Regulations contain full definitions of all terms.

Export of goods

The concept of ‘export’ is set out in customs legislation, but is further detailed in Paragraph 32 of Schedule 1 to the Sanctions Act, which clarifies that ‘export’ means export from the UK, but does not capture where goods are removed to the Isle of Man from the UK.

The export prohibitions (other than in regulations 43, 44, 51 and 52) cover exports to DPRK as well as exports that are for use in DPRK. Regulation 43 covers exports to or for the benefit of the armed forces of the DPRK. Regulation 44 covers certain exports to the DPRK. Regulation 51 covers exports of bank notes or coinage to or for the benefit of the Central Bank of the DPRK. Regulation 52 covers exports of gold, precious metal or diamonds to a ‘DPRK Government person’ as defined in regulation 64(1). This means that, even if the immediate destination is not DPRK, the prohibition may still apply. Exporters should check the ultimate end use of goods and may apply for a licence or contact the Export Control Joint Unit (ECJU) if they know or think the items may be used in a way that would breach a prohibition.

A sanctions licence is not required for exports of non-military goods covered by the Regulations from Northern Ireland to an EU Member State where the final destination is the DPRK. You will however have to comply with any licensing requirements that apply in the relevant EU Member State for the onward export to the DPRK. You will also have to comply with any other licensing requirements under UK export control legislation as applicable.

Import of goods

The concept of ‘import’ is set out in customs legislation, but is further detailed in Paragraph 33 of Schedule 1 to the Sanctions Act. This clarifies in particular that goods removed to the UK from the Isle of Man are not to be regarded as imported. Paragraph 34 details limited exceptions to this.

The import prohibitions (other than in regulation 52) cover imports that are consigned from DPRK and goods that originated in DPRK. Regulation 52 covers imports of gold, precious metal or diamonds consigned from a ‘DPRK Government person’ as defined in regulation 64(1). This means that even if the immediate place the goods were shipped from was not DPRK, the prohibition may still apply. Therefore, importers should check the original place and person goods were consigned from, and apply for a licence or contact the DBT Import Controls Team if they think the items may have originated in or have been consigned from DPRK.

A sanctions licence is not required for imports of non-military goods covered by the Regulations from an EU Member State which originate in or are consigned from the DPRK. You will however have to comply with any licensing requirements that apply in the relevant EU Member State for the original import into the customs territory of the EU. You will also have to comply with any other licensing requirements under UK import control legislation as applicable.

Supply and delivery of goods

Supply and delivery prohibitions in the Regulations prohibit the direct or indirect supply or delivery of certain goods. Regulations 37 and 44 concern the movement of certain goods from a third country to a place in DPRK and from a place in DPRK to a third country. Regulation 43 covers movement of goods from a third country to or for the benefit of the armed forces of the DPRK. Regulation 46 covers the movement of certain goods from a third country to a place in the DPRK. Regulation 49 covers the movement of certain goods from a place in the DPRK to a third country. Regulation 51 covers movement of bank notes or coinage from a third country to or for the benefit of the Central Bank of the DPRK. Regulation 52 covers movement of gold, precious metals or diamonds from a third country to a ‘DPRK Government person’ as defined in regulation 64(1), and from a ‘DPRK Government person’ to a place in a ‘non-UK country’.

‘Third country’ and ‘non-UK country’ are defined in the relevant regulations.

Making available goods and technology

Prohibitions in regulations 38 and 47 on making restricted goods or technology available (e.g. through a sale) include directly or indirectly making them available for use in DPRK or to a person ‘connected with’ DPRK. Regulation 43 covers making goods or technology available to or for the benefit of the armed forces of the DPRK. Regulation 44 covers making certain goods or technology available to a person connected with the DPRK. Regulation 51 covers making certain goods available to or for the benefit of the Central Bank of the DPRK. Regulation 52 covers making certain goods available to a ‘DPRK Government person’ as defined in regulation 64(1).

Regulation 2(2) sets out when a person is to be regarded as ‘connected with’ DPRK.

Acquisition of goods and technology

Prohibitions in regulations 38 and 50 on acquiring certain goods or technology cover directly or indirectly acquiring them 1) from a person connected with the DPRK 2) where they originate in the DPRK or 3) where they are located in the DPRK. Regulation 44 concerns the direct or indirect acquisition of armed forces goods or armed forces technology 1) from a person connected with the DPRK or 2) located in the DPRK. Regulation 52 covers acquiring goods from a ‘DPRK Government person’ as defined in Regulation 64(1).

Acquisition or transfer of fishing rights

Regulation 50(3) prohibits the direct or indirect acquisition or transfer of fishing rights where these are from a person connected with the DPRK, or where they are exercisable in DPRK waters. ‘Fishing rights’ is defined in Regulation 50(7).

Transfer of technology

Prohibitions in the Regulations on the transfer of certain technology (other than in Regulation 43) include transfer to a place in DPRK or a person connected with DPRK. They also include transfer of restricted technology to persons outside the UK or to a place outside the UK, where the transfer is from a place in DPRK. Regulation 43 covers the transfer of technology to or for the benefit of the armed forces of the DPRK.

The term ‘transfer’ is defined in Paragraph 37 of Schedule 1 to the Sanctions Act, which states that it ‘means a transfer by any means (or combination of means), including oral communication and the transfer of goods on which the technology is recorded or from which it can be derived, other than the export of such goods.’

Where restricted technology is contained within a good, it would be classified as a restricted good under the accompanying goods-related provisions. This includes information contained on USB memory devices, laptops, tablets and the like.

Technical assistance

The term ‘technical assistance’ in relation to goods or technology is defined in regulation 64, which states that it 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

Prohibitions apply where the technical assistance relates to certain specified goods or technology.

The prohibitions at regulation 40 apply to the direct or indirect provision of such technical assistance (1) to persons connected with DPRK or (2) for use in DPRK; and to the procurement of such technical assistance (1) from persons connected with the DPRK or (2) for use in the DPRK.

This means that, even if the person to or from whom you are providing or procuring technical assistance, is not in or ‘connected with DPRK’, the prohibition may still apply if the goods or technology to which the technical assistance relates are for use in DPRK. Therefore, if you are providing or procuring technical assistance you should check whether the goods or technology may be used in DPRK and apply for a licence or contact ECJU if so.

Regulation 53 prohibits the direct or indirect provision of technical assistance relating to gold, precious metals or diamonds to a DPRK Government person.

Financial services and funds related to goods and technology

‘Financial services’ refer to any services of a financial nature in many different forms including insurance and banking. Financial services include payment and money transmission services. The full definition of ‘financial services’ can be found in Section 61 of the Sanctions Act.

‘Funds’ means financial assets and benefits of every kind, including cash, securities and interest. The full definition of ‘funds’ can be found in Section 60 of the Sanctions Act.

Trade sanctions prohibitions on the provision of financial services and funds apply where they relate to certain specified goods or technology.

Prohibitions at regulation 41 prohibit the direct or indirect provision of financial services, and the direct or indirect making available of funds to persons connected with DPRK in pursuance of or in connection with specific arrangements set out in regulation 41(1). The Regulations also prohibit the direct or indirect procurement of financial services from a person connected with the DPRK in pursuance of or in connection with specific arrangements set out in regulation 41(1). This captures arrangements related to the goods or technology controlled by the Regulations, for example, an arrangement for the export of goods or the direct or indirect supply or delivery of goods.

These prohibitions also prohibit the direct or indirect provision of financial services or funds to anyone, and the procurement of financial services from anyone, where this is in pursuance of or in connection with specific arrangements, as set out in regulation 41(3). This captures arrangements the object or effect of which falls into one of the prohibitions, for example an arrangement for the export of restricted goods to or for use in the DPRK.

The Regulation also contains prohibitions at regulation 54 on the direct or indirect provision of financial services, and the direct or indirect making available of funds, to a DPRK Government person in pursuance of or in connection with specific arrangements set out at regulation 54(1). The Regulations also prohibit the direct or indirect provision of financial services or funds, to a DPRK Government person in pursuance of or in connection with arrangements set out at regulation 54(3).

In addition, regulation 57 prohibits the provision of financial services or funds for the purpose of trade with the DPRK. This does not apply to any provision of financial service or funds which is prohibited under Chapter 1 of Part 6, or elsewhere in Chapter 2 of Part 6, of the Regulations.

Brokering services

The definition of ‘brokering services’ is set out in Regulation 2, which states that it 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

The Regulations prohibit the direct or indirect provision of brokering services where they relate to specific arrangements. Those arrangements are set out in regulation 42.

The Regulation also contains prohibitions at regulation 55 on the direct or indirect provision of brokering services to a DPRK Government person, and prohibitions on the direct or indirect provision of brokering services in relation to arrangements set out at regulation 55(2).

Other service provisions

Certain other services are prohibited in the Regulations. These include the provision of mining, manufacturing and computer services, and services relating to certain ships and aircraft.

Prohibitions relating to mining and manufacturing services are set out in Regulation 56 and relate to the provision of services incidental to mining, or to manufacturing in certain industries, to a person connected with the DPRK or where the mining or manufacturing is carried on in the DPRK.

Prohibitions relating to computer and related services are also set out in Regulation 56 and relate to the provision of such services to or for the benefit of a person connected with the DPRK.

Prohibitions relating to the leasing or chartering of ships and aircraft and provision of crew services are set out in regulations 58 and 59. These relate to the provision of such services to designated persons, those acting on their behalf or direction, those owned or controlled (directly or indirectly) by them, and to persons connected with the DPRK. It is also prohibited to procure crew services from persons connected with the DPRK.

Prohibitions relating to ship classification services are set out in regulation 60 and relate to the provision of such services where they relate to ships specified under regulation 11(1) or (2), ships registered in the DPRK, or ships flying the flag of the DPRK.

Prohibitions relating to bunkering or ship supply services are set out in regulation 61 and relate to the provision of such services to ships specified under regulation 11(1) or (2).

Trade sanctions enquiries

The Department for Business and Trade (DBT) leads on trade sanctions. For help with export controls or trade sanctions, contact the Export Control Joint Unit, part of DBT, on: exportcontrol.help@businessandtrade.gov.uk or tradesanctions@businessandtrade.gov.uk 

Helpline: +44 (0)20 7215 4594

For further information on licensing, compliance and enforcement for trade sanctions relating to standalone services, contact the Office of Trade Sanctions Implementation (OTSI). 

For further information on import controls and sanctions, contact DBT’s Import Controls and Sanctions team on: importsanctions@businessandtrade.gov.uk

1.5 Transport sanctions

Transport sanctions provisions are contained in Parts 7 and 8 of the Regulations.

The Regulations impose transport prohibitions relating to: 

• the movement and detention of certain DPRK ships and DPRK aircraft, including prohibitions on ships entering UK ports and aircraft landing in or overflying the UK 
• the ownership and control of DPRK ships 
• the registration of DPRK ships on the UK Ship Register 
• the registration of ships in the DPRK 

Transport sanctions include powers for the Secretary of State to issue directions. Details of the DPRK ships and DPRK aircraft subject to the different powers and prohibitions are set out the Regulations.  

The Secretary of State may notify a person that the existence or content of a port barring, entry or movement direction in relation to a ship and any direction relating to the movement or detention  of aircraft, or anything done under such directions, is to be treated as confidential. 

The Department for Transport (DfT) is responsible for implementing the UK’s transport sanctions. See more guidance from DfT. 

For guidance on mandatory reporting to DfT, see Information and record-keeping.

1.6 Immigration sanctions

Immigration sanctions provisions are contained in Part 5 of the Regulations.

The effect of the Regulations is to impose a travel ban on persons who are designated by the Secretary of State for the purposes of being made subject to immigration sanctions under the Sanctions Act. Such persons are excluded persons for the purposes of section 8B of the Immigration Act 1971.

Persons who are subject to existing designations by the UN Security Council or its Sanctions Committee under UNSCR 1718 for travel ban purposes are not additionally designated under the Regulations as they are already excluded persons for the purposes of section 8B of the Immigration Act 1971.

Individuals designated under either the Regulations or UNSCR 1718 will be refused leave to enter or remain in the UK. Any applications they make for a visa to travel to the UK, including for transit purposes, will be refused. Any foreign national who is subject to a travel ban under the Regulations or UNSCR 1718, and who is currently in the UK, will have their permission to stay in the UK cancelled and steps will be taken to remove them from the UK.

If you are the subject of an immigration sanction and try to travel to the UK, carriers are required to deny you boarding.

See more information on how the Home Office deals with those who are subject to a travel ban.

1.7 Information and record keeping

Information and record-keeping provisions, including financial sanctions reporting obligations, are contained in Part 10 of the Regulations.

Financial sanctions reporting obligations and information requests

For the purpose of the financial sanctions, the Regulations place obligations on relevant firms to report information to HM Treasury (in practice to the Office of Financial Sanctions Implementation (OFSI), part of HM Treasury) about known or suspected designated persons or about persons who may have breached a prohibition or failed to comply with an obligation under specified provisions of the Regulations.

A relevant firm must inform the National Crime Agency without delay if, in the course of its business with specified categories of persons, it acquires information that leads it to know or reasonably suspect that a person is making available funds that could contribute to any of the DPRK’s banned weapons programmes.

OFSI has powers to request information from, among others, a designated person, including powers to request the production of documents. It is an offence to fail to comply with these requests or provide false information.

If you are unclear about your obligations or responsibilities, you are advised to seek independent legal advice.

See more guidance about OFSI’s reporting obligations.

Trade and transport sanctions reporting obligations and information requests

The Trade, Aircraft and Shipping Sanctions (Civil Enforcement) (TASSCER) Regulations (2024) place obligations on:

• relevant persons (providers of financial or legal services, or money service businesses, for example) in relation to suspected breaches of certain trade sanctions 
• relevant persons (a pilot, airport operator, ship’s master or harbour authority, for example) in relation to suspected breaches of aircraft and shipping sanctions

For details see:

• Trade sanctions: reporting obligations
• Transport sanctions: reporting obligations

The Regulations establish powers to request information in relation to the trade and transport sanctions and record-keeping responsibilities for licences. It is an offence to fail to comply with any of these requirements or intentionally obstruct an official in the exercise of these powers.

See more details about information you must provide:

• in response to a trade sanctions information request
• in response to a transport sanctions information request

If you are unclear about your obligations or responsibilities, you are advised to seek independent legal advice.

2. Enforcement

Enforcement provisions are contained in Part 11 of the Regulations.

It is a criminal offence to breach sanctions, or to enable or facilitate a breach of, or to circumvent sanctions. The Regulations set out the mode of trial and penalties that apply to such offences.

In some cases, offences are contained in other legislation, such as the Customs and Excise Management Act 1979 (CEMA), or in the regulations made under the Sanctions Act that apply across regimes, such as the TASSCER regulations.

2.1 Financial sanctions enforcement

A breach of the main financial prohibitions or licensing provisions in the Regulations is an offence that is triable either way and carries a maximum sentence on conviction on indictment of 7 years’ imprisonment or a fine, or both.

Offences under the reporting obligations are summary offences and carry a maximum sentence of 6 months’ imprisonment or a fine, or both.

The Office of Financial Sanctions Implementation (OFSI), part of HM Treasury, is responsible for monitoring compliance with financial sanctions and for assessing suspected breaches. It also has the power to impose civil monetary penalties and refer cases to law enforcement agencies for criminal investigation and potential prosecution.

OFSI’s approach to compliance and enforcement is outlined in section 7 of OFSI’s general guidance.

For more information about how OFSI assesses suspected breaches and the possible enforcement outcomes, see OFSI’s enforcement guidance.

2.2 Director disqualification sanctions enforcement

A breach of the main prohibitions or licensing provisions in the Regulations is an offence that is triable either way and carries a maximum sentence on conviction on indictment of 2 years’ imprisonment or a fine, or both.

It is also an offence under the Regulations to provide misleading information to obtain a licence, act outside of permissions given or ignore conditions contained within a licence. A licensing offence carries a maximum sentence on conviction on indictment of 2 years’ imprisonment, or a fine, or both.

The Insolvency Service is responsible for investigating suspected breaches and licensing offences. It has the power to bring prosecutions for breaches and refer cases to other law enforcement agencies for criminal investigation and potential prosecution.

2.3 Trade sanctions enforcement

A breach of the trade sanctions prohibitions is triable either way and carries a maximum sentence on conviction on indictment of 10 years’ imprisonment or a fine, or both.

A breach of the trade sanctions licensing provisions is also triable either way and carries a maximum sentence on conviction on indictment of 2 years’ imprisonment or a fine, or both. 

Offences under the reporting obligations are summary offences and carry a maximum sentence of 6 months’ imprisonment or a fine, or both. 

HM Revenue and Customs (HMRC) is responsible for the enforcement of trade sanctions that fall within its remit as the UK’s customs authority and for the enforcement of trade sanctions measures that relate to strategic goods and technology.  

If you discover that you have breached any of the trade prohibitions or licensing provisions, you should report the irregularity to HMRC (sometimes known as ‘voluntary disclosure’) as soon as possible. If the irregularity was found on an Export Control Joint Unit compliance audit, the compliance inspector will have informed HMRC and you are strongly advised to do the same. Guidance is available on how to make a voluntary disclosure.

The Office of Trade Sanctions Implementation (OTSI), part of DBT, is responsible for the civil enforcement of certain trade sanctions including for standalone services and the movement of goods involving UK companies or persons that do not cross the UK border. For information about how OTSI assesses breaches and the possible enforcement outcomes, see OTSI’s enforcement guidance.

2.4 Transport sanctions enforcement

A breach of the following transport sanctions relating to DPRK ships and aircraft is an offence that is triable either way and carries a maximum sentence on conviction on indictment of 7 years’ imprisonment or a fine or both. This includes failing to observe or comply with:

• prohibitions on port entry 
• prohibitions on overflying or landing in the UK  - prohibitions on ownership of a DPRK ship 
• a port barring direction 
• a port entry or movement direction 
• a direction given in respect of an aircraft 

A breach of the transport sanctions licensing conditions is also triable either way and carries a maximum sentence on conviction on indictment of 2 years’ imprisonment or a fine or both. 

The offence of failing to comply with a detention direction in relation to a ship is triable either way and carries a sentence of a fine. 

Disclosure of confidential information is an offence which carries a maximum sentence of 6 months’ imprisonment on summary conviction or a fine, or both.  

A failure to comply with the reporting obligations is a criminal offence and carries a maximum sentence of 6 months’ imprisonment on summary conviction or a fine, or both. See Transport sanctions: reporting obligations. 

DfT as the enforcement authority is supported by the Maritime and Coastguard Agency (MCA), harbour authorities, the Civil Aviation Authority (CAA), National Air Traffic Services (NATS) and airport operators. 

DfT also has the power to impose civil monetary penalties for breaches of transport sanctions and to refer cases to law enforcement agencies for investigation and potential prosecution.  

If you become aware that a breach of the transport sanctions detailed in the Regulations has taken or will take place, you can report it by emailing transportsanctions@dft.gov.uk

For more information about how DfT assesses breaches of transport sanctions and the possible enforcement outcomes, see DfT’s enforcement guidance.

3. Exceptions and licences

Exceptions and licensing provisions are contained in Part 9 of the Regulations.

3.1 Exceptions

An exception gives an automatic exemption to an activity that would otherwise be prohibited under sanctions. It means you can carry out that activity as long as certain defined circumstances, set out in the Regulations, apply to your activity.

An exception applies automatically so you do not require a licence to carry out the proposed activity, but some exceptions have notification obligations.

To check the full legal wording of an exception, go to the regulations listed in Part 9. If you are unsure whether an exception applies in your circumstances, you are advised to seek independent legal advice.

General exceptions

Exception for authorised conduct in a relevant country (regulation 86A)

This exception relates to prohibitions in regulations 18, 20 to 22, and 24 to 30, excluding 26(7).

The exception applies if:

• conduct is authorised by a licence or other authorisation that is issued under the law of the Channel Islands, Isle of Man or any British Overseas Territory for the purpose of disapplying a prohibition in that jurisdiction which corresponds to the relevant prohibition

Exception for acts done for purposes of national security or prevention of serious crime (regulation 87)

This exception can be used in relation to any prohibition or requirement imposed by the Regulations.

The exception applies if:

• a responsible officer has determined the relevant actions to be in the interests of national security, or the prevention or detection of serious crime in the UK or elsewhere

Financial sanctions exceptions

Exceptions for crediting a frozen account (regulation 81)

These exceptions relate to the prohibitions in regulations 13 to 17 about dealing with the funds or economic resources of designated persons and making funds available to them. The exceptions permit, in certain circumstances, frozen accounts to be credited by and transfers made to ’relevant institutions’ – those with permission to carry out regulated activities under the Financial Services and Markets Act 2000 part 4A.

See section 6 of OFSI’s general guidance for details about how to use these exceptions and the related reporting obligations for relevant institutions.

Exceptions for diplomatic missions, consular posts and United Nations humanitarian assistance activities (regulation 81, (7) to (10)) 

These exceptions relate to the prohibitions in regulations 13 to 17 dealing with the funds or economic resources of designated persons and making funds available to them. 

One exception applies to transactions with the Foreign Trade Bank of the DPRK or with the Korean National Insurance Company in circumstances where the bank / company is a designated person if they are solely for the purposes of:

• the operation of a diplomatic mission or consular post in the DPRK, or
• humanitarian assistance activities undertaken by, or in co-ordination with, the UN 

A second exception applies to transactions with certain entities of the Government of the DPRK or the Workers’ Party of Korea if: 

• the actions are necessary for the operation of any DPRK mission to the UN and other diplomatic missions and consular posts of the DPRK

Exception for required payments (regulation 81ZA)

This exception relates to the prohibitions in regulations 13 and 15 about dealing with the funds or economic resources of designated persons and making funds available for their benefit.

The exception permits certain required payments to be made by, or on behalf of, designated persons to various specified UK public bodies.

See OFSI’s FAQs on required payments for details about how to use these exceptions and the related notification obligations.

United Nations exception for humanitarian assistance (regulation 81A)  

This exception relates to the prohibitions in regulations 13 to 17 about dealing with the funds or economic resources of designated persons and making funds available to them.  

The exception applies if the activity is necessary to: 

• ensure the timely delivery of humanitarian assistance, or  
• to support other activities that support basic human needs  

See section 9 of OFSI’s financial sanctions guidance for charities and non-governmental organisations (NGOs) to check the conditions for this exception and how to use it.

Exceptions for diplomatic missions for leasing and use of land (regulation 82) 

One exception relates to the prohibition in regulation 57A about the leasing and making available of land.  

The exception applies if: 

• the land is leased or otherwise made available for the operation of a diplomatic mission or consular post 

A second exception relates to the prohibition in regulation 57A (1)(c) about activities linked to the use of the land.  

The exception applies if the goods and services provided: 

• are necessary for the operation of a diplomatic mission or consular post, and  
• cannot be used to generate income or profit, directly or indirectly, for the Government of the DPRK 

Exception for transferring funds in relation to foodstuffs, healthcare, agricultural, humanitarian, licensed trade, diplomatic, development and denuclearisation promotion activities (regulation 83 (1) and (2)) 

The exception relates to the prohibitions in regulation 28 about making or receiving a transfer of funds to or from the DPRK. 

This exception applies to transfers of funds in relation to transactions amounting to a value of £13,000 or less, if the transactions: 

• are related to foodstuffs, healthcare or medical equipment 
• are for agricultural and humanitarian purposes 
• fall within a specified exception set out in Part 9 of the Regulations or which is permitted under a licence issued under Part 9 
• are related to trade activities which are not prohibited or related to anything that is prohibited by Part 6 of the Regulations 
• are for the official purposes of a diplomatic or consular mission of the DPRK 
• are required exclusively for projects for development purposes directly addressing the needs of the civilian population, or promotion of denuclearisation of the DPRK, which are funded by any part of the UK government 

Exception for personal remittances (regulation 83 (3)) 

This exception relates to prohibitions in regulation 28 about making or receiving a transfer of funds to or from the DPRK.  

The exception applies if the transfer: 

• relates to a transactions regarding a personal remittance, and 
• has a value of £4,000 or less for a personal remittance

Exception for required payments (regulation 55A)

This exception relates to the prohibitions in regulations 15 and 17 about dealing with the funds or economic resources of designated persons and making funds available for their benefit.

The exception permits certain required payments to be made by, or on behalf of, designated persons to various specified UK public bodies.

See OFSI’s FAQs on required payments for details about how to use these exceptions and the related notification obligations.

Trade sanctions exceptions

Exception for fuel for civilian aircraft (regulation 84 (1))

This exception relates to the prohibitions in regulations 45, 46 and 47 about the export, supply, delivery or making available of aviation fuel to or for use in DPRK, to a person connected with DPRK, or from a third country to a place in DPRK.

The exception applies if the fuel is:

• for use in a third country, and
• exclusively for use in a civilian passenger aircraft in a flight to the DPRK from a place outside the DPRK, or the return flight from the DPRK to its airport of origin

Exception for luxury goods that are personal effects or for personal or official use (regulation 84 (2))

This exception relates to the prohibition in regulations 45 to 50 about the import, export, supply, delivery, making available or acquisition of luxury goods.

The exception applies if the luxury goods are:

• the personal effects of a person travelling to or from the DPRK
• of a non-commercial nature for the personal use of a person travelling to or from the DPRK and contained in that person’s luggage
• necessary for the official purposes of a diplomatic mission or consular post in the DPRK, or of an international organisation enjoying immunities in the DPRK in accordance with international law, or
• the personal effects of a member of a diplomatic mission or consular post in the DPRK

Exception for the provision of computer and related services

This exception relates to the prohibition in regulation 56(1)(e) about the provision of computer and related services.

The exception applies if the provision is:

• exclusively for the official purposes of a diplomatic mission or consular post in the DPRK, or of an international organisation enjoying immunities in the DPRK in accordance with international law, or
• provided by persons that receive funding from any part of the Government of the United Kingdom to provide those services for:
  • development purposes directly addressing the needs of the civilian population of the DPRK
  • the promotion of denuclearisation of the DPRK

Exception for the provision of bunkering or ship supply services

This exception relates to the prohibition in regulation 61(1) about the provision of bunkering or ship supply services.

The exception applies if:

• a failure to do so would endanger the lives of persons on board a ship

Transport sanctions exceptions

Exceptions for certain aircraft to make UK landings and use UK airspace (regulation 85)

These exceptions relate to the prohibitions in regulation 65 about the overflight and landing in the UK of certain aircraft.

The exceptions apply to a landing, or overflight preparatory to a landing, if:

• failing to land would endanger the lives of persons on board or the safety of the aircraft, or
• it is required in accordance with a movement direction

Exceptions for certain ships to enter UK ports (regulation 86)

These exceptions relate to the prohibitions in regulation 71 about the granting of, or causing or permitting, access to a UK port.

The exceptions apply if the access is:

• needed by a ship in the case of an emergency, or
• required in accordance with a port entry direction under regulation 73 (movement of ships)

3.2 Licensing for financial sanctions

A licence is a written permission from OFSI that allows an act that would otherwise be in breach of the financial sanctions prohibitions set out in regulations: 

• 13 to 17 (asset-freeze etc)  
• 18 (UK credit or financial institutions: accounts and correspondent banking relationships etc) 
• 20 to 22 (dealings with DPRK credit or financial institutions)
• 24 to 30, excluding regulation 26 (7)

OFSI has issued general licences that may be used under this regime. For details see OFSI’s general licence page.  

In circumstances where there are no applicable exceptions from the prohibitions or general licences, any person (including a designated person) may apply for a licence from OFSI enabling them to deal with the frozen funds or economic resources of the designated person, or to allow these to be made available to or for the benefit of a designated person, or to transfer funds to or from DPRK. 

You should not assume that a licence will be granted or engage in any activities prohibited by financial sanctions until your licence has been granted.   

Licensing grounds for financial sanctions   

OFSI can only issue specific individual licences where: 

• there is a  relevant licensing ground 
• the conditions set out in that licensing ground have been met, and  
• OFSI considers it appropriate to issue a licence for that purpose 

The purposes and activities for which OFSI may grant an individual licence are set out in Schedule 3 to the regulations. In summary these include:  

• basic needs
• reasonable professional fees for or reasonable expenses associated with the provision of legal services
• reasonable fees or service charges arising from the routine holding or maintenance of frozen funds or economic resources
• extraordinary expenses
• judicial decisions etc ^{[footnote 2]}
• humanitarian assistance activities etc
• diplomatic missions etc
• prior obligations (non-UN designated persons only)
• extraordinary situation (non-UN designated persons only)
• insolvency (non-UN designated persons only)
• judicial decisions (non-UN designated persons only)

The Treasury may only issue a licence to authorise acts which would otherwise be prohibited by regulation 28 (transfers of funds etc) in the circumstances set out in paragraph 5 of regulation 88.

OFSI may need to notify, or in some cases seek approval from the relevant United Nations Sanctions Committee before issuing a licence. These requirements are set out in the relevant UN Security Council Resolutions. These requirements will lengthen the processing time for such licence applications and may in some cases prevent a licence from being issued.

See section 6.6 of OFSI’s general guidance for the approach OFSI takes when deciding whether to grant a licence for each possible licensing ground.     

See OFSI’s licensing page for licence application forms and guidance.

Treasury directions

A Treasury direction may provide an exception to the requirements in regulations 19 (severance of existing financial relationships), 23 (closure of representative offices) and 26(7) (closure of joint venture or co-operative entity).

3.3 Licensing for director disqualification sanctions 

The designated person, or their authorised representative, can make an application for a licence to the Insolvency Service. See more details about how to apply.  

The Insolvency Service will assess and grant or refuse licence applications on behalf of the Secretary of State. Companies House is responsible for updating the Companies Register when a licence is granted.  

You should not assume that a licence will be granted or act as the director of a company – or directly or indirectly take part in or be concerned in the promotion, formation or management of a company – until your licence has been granted.

3.4 Licensing for trade sanctions

Licences may also be issued for certain trade activities that would otherwise be prohibited by the Regulations. The Department for Business and Trade (DBT) has overall responsibility for trade sanctions licensing. The Secretary of State for International Trade is ultimately responsible for decisions to grant or refuse a trade sanctions licence in any individual case.

DBT has 3 licensing bodies responsible for administering licences on behalf of the Secretary of State. Which body you need to apply through is dependent on the activity you want to carry out.  

If you are carrying out activity that falls under the remit of more than one licensing body, you will need to submit separate licence applications for each one.  

The Export Control Joint Unit (ECJU), part of DBT, is responsible for licensing the export of sanctioned goods, software and technology. See how to apply for an export licence. Information on the activities you wish to carry out and relevant documentation can be provided in a cover letter and attached to the application.

DBT’s Import Controls team is responsible for licensing the import of (otherwise sanctioned) goods, software and technology. See guidance on how to apply for an import licence. The Import Controls team will, to the extent possible, aim to inform the trader of the application outcome within 30 days. However, in some circumstances, for operational or legal reasons, DBT may need to take longer than the 30 day period. They will inform the applicant if this is the case. 

The Office of Trade Sanctions Implementation (OTSI) can issue licences for certain (otherwise sanctioned) trade services in relation to regulation 56.

DBT has produced guidance where you can check which trade licence you need. This will guide you to the application page for each type.

In making decisions on whether to grant a licence to permit something which would otherwise be prohibited under Part 6 of the Regulations, the Secretary of State will consider each application on a case-by-case basis to determine whether granting a licence would be consistent with the stated purposes of the sanctions regime and any UN or other relevant international law obligations.

Licence applications for import of goods are managed by DBT’s Import Controls Team, who will, to the extent possible, aim to inform the trader of the application outcome within 30 days. However, in some circumstances, for operational or legal reasons, DBT may need to take longer than the 30 day period. They will inform the applicant if this is the case.

For some prohibitions there are some specific activities which DBT considers are likely to be consistent with the aims of the sanctions. These are set out in the table below. If you think that your proposed activity falls within one of these specific descriptions, you should make this clear and explain why you believe this to be the case in your application for a licence.

Some of the licensing grounds set out include requirements relating to the UN Security Council Sanctions Committee on DPRK (‘UNSC’):

• where the Secretary of State is required to give the UNSC notice of a licence granted under this sanctions regime, the Secretary of State will first determine whether granting a licence would be consistent with the purposes set out in the Regulations. If the Secretary of State determines that granting a licence would be consistent with those purposes and goes on to grant a licence, the UK (via the FCDO) will notify the UNSC
• where approval from the UNSC is required in order to grant a licence, the Secretary of State will first determine whether granting that the licence would be consistent with the purposes set out in the Regulations. If the Secretary of State determines that granting a licence would be consistent with those purposes, the UK (via the FCDO) will submit the necessary information to the UNSC to seek the approval of the committee. The Secretary of State will only grant a licence when confirmation of the UNSC’s approval has been received

You should not assume that a licence will be granted or engage in any activities prohibited by trade sanctions until your licence has been granted.

Common grounds for granting licences

Prohibitions	Type of consideration
All prohibitions below	Considerations for licensing

A licence may be granted for any activity that would otherwise be prohibited by the Regulations or by UNSC Resolutions relating to the DPRK^{[footnote 3]} if the Secretary of State considers that the activity is necessary to facilitate the work of international and non-governmental organisations carrying out assistance and relief activities in the DPRK for the benefit of the civilian population in the DPRK; or for any other purpose consistent with the objectives of the UNSC Resolutions relating to the DPRK, which may include activities undertaken solely for humanitarian or denuclearisation purposes.

This is subject to UNSC approval.

---

A licence may be granted for any activity that would otherwise be prohibited by the Regulations or by UNSC Resolutions relating to the DPRK if the Secretary of State considers that the activity is necessary for the functioning of diplomatic missions or consular posts in the DPRK pursuant to the 1961 and 1963 Vienna Conventions, or of international organisations enjoying immunities in accordance with international law in the DPRK.

Specific grounds for granting licences

Prohibitions	Type of consideration
35, 37 to 39	Considerations for the export, making available, acquisition, transfer, supply or delivery of restricted goods or restricted technology

A licence may be granted for the export, making available, transfer, supply or delivery of non-combat vehicles which have been manufactured or fitted with materials to provide ballistic protection and are intended solely for protective use of personnel of the UK Government in the DPRK.

Common grounds listed above apply.

Prohibitions	Type of consideration
36	Considerations for the import of restricted goods or restricted technology

No specific grounds, only common grounds listed above apply.

Prohibitions	Type of consideration
40 to 42	Considerations for the provision of technical assistance, financial services, funds, and brokering services, and procurement of technical assistance and financial services relating to restricted goods or restricted technology

A licence may be granted for the provision of technical assistance, financial services, funds or brokering services, or procurement of technical assistance or financial services, related to non-combat vehicles which have been manufactured or fitted with materials to provide ballistic protection and are intended solely for protective use of personnel of the UK Government in the DPRK.

Common grounds listed above apply.

Prohibitions	Type of consideration
43	Considerations for the export, making available, transfer, supply or delivery of goods[footnote 4] or technology to or for the benefit of the DPRK armed forces

A licence may be granted for the export, making available, transfer, supply or delivery of goods or technology to or for the benefit of the DPRK armed forces if the Secretary of State considers that:

• the goods or technology do not relate to the production, development, maintenance or use of military goods, or development or maintenance of military personnel, and do not directly contribute to the development of the operational capabilities of the DPRK’s armed forces, and
• such activity is exclusively for either humanitarian or livelihood purposes which will not be used by DPRK persons, entities or bodies to generate revenue, and is not related to any activity prohibited by relevant UNSC resolutions^{[footnote 5]}

This is subject to advance UNSC notification. As part of your application for a licence under this provision, you will need to be able to demonstrate that measures are in place to prevent the diversion of items for a prohibited purpose. We will notify the UNSC of the licence in advance of the activity taking place and inform them of those preventative measures taken.

A licence may be granted for the export, making available, transfer, supply or delivery of goods or technology to or for the benefit of the DPRK armed forces if the Secretary of State considers that:

• the goods or technology do not relate to the production, development, maintenance or use of military goods, or development or maintenance of military personnel, and do not directly contribute to the development of the operational capabilities of the DPRK’s armed forces, and

• the UNSC has approved that such activity would not be contrary to the objectives of relevant UNSC resolutions[footnote 6]

Common grounds listed above apply.

Prohibitions	Type of consideration
44	Considerations for the export, import, making available, acquisition, transfer, supply or delivery of armed forces goods or armed forces technology[footnote 7]

A licence may be granted for the export, import, making available, acquisition, transfer, supply or delivery of armed forces goods and armed forces technology where the Secretary of State considers that:

• the goods or technology do not relate to the production, development, maintenance or use of military goods, or the development or maintenance of military personnel, and do not directly contribute to exports that support or enhance the operational capabilities of the armed forces of a third country, and
• such activity is exclusively for either humanitarian or livelihood purposes which will not be used by DPRK persons, entities or bodies to generate revenue, and is not related to any activity prohibited by relevant UNSC resolutions^{[footnote 8]}

This is subject to advance UNSC notification. As part of your application for a licence under this provision, you will need to be able to demonstrate that measures are in place to prevent the diversion of items for a prohibited purpose. DBT will notify the UNSC of the licence in advance of the activity taking place and inform them of those preventative measures taken.

A licence may be granted for the export, import, making available, acquisition, transfer, supply or delivery of armed forces goods and armed forces technology where the Secretary of State considers that:

• the goods or technology do not relate to the production, development, maintenance or use of military goods, or the development or maintenance of military personnel, and do not directly contribute to exports that support or enhance the operational capabilities of the armed forces of a third country, and

• the UNSC has approved that such activity would not be contrary to the objectives of relevant UNSC resolutions[footnote 9]

Common grounds listed above apply.

Prohibitions	Type of consideration
45 to 47	Considerations for the export, making available, supply or delivery of certain goods

A licence may be granted for the export, making available, supply or delivery of aviation fuel for verified essential humanitarian needs. The applicant will be expected to comply with conditions set out in the licence to monitor the delivery and use of the items. This is subject to advance UNSC approval.

A licence may be granted for the export, making available, supply or delivery of crude oil if the Secretary of State considers that it is exclusively for livelihood purposes of DPRK nationals and unrelated to the DPRK’s nuclear or ballistic missile programmes or other activities prohibited by relevant resolutions^{[footnote 10]} or if the applicable UN threshold (4 million barrels or 525,000 tons in the aggregate per 12-month period) has not been met. This is subject to advance UNSC approval.

The Secretary of State will provide regular (every 90 days) notification of these transactions to the UNSC.

A licence may be granted for the export, making available, supply or delivery of certain industrial machinery, vehicles, iron, steel and other metals amounting to spare parts where the Secretary of State considers that the provision of such spare parts is needed to maintain the safe operation of DPRK commercial civilian passenger aircraft of the aircraft models and types listed in Part B of Annex XII of Regulation 2017/1509 as defined in the Regulations.

A licence may be granted for export, making available, supply or delivery of refined petroleum products where the Secretary of State considers that:

• the transaction does not involve individuals or entities that are associated with DPRK’s nuclear or ballistic missile programmes or other activities prohibited by relevant UNSCRs^{[footnote 11]}, and
• the transaction is exclusively for livelihood purposes of DPRK nationals and unrelated to generating revenue for the DPRK’s nuclear or ballistic missile programmes or other activities prohibited by this Regulation or relevant UNSCRs^{[footnote 12]}

provided that:

• the applicable UN threshold for such transactions has not been met (the aggregate amount of refined petroleum products does not exceed 500,000 barrels per year); and
• the UNSC has not notified the Secretary of State that 95% of the aggregate annual limit has been reached.

The Secretary of State will provide regular (every 30 days) notification of these transactions to the UNSC.

A licence may be granted for the export, making available, supply or delivery of vehicles for the transport of persons (on earth, air or sea) of a value exceeding £9,000 each, teleferics, chairlifts, ski-draglines, traction mechanisms for funiculars, motorbikes of a value exceeding £1000 each, as well as their accessories and spare parts, where the Secretary of State considers that the goods are for humanitarian purposes.

A licence may be granted for the export, making available, supply, or delivery of luxury goods for the purposes of news gathering for use by independent news media organisations, provided that there are reasonable grounds to determine that they will be safely removed from the DPRK when no longer required and will not be hired, exchanged, sold or otherwise disposed of within the DPRK.

Common grounds listed above apply.

Prohibitions	Type of consideration
48 to 50	Considerations for the import, acquisition, supply or delivery of certain goods

A licence may be granted for the import, acquisition, supply or delivery of coal where the Secretary of State considers that:

• it originated from outside the DPRK,
• it was transported through the DPRK solely for export from the port of Rajin (Ranson), and
• the transactions are unrelated to generating revenue for the DPRK’s nuclear or ballistic-missile programmes or other activities prohibited by relevant UNSC resolutions or these Regulations.

The UNSC must be notified in advance of such transactions.

Common grounds listed above apply.

Prohibitions	Type of consideration
50(3)	Considerations for the acquisition or transfer of fishing rights

No specific grounds, only common grounds listed above apply.

51	Considerations for the export, making available, supply or delivery of bank notes or coinage

No specific grounds, only common grounds listed above apply.

52	Considerations for the export, making available, supply or delivery of gold, precious metals or diamonds

No specific grounds, only common grounds listed above apply.

52	Considerations for the import, acquisition, supply or delivery of gold, precious metals or diamonds

No specific grounds, only common grounds listed above apply.

53 to 55

Considerations for the provision of technical assistance, financial services, funds, or brokering services relating to gold, precious metals or diamonds

No specific grounds, only common grounds listed above apply.

56	Considerations for the provision of services incidental to mining or to manufacturing in the chemical, mining and refining industry, or provision of computer and related services

A licence may be granted for the provision of services incidental to mining or to manufacturing in the chemical, mining and refining industries where the Secretary of State considers that the services are intended exclusively for development purposes that directly address the needs of the civilian population or the promotion of denuclearisation.

A licence may be granted for the provision of computer and related services where the Secretary of State considers that the services are provided exclusively for development purposes that directly address the needs of the civilian population or the promotion of denuclearisation.

Common grounds listed above apply.

57	Considerations for the provision of financial services or funds for the purposes of trade

No specific grounds, only common grounds listed above apply.

58 to 61

Considerations for the leasing or chartering of ships and aircraft, the provision of crew services, the provision of ship classification services or the provision of bunkering or ship supply services

No specific grounds, only common grounds listed above apply.

When you export or import goods, you may need to submit a declaration: guidance is available on:  

• how to make an export declaration. 
• how to make an import declaration

Overlap with strategic export licensing

Military goods and military technology

Please note that the export of and trade in military goods and military technology are also controlled under the Export Control Order 2008 and so you may also need a licence which is valid under that legislation. This means that all licence applications relating to military goods and military technology will also need to be considered against the Strategic Export Licensing Criteria. A licence under the Regulations is unlikely to be granted if a licence is refused for the same activity under the Export Control Order 2008.

The way this will work in practice is that we will consider an application for a licence which relates to activities that are licensable under both the Regulations and the Export Control Order 2008 as an application for a licence under both pieces of legislation. This means that only a single licence application is required.

The application will be considered against the relevant licensing criteria. If a licence is granted it will be valid under both the Export Control Order 2008 and the Regulations.

Dual-use goods and technology

Please note that the export of and trade in dual-use goods and technology are also controlled under the Dual-Use Regulation. Authorisations under that Regulation are granted by the Secretary of State for International Trade under licensing powers in the Export Control Order 2008.

This means that all licence applications relating to items which are controlled dual-use goods and technology will also need to be considered against the Strategic Export Licensing Criteria. A licence under the Regulations is unlikely to be granted if an authorisation is refused for the same activity under the Dual-Use Regulation.

As explained above in relation to military goods and technology, only a single licence application will be required in relation to dual-use goods and technology which falls within the scope of both the Regulations and the Dual-Use Regulation. If the application is compatible with both criteria, a licence will be granted which will be valid under the Dual-Use Regulation and the Export Control Order 2008 as well as the Regulations.

Overlap between trade sanctions and financial sanctions

If you import or export goods or services, you need to consider if financial sanctions apply to you. You may need a licence from OFSI as well as from ECJU, OTSI or the Import Controls Team.

Transit control

Certain goods transiting the UK are still regarded as being exported when they leave the country and are therefore subject to control. Article 17 of the Export Control Order 2008 includes a transit and transhipment exception meaning that in many situations a licence is not required. This exception does not apply to goods destined for DPRK, meaning that a licence is required to transit goods through the UK or to tranship them in the UK with a view to re-exportation to DPRK.

3.5 Licensing for transport sanctions

Where an exception does not apply, a licence may be issued by the Department for Transport in particular circumstances to allow for time-limited and specific actions to take place which would otherwise be prohibited by the Regulations.

The activities for which a licence may be granted are:

• for overflying UK airspace, entering UK airspace, landing at a UK airport or for taking off from a UK airport for reasons not related to an emergency (for example to take on board medicines or emergency food supplies)
• to allow for the ownership, control, chartering or operation of a DPRK ship
• to permit the registration of a ship in the DPRK or for a person to obtain authorisation for a ship to fly the flag of the DPRK

A licence may be general or be issued to a particular category of person or to a particular person. Licences may contain conditions and they may be of a defined duration or of indefinite duration.

See how to apply for a transport sanctions licence.

3.6 Directions in respect of immigration sanctions

If you are subject to immigration sanctions the Home Office may direct, on a case by case basis, that the sanction does not apply in particular circumstances, such as for travel to, or through, the UK for a UN sponsored meeting. You can check how to apply for a UK visa, and find further information about travelling to the UK on GOV.UK.

4. Further information

The UK sanctions hub page is a central point for all sanctions content, including links to introductory guidance, sector-specific guidance, reporting obligations, blogs, and email alert services.

You can report a suspected breach of sanctions if you think you, or someone else, may have breached sanctions, or be attempting to circumvent sanctions.

For specific queries about this sanctions regime, email: fcdo.correspondence@fcdo.gov.uk

For other contact details, see Government departments and agencies responsible for sanctions.

1. ‘the Goods Classification Table’ means the table so named in Annex I in Part Three of the Tariff of the United Kingdom. ↩

2. Paragraph 7A of Schedule 3 sets out how this applies to UN designated persons, and paragraph 9B of Schedule 3 sets out how it applies to non-UN designated persons.  ↩

3. UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016), 2356 (2017), 2371 (2017), 2375 (2017) or 2397 (2017) ↩

4. For the purposes of the prohibitions contained in regulation 43, regulation 43(5) defines ‘goods’ as not including food or medicine. ↩

5. Including UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016), 2356 (2017), 2371 (2017), 2375 (2017) and 2397 (2017). ↩

6. Including UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016), 2356 (2017), 2371 (2017), 2375 (2017) and 2397 (2017). ↩

7. The terms ‘armed forces goods’ and ‘armed forces technology’ have the meaning ascribed to them by regulation 44(7) i.e. goods (except food or medicine) and technology which could support or enhance the operational capability of the armed forces of any country other than the DPRK. ↩

8. Including UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016), 2356 (2017), 2371 (2017), 2375 (2017) and 2397 (2017). ↩

9. Including UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016), 2356 (2017), 2371 (2017), 2375 (2017) and 2397 (2017). ↩

10. UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016), 2356 (2017), 2371 (2017), 2375 (2017) and 2397 (2017). ↩

11. UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016), 2356 (2017), 2371 (2017), 2375 (2017) and 2397 (2017). ↩

12. UNSCRs 1718 (2006), 1874 (2009), 2087 (2013), 2094 (2013), 2270 (2016), 2321 (2016), 2356 (2017), 2371 (2017), 2375 (2017) and 2397 (2017). ↩