Watchtower/Law library/Financial sanctions general guidance/6.9 General licences
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Financial sanctions general guidance · 6. Exceptions and licensing

6.9 General licences

uk financial sanctions general guidance 6 exceptions and licensing 6 9 general licences · in force: unknown

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6.9 General licences

A general licence, issued by OFSI on behalf of HM Treasury, allows multiple parties to undertake specified activities which would otherwise be prohibited by sanctions legislation, without the need for a specific licence.
Details of active general licences and accompanying guidance are available on [OFSI’s website](https://www.gov.uk/government/collections/ofsi-general-licences) and the [FAQ page](https://www.gov.uk/government/publications/uk-financial-sanctions-faqs/uk-financial-sanctions-faqs). Where a general licence is in place to permit an activity, OFSI expects that applicants will make use of this licence. A specific licence will not be issued for the same activity unless the applicant can demonstrate that they are unable to use the general licence or that it is deficient in some way.
OFSI does not accept applications for general licences. General licences are issued by OFSI under such conditions as HM Treasury deems appropriate and will usually be considered in response to unforeseen circumstances where it has been decided that issuing a general licence will best support the Government’s policy priorities.
For example, a general licence could be used to respond to a situation where it may be necessary for persons to undertake otherwise prohibited financial activity because the UK government has introduced an unrelated financial services policy that would otherwise be hindered by sanctions law, provided that it does not contradict the policy intent of the relevant sanctions regime.
A general licence is not limited to the derogations (licensing grounds) set out in the relevant legislation (except for UN sanctions regimes, in relation to which a general licence would be limited to the derogations set out in the relevant UN resolution).
A general licence can be issued under the counter-terrorism regimes.
HM Treasury can vary, suspend or revoke general licences at any time. OFSI aims to engage with relevant stakeholders before taking such action unless revocation takes place because the activity or designated person specified in the general licence is no longer subject to sanctions. General licences may also be revoked when their permitted activities are provided for on a permanent basis by new exceptions added into the sanctions regulations. Where there is a specific and urgent need to revoke a general licence, OFSI will aim to give notice to its users by, for example, amending the licence first to include a new expiry date to give time for users to reassess their licensing needs. Applicants may wish to sign up to OFSI’s e-alerts to ensure that they are notified of any upcoming changes to general licences.
Each general licence will include any requirements for prior notification of use, record-keeping and reporting. Prior notification is a one-time administrative exercise only, whereby users provide OFSI with contact information with their first use of the general licence. Prior notification does not constitute any verification by OFSI of correct or incorrect usage of a general licence. Data collected under a general licence as a result of prior notification would be handled in accordance with applicable data protection law. In addition to these standard requirements, general licences may be subject to further requirements. These are determined on a case-by-case basis.
Requirements will be stated in each general licence. It is the responsibility of any party using a general licence to ensure the activities they undertake fall within the terms of the licence and that they comply with any conditions of the licence.
Breaching the terms of a general licence is a serious offence punishable by a maximum of:
- 7 years’ imprisonment on conviction on indictment, or a fine, or both (applying to all of the UK) - 12 months’ imprisonment in England and Wales on summary conviction (or, in relation to offences committed before section 154(1) of the Criminal Justice Act 2003 (general limit on magistrates’ court’s power to impose imprisonment) comes into force, 6 months) or a fine, or both - 12 months’ imprisonment in Scotland, or a fine, or both - 6 months’ imprisonment in Northern Ireland, or a fine, or both
Full captured verbatim text
A general licence, issued by OFSI on behalf of HM Treasury, allows multiple parties to undertake specified activities which would otherwise be prohibited by sanctions legislation, without the need for a specific licence.

Details of active general licences and accompanying guidance are available on [OFSI’s website](https://www.gov.uk/government/collections/ofsi-general-licences) and the [FAQ page](https://www.gov.uk/government/publications/uk-financial-sanctions-faqs/uk-financial-sanctions-faqs). Where a general licence is in place to permit an activity, OFSI expects that applicants will make use of this licence. A specific licence will not be issued for the same activity unless the applicant can demonstrate that they are unable to use the general licence or that it is deficient in some way.

OFSI does not accept applications for general licences. General licences are issued by OFSI under such conditions as HM Treasury deems appropriate and will usually be considered in response to unforeseen circumstances where it has been decided that issuing a general licence will best support the Government’s policy priorities.

For example, a general licence could be used to respond to a situation where it may be necessary for persons to undertake otherwise prohibited financial activity because the UK government has introduced an unrelated financial services policy that would otherwise be hindered by sanctions law, provided that it does not contradict the policy intent of the relevant sanctions regime.

A general licence is not limited to the derogations (licensing grounds) set out in the relevant legislation (except for UN sanctions regimes, in relation to which a general licence would be limited to the derogations set out in the relevant UN resolution).

A general licence can be issued under the counter-terrorism regimes.

HM Treasury can vary, suspend or revoke general licences at any time. OFSI aims to engage with relevant stakeholders before taking such action unless revocation takes place because the activity or designated person specified in the general licence is no longer subject to sanctions. General licences may also be revoked when their permitted activities are provided for on a permanent basis by new exceptions added into the sanctions regulations. Where there is a specific and urgent need to revoke a general licence, OFSI will aim to give notice to its users by, for example, amending the licence first to include a new expiry date to give time for users to reassess their licensing needs. Applicants may wish to sign up to OFSI’s e-alerts to ensure that they are notified of any upcoming changes to general licences.

Each general licence will include any requirements for prior notification of use, record-keeping and reporting. Prior notification is a one-time administrative exercise only, whereby users provide OFSI with contact information with their first use of the general licence. Prior notification does not constitute any verification by OFSI of correct or incorrect usage of a general licence. Data collected under a general licence as a result of prior notification would be handled in accordance with applicable data protection law. In addition to these standard requirements, general licences may be subject to further requirements. These are determined on a case-by-case basis.

Requirements will be stated in each general licence. It is the responsibility of any party using a general licence to ensure the activities they undertake fall within the terms of the licence and that they comply with any conditions of the licence.

Breaching the terms of a general licence is a serious offence punishable by a maximum of:

- 7 years’ imprisonment on conviction on indictment, or a fine, or both (applying to all of the UK)
- 12 months’ imprisonment in England and Wales on summary conviction (or, in relation to offences committed before section 154(1) of the Criminal Justice Act 2003 (general limit on magistrates’ court’s power to impose imprisonment) comes into force, 6 months) or a fine, or both
- 12 months’ imprisonment in Scotland, or a fine, or both
- 6 months’ imprisonment in Northern Ireland, or a fine, or both

What this provision means

Model summary, checked against the text on the left.

Relevance to Signicat: 2/3 · detailed summary (L4) Status: ok · Stored artifact; current recipe verification unavailable

General licences authorise specified activities across multiple parties subject to prior notification, reporting, and record-keeping duties.

Each general licence will include any requirements for prior notification of use, record-keeping and reporting. Prior notification is a one-time administrative exercise only, whereby users provide OFSI with contact information with their first use of the general licence. Prior notification does not constitute any verification by OFSI of correct or incorrect usage of a general licence. Data collected under a general licence as a result of prior notification would be handled in accordance with applicable data protection law. In addition to these standard requirements, general licences may be subject to further requirements. These are determined on a case-by-case basis.
- 7 years’ imprisonment on conviction on indictment, or a fine, or both (applying to all of the UK) - 12 months’ imprisonment in England and Wales on summary conviction (or, in relation to offences committed before section 154(1) of the Criminal Justice Act 2003 (general limit on magistrates’ court’s power to impose imprisonment) comes into force, 6 months) or a fine, or both - 12 months’ imprisonment in Scotland, or a fine, or both - 6 months’ imprisonment in Northern Ireland, or a fine, or both
General licences issued by OFSI allow multiple parties to undertake specified prohibited activities without a specific licence. General licences may include mandatory requirements for prior notification of use, record-keeping, and reporting. Users are responsible for verifying compliance with licence conditions. Breaching general licence terms is punishable by up to 7 years' imprisonment on conviction on indictment, or a fine, or both across the UK, or summary imprisonment terms of 12 months in England, Wales, and Scotland, or 6 months in Northern Ireland.
screening.pep_sanctions_adverse_mediaretention.archiveevidence.audit_trail

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Part summaries

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L1 unavailable for current verification: the overall summary needs every part verified. Provisions and the verified summaries remain readable.

Verification findings (126)

synthesis coverage: missing/unverified L2 main

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#financial-sanctions-general-guidance-chunk-1

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-chunk-1

synthesis coverage: missing/unverified L2 1-overview-of-financial-sanctions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-1-overview-of-financial-sanctions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-1-overview-of-financial-sanctions-1-1-why-do-we-have-financial-sanctions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-1-overview-of-financial-sanctions-1-2-who-is-involved-in-creating-and-implementing-sanctions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-1-overview-of-financial-sanctions-uk-government-departments-and-agencies-involved-in-sanctions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-1-overview-of-financial-sanctions-1-3-types-of-financial-sanctions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-1-overview-of-financial-sanctions-1-4-who-needs-to-comply-with-financial-sanctions

synthesis coverage: missing/unverified L2 2-who-is-subject-to-financial-sanctions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-2-who-is-subject-to-financial-sanctions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-2-who-is-subject-to-financial-sanctions-the-uk-sanctions-list-https-www-gov-uk-government-publications-the-uk-sanctions-list

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-2-who-is-subject-to-financial-sanctions-list-of-persons-named-in-relation-to-financial-and-investment-restrictions-under-the-russia-sanctions-regime-https-www-gov-uk-guidance-russia-list-of-persons-named-in-relation-to-financial-and-investment-restrictions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-2-who-is-subject-to-financial-sanctions-2-2-using-the-uk-sanctions-list

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-2-who-is-subject-to-financial-sanctions-examples-of-name-and-target-matches

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-2-who-is-subject-to-financial-sanctions-2-2-1-getting-updates

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-2-who-is-subject-to-financial-sanctions-2-2-2-proscription-under-the-terrorism-act-2000

synthesis coverage: missing/unverified L2 3-what-financial-sanctions-restrict

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-asset-freezes

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-1-what-they-do

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-2-what-you-must-do

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-3-asset-freezing-terminology

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-3-asset-freezing-terminology-funds

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-3-asset-freezing-terminology-economic-resources

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-3-asset-freezing-terminology-goods

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-3-asset-freezing-terminology-cryptoassets

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-3-asset-freezing-terminology-dealing-with-funds

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-3-asset-freezing-terminology-dealing-with-economic-resources

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-1-3-asset-freezing-terminology-making-available-funds-or-economic-resources

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-3-2-other-financial-restrictions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-3-what-financial-sanctions-restrict-financial-assistance-financial-services-and-processing-payments

synthesis coverage: missing/unverified L2 4-ownership-and-control

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-4-ownership-and-control

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-4-ownership-and-control-4-1-ownership-and-control

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-4-ownership-and-control-example-ownership-and-control-relating-to-entities

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-4-ownership-and-control-example-ownership-and-control-relating-to-individuals

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-4-ownership-and-control-4-1-2-minority-interests

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-4-ownership-and-control-4-1-3-joint-interests

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-4-ownership-and-control-4-1-4-aggregation

synthesis coverage: missing/unverified L2 5-reporting-to-ofsi

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-1-uk-financial-sanctions-regimes-made-under-the-sanctions-act

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-1-1-reporting-obligations-for-relevant-firms

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-1-2-relevant-firm

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-1-3-relevant-institutions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-1-4-reporting-obligations-for-required-payments

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-1-5-additional-reporting-obligations-russia-regime

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-2-uk-financial-sanctions-regimes-under-the-anti-terrorism-crime-and-security-act-2001-atcsa-2001

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-examples-of-information-to-be-reported

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-3-how-to-report

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-4-legal-professional-privilege

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-5-reporting-offences

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-6-ofsi-s-powers-to-require-information-from-you

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-7-ofsi-s-power-to-authorise-the-disclosure-of-information

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-8-annual-frozen-assets-review

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-9-other-reporting-obligations

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-10-onward-disclosure

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-11-additional-reporting-obligations-for-designated-persons-under-the-russia-and-belarus-regimes

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-5-reporting-to-ofsi-5-12-confidential-reporting-to-ofsi

synthesis coverage: missing/unverified L2 6-exceptions-and-licensing

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-1-crediting-frozen-accounts

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-2-independent-person-holding-legal-or-equitable-interest-in-frozen-funds-or-economic-resources

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-3-ring-fencing

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-4-required-payments

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-5-licensing-overview

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-6-licensing-grounds-uk-regimes

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-ofsi-s-approach-to-licensing-grounds

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-7-further-details

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-7-1-legal-advice

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-7-2-court-fees

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-7-3-investments

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-8-licensing-grounds-other-domestic-regimes

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-9-general-licences

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-counter-terrorism-general-licences

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-10-applying-for-a-specific-licence

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-10-1-submitting-an-application

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-tips-for-applicants

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-10-2-specificity-in-licensing

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-10-3-counter-terrorism-regimes

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-11-licensing-timeframes

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-11-1-urgent-and-humanitarian-cases

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-11-2-notification-and-approvals

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-12-amending-licences

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-13-refusal-of-a-licence

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-14-other-jurisdictions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-15-complying-with-a-licence

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-16-reporting-conditions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-17-existing-licences-issued-under-previous-regimes

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-18-travel-to-the-uk

synthesis coverage: missing/unverified L2 6-exceptions-and-licensing

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-19-directions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-20-export-licences

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception-sanctions-regimes-covered-by-the-exception

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception-hm-treasury-debt-covered-by-the-exception

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception-how-to-use-the-exception

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception-1-for-payments-to-a-un-dp

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception-2-for-payments-to-a-person-who-is-not-a-un-dp-where-the-effect-of-the-transfer-is-to-make-funds-available-to-or-for-the-benefit-of-a-un-dp

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception-types-of-account-covered-by-the-exception

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception-corresponding-jurisdictions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception-definition-of-prior-obligation

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception-reasonable-steps-regarding-a-prior-obligation-and-payment-into-a-specified-account

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-6-exceptions-and-licensing-6-21-hm-treasury-debt-exception-persons-who-are-not-required-to-use-the-exception

synthesis coverage: missing/unverified L2 7-compliance-and-enforcement

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement-7-1-ofsi-s-approach-to-compliance

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement-our-compliance-and-enforcement-model

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement-7-2-reporting-a-suspected-breach-of-financial-sanctions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement-7-3-penalties-for-breaches-of-financial-sanctions

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement-7-3-1-custodial-sentences

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement-7-3-2-deferred-prosecution-agreements-dpas

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement-7-3-3-serious-crime-prevention-orders-scpos

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement-7-3-4-monetary-penalties

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement-7-3-5-monetary-penalties-for-breaches-of-reporting-obligations-for-designated-persons-under-the-russia-or-belarus-regimes

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-7-compliance-and-enforcement-7-3-6-monetary-penalties-for-breaches-of-land-related-prohibitions-in-the-russia-regime

synthesis coverage: missing/unverified L2 8-challenging-designations

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-8-challenging-designations

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-8-challenging-designations-8-1-un-listings

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-8-challenging-designations-8-2-uk-listings

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-8-challenging-designations-8-3-submitting-a-request

synthesis coverage: missing/unverified L2 9-glossary

synthesis coverage: missing evaluation uk:govuk/ofsi-financial-sanctions-guidance#uk-financial-sanctions-general-guidance-9-glossary

Instrument tier unavailable

Change history as published

Section 6.21 amended. · 2026-05-12T09:26:45Z

Updated to reflect the closure of the OFSI Consolidated List on 28 January 2026. The UK Sanctions List is now the only source for all UK sanctions designations. · 2026-01-28T12:39:26Z

Divest investors definition amended. · 2025-11-18T09:39:36Z

Section 6.21 (HM Treasury debt exception) amended to clarify that the reference in the exception to an obligation owed by HM Treasury to a UN DP should also include an obligation owed by any other person to the UN DP in respect of HM Treasury debt. · 2025-09-22T13:53:24Z

Designated Money Service Businesses added to section 6.6. · 2025-07-24T09:36:55Z

Online form link added for sections 5.1.3, 5.3, 6.12 · 2025-07-18T10:11:47Z

Section 6.21 added · 2025-07-09T17:01:31Z

Addition to General guidance - section 5.12 - Confidential Reporting to OFSI · 2025-06-27T08:25:23Z

Link added for signing up to the new joint UK sanctions email alert service, provided by the Foreign, Commonwealth & Development Office (FCDO), the Office of Financial Sanctions Implementation (OFSI) and the Office of Trade Sanctions Implementation (OTSI). · 2025-03-18T15:00:07Z

Section 1.2 table updated to include OTSI. · 2024-12-19T10:56:32Z

Section 6.9 General licences updated · 2024-11-18T13:06:24Z

UK financial sanctions general guidance updated · 2024-11-14T16:53:54Z

Guidance amended to include reference for inclusion of designated persons subject to the reporting requirements in Regulation 38A of the Belarus Regulations and monetary penalties for breaches of reporting obligations. · 2024-05-16T14:30:33Z

A correction has been made in relation to section 4.1 Ownership and control. Specifically, text in the second example has been corrected to reflect the exercise of control between Person A and Person B. · 2024-05-15T09:12:13Z

Definitions for extraordinary situations and extraordinary expenses in OFSI’s approach to licensing grounds section amended. · 2024-05-13T15:07:09Z

First published. · 2024-02-13T00:00:00Z

Pending effects amendments not yet applied to this text

No captured pending effects.

Provenance

Every claim the system makes about this text is traceable to these identifiers.

Instrument
uk:govuk/ofsi-financial-sanctions-guidance
Part
6. Exceptions and licensing
Version
237875741e7fa343f40b05ea…
Content hash
sha256 ae2851e0832e005e426f322b…
Source
gov.uk/government/publications/financial-sanctions-general-guidance