
TITLE I
CHAPTER 1
Article 1 
This Regulation lays down requirements concerning the Registry.

Article 2 
This Regulation applies to Kyoto units.

Article 3 

(1.) Unless otherwise indicated, terms used in this Regulation have the same meaning as under Directive 2003/87/EC and relevant international climate law.
(2.) In addition, in this Regulation—
(a) “account holder” means a person that holds an account in the Registry;
(b) “allowances” means allowances created pursuant to Directive 2003/87/EC;
(c) “assigned amount units” (“AAUs”) means—
(i) units issued before IP completion day pursuant to Article 7(3) of Decision No 280/2004/EC; or
(ii) units corresponding to the United Kingdom’s emission levels determined pursuant to the Kyoto Protocol and issued on or after IP completion day;
(d) “cancellation” means the definitive disposal of a Kyoto unit by its holder;
(e) “designated national authority” means an entity that gives approval of an Article 6 project activity required by Article 6(1)(a) of the Kyoto Protocol or of voluntary participation in an Article 12 project activity required by Article 12(5)(a) of the Kyoto Protocol;
(f) “directors” means the persons effectively directing the day-to-day operations of a legal person;
(g) “the Kyoto Protocol” means the protocol to the UNFCCC signed at Kyoto on 11th December 1997;
(h) “Kyoto units” means AAUs, emission reduction units (“ERUs”), certified emission reductions (“CERs”), RMUs, lCERs and tCERs;
(i) “long-term certified emission reductions” (“lCERs”) means units issued for an afforestation or reforestation project activity under the clean development mechanism (“CDM”) which, subject to Decision 5/CMP.1 of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol, expire at the end of the emission reduction crediting period of the afforestation or reforestation project activity under the CDM for which they were issued;
(j) “money laundering” has the meaning given by section 340(11) of the Proceeds of Crime Act 2002;
(k) “the national administrator” means the Environment Agency;
(l) “out of band confirmation” means a communication from the national administrator to an account holder or authorised representative for the purpose of ensuring compliance with UNFCCC security requirements;
(m) “process” means an automated technical means to carry out an action relating to an account or a unit in the Registry;
(n) “the Registry” means the registry administered on behalf of the United Kingdom for the purposes of its obligations as a party to the Kyoto Protocol;
(o) “relevant international climate law” means—
(i) the UNFCCC;
(ii) the Kyoto Protocol; and
(iii) the decisions adopted pursuant to the UNFCCC or the Kyoto Protocol, as adopted and amended from time to time;
(p) “removal units” (“RMUs”) means units issued pursuant to the relevant provisions in the annex to Decision 13/CMP.1 of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol;
(q) “second commitment period” means the period from 1st January 2013 to 31st December 2020 during which a party to the Kyoto Protocol shall limit their greenhouse gas emissions;
(r) “serious crime” means an offence listed in Part 1 (England & Wales), Part 1A (Scotland) or Part 2 (Northern Ireland) of Schedule 1 to the Serious Crime Act 2007;
(s) “temporary certified emission reductions” (“tCERs”) means units issued for an afforestation or reforestation project activity under the CDM which, subject to Decision 5/CMP.1 of the Conference of the Parties serving as the meeting of the Parties to the Kyoto Protocol, expire at the end of the Kyoto Protocol commitment period following the one during which they were issued;
(t) “terrorist financing” has the meaning given by regulation 3 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017;
(u) “transaction” means a process in the Registry that includes the transfer of a Kyoto unit from one account to another account;
(v) “the UNFCCC” means the United Nations Framework Convention on Climate Change signed at New York on 9th May 1992;
(w) “working day” means any day other than—
(i) Saturday, Sunday, Good Friday, or Christmas Day; or
(ii) a day which is a bank holiday under the Banking and Financial Dealings Act1971.
CHAPTER 2
Article 4 
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Article 5 
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Article 6 
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Article 7 
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Article 8 
The national administrator must administer the Registry in accordance with this Regulation and relevant international climate law.
CHAPTER 3
Section 1
Article 9 

1. The Secretary of State must ensure that the Registry contains accounts as required by relevant international climate law.
2. Each account type may hold the unit types permitted by relevant international climate law.
Article 10 

1. Accounts shall be in one of the following status: open ... or closed.
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3. No processes may be initiated from closed accounts. A closed account may not be re-opened, and may not acquire units.
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Article 11 

1. The national administrator must administer every account on behalf of the Secretary of State
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3. The  national administrator must  open, suspend, limit access to, or close an account ..., approve authorised representatives, permit changes to account details that require the approval of the  national administrator... in accordance with the provisions of this Regulation.
4. The  national administrator  may require the account holders and its representatives to agree to comply with reasonable terms and conditions consistent with this Regulation having regard to the issues set out in Annex II.
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Article 12 
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Section 2
Article 13 

1. At the request of the Secretary of State, the national administrator must open a party holding account for each year of the second commitment period within the period of 28 days beginning with the day after that on which the national administrator receives the information set out in Annex 3 from the Secretary of State
2. The national administrator must act as the authorised representative of the account, unless the Secretary of State nominates another person.
3. The Secretary of State must provide the national administrator with the information set out in Table 8-1 of Annex 8 for each authorised representative of a party holding account.
Article 14 
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Article 15 
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Article 16 
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Article 17 
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Article 18 

1. A request for opening a person holding account ...  must  be submitted to the national administrator by the prospective account holder. The prospective account holder  must  provide information as required by the national administrator, which  must  include, at a minimum, the information set out in Annex IV.
2. The  Secretary of State may  require as a condition for opening a person holding ... account that the prospective account holders have their permanent residence or registration in the  United Kingdom.
3. The  Secretary of State may  require as a condition for opening a person holding ... account that prospective account holders are registered for value added tax (VAT) in the  United Kingdom.
4. Within 20 working days of the receipt of a complete set of information in accordance with paragraph 1 of this Article and Article 24, the national administrator  must  open a person holding account ... in the ... Registry or inform the prospective account holder of the refusal to open the account, pursuant to Article 22.
Article 19 
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Article 20 
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Article 21 
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Article 22 

1. The national administrator  must  verify whether the information and documents provided for account opening are complete, up-to-date, accurate and true.
2. The national  administrator may refuse to open an account:
(a) if the information and documents provided are incomplete, out-of-date or otherwise inaccurate or false;
(b) if the prospective account holder, or, if it is a legal person, any of the directors of the prospective account holder, is under investigation or has been convicted in the preceding five years for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes for which the account may be an instrument;
(c) if the national administrator has reasonable grounds to believe that the accounts may be used for fraud involving ... Kyoto units, money laundering, terrorist financing or other serious crimes;
(d) if the national administrator is not satisfied that the proposed account holder is a fit and proper person to hold such an account.
3. If the national administrator refuses to open an account, the person requesting the account opening may appeal against the decision in accordance with Article 110c.
Article 23 

1. Each account must have at least two authorised representatives. The authorised representatives may initiate transactions and other processes on behalf of the account holder.
2. In addition to the authorised representatives specified in paragraph 1, accounts may also have authorised representatives with “view only” access to the account.
3. The approval of an authorised representative is required in order to initiate a transaction.
4. The data exchange and technical specifications may set a maximum number of authorised representatives for each account type.
5. Authorised representatives must be natural persons over 18 years of age. All authorised representatives of a single account must be different persons but the same person can be an authorised representative on more than one account. The Secretary of State may require that at least one of the authorised representatives of an account is a permanent resident in the United Kingdom.
Article 24 

1. When requesting the opening of an account, the prospective account holder  must  nominate a number of authorised representatives ... in accordance with Article 23.
2. When nominating an authorised representative ..., the account holder  must  provide information as required by the  national administrator. That information  must  include, at a minimum, the information set out in Annex VIII.
3. Within 20 working days of the receipt of a complete set of information required in accordance with paragraph 2, the national administrator  must  approve an authorised representative ..., or inform the account holder of its refusal. Where evaluation of the nominee information requires more time, the  national administrator may  extend the evaluation process by up to 20 additional working days, and notify the extension to the account holder.
4. The national administrator  must  verify whether the information and documents provided for nominating an authorised representative ... are complete, up-to-date, accurate and true.
5. A national administrator may refuse to approve an authorised representative ...:
(a) if the information and documents provided are incomplete, out-of-date or otherwise inaccurate or false;
(b) if the prospective representative is under investigation or has been convicted in the preceding five years for fraud involving allowances or Kyoto units, money laundering, terrorist financing or other serious crimes for which the account may be an instrument;
(c) if the national administrator is not satisfied that the proposed authorised representative is a fit and proper person to act as an authorised representative.
6. If the national administrator refuses to approve an authorised representative, the account holder may appeal against the decision in accordance with Article 110c.
Article 25 

1. All account holders  must  notify the national administrator within 10 working days of changes to the information submitted for the opening of an account. In addition, account holders  must  confirm to the national administrator by 31 December each year that the information for their account remains complete, up-to-date, accurate and true.
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3. The notification of change  must  be supported by information as required by the national administrator in conformity with this Section. Within 15 working days of the receipt of such a notification and supporting information, the  national administratormustdetermine whether to approve the update of the information.  The national administrator  may refuse to update the information in accordance with Article 24(4) and (5). The account holder  must  be notified of any such refusal.  If the national administrator refuses to update the information, the account holder may appeal against the decision in accordance with Article 110c.
4. At least once every three years, the national administrator  must  review whether the information submitted for the opening of an account remains complete, up-to-date, accurate and true, and  must  request that the account holder notify any changes as appropriate.
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6. No  account holder may sell or divest of the ownership of its account to another person.
7. An authorised representative ... may not transfer its status as such to another person.
8. An account holder may request the removal of an authorised representative from an account. Upon receipt of the request the national administrator  must  suspend the access of the authorised representative .... Within 10 working days of the receipt of the request, the  national administratormust  remove the authorised representative.
9. An account holder may nominate new authorised representatives ... in accordance with Article 24.
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Article 26 

1. Person holding accounts may have a trusted account list in the Registry
2. Accounts held by the same account holder shall be automatically included on the trusted account list.
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Section 3
Article 27 
Subject to Article 32(1), within 10 working days of the receipt of a request from the account holder ... the  national administrator must  close the account.
Article 28 
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Article 29 
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Article 30 
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Article 31 
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Article 32 

1. If there is a positive balance of ... Kyoto units on an account which  the national administrator  is to close in accordance with  Article 27,  the national administratormust  request the account holder to specify another account to which such ... Kyoto units shall be transferred. If the account holder has not responded to  the national administrator’s  request within 40 working days,  the national administratormust  transfer the ... Kyoto units to  a party holding account.
2. If there is a positive balance of ... Kyoto units on an account to which access was suspended in accordance with Article 34, the  Secretary of State  may require that the ... Kyoto units are transferred immediately to  a party holding account.
Article 33 

1. If the situation giving rise to the suspension of access to accounts pursuant to Article 34 is not resolved within a reasonable period despite repeated notifications, the  Secretary of State  may instruct the national administrator to close ... those accounts for which access is suspended until the  Secretary of State  determines that the situation giving rise to the suspension no longer subsists.
2. If a person holding account ... has a zero balance and no transactions have been recorded for a period of one year, the national administrator may notify the account holder that the person holding account ... will be closed within 40 working days unless the national administrator receives a request that the account be maintained. If the national administrator does not receive any such request from the account holder, the national administrator may close the account.
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4. The national administrator may remove an authorised representative ... if it considers that the approval of the authorised representative ... should have been refused in accordance with Article 24(3), and in particular if it discovers that the documents and identification information provided upon nomination were incomplete, out-of-date or otherwise inaccurate or false.
5. In accordance with Article 110c, the account holder may appeal against—
(a) a decision to close an account under paragraph 1 within the period of 30 days beginning with the day on which the account is closed; or
(b) a decision to remove an authorised representative under paragraph 4 within the period of 30 days beginning with the day on which the authorised representative is removed.
Section 4
Article 34 

1. The national administrator  may suspend the access of an authorised representative ... to any account in the  Registry  or to processes to which that authorised representative would otherwise have access if  the national administrator  has reasonable grounds to believe that the authorised representative has:
(a) attempted to access accounts or processes for which he is not authorised;
(b) repeatedly attempted to access an account or a process using an incorrect username and password; or
(c) attempted to compromise the security, the availability, the integrity or the confidentiality of  the Registry, or of the data handled or stored therein.
2. The national administrator  may suspend the access of all authorised representatives ... of a specific account where one of the following conditions is fulfilled:
(a) the account holder died without a legal successor or ceased to exist as a legal person;
(b) the account holder did not pay fees;
(c) the account holder violated the terms and conditions applicable to the account;
(d) the account holder did not agree to changes in the terms and conditions set by the national administrator ...;
(e) the account holder did not notify changes to account information or provide evidence concerning the changes to account information, or evidence concerning new account information requirements;
(f) the account holder failed to maintain the required minimum number of authorised representatives for the account;
(g) the account holder failed to maintain compliance with the ... requirement to have an authorised representative with a permanent residence in the  United Kingdom;
(h) the account holder failed to maintain compliance with the ... requirement that the account holder have a permanent residence or registration in the  United Kingdom.
3. The national administrator  may suspend the access of all authorised representatives ... to a specific account and the possibility to initiate processes from that account:
(a) for a maximum period of four weeks if the  national administrator  has reasonable grounds to believe that the account was used or will be used for fraud, money laundering, terrorist financing, corruption or other serious  crimes.
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4. The national administrator may suspend access to an account if it considers that the opening of the account should have been refused in accordance with Article 22 or that the account holder no longer meets the requirements for the opening of the account.
5. The  national administrator must  reverse the suspension immediately once the situation giving rise to the suspension is resolved.
6. In accordance with Article 110c, the account holder may appeal against a decision to suspend access under paragraph 1 or 3 within the period of 30 days beginning with the day on which access is suspended
7. The  Secretary of State  may also instruct the national administrator ... to implement a suspension for one of the grounds set in paragraphs 1, 2, 3 and 4.
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TITLE II
CHAPTER 1
Article 35 
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Article 36 
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Article 37 
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CHAPTER 2
Section 1
Article 38 
Only transactions expressly provided for in this Regulation for each account type shall be initiated by that account type.
Article 39 

1. For all transactions specified in this Chapter, an out of band confirmation must be required by the Registry before the transaction can be initiated. A transaction may only be initiated where an authorised representative has confirmed the transaction out of band.
2. If an account representative suspects that a transfer was initiated fraudulently, the account representative may request the national administrator to cancel the transfer on behalf of the account representative before the transfer is communicated for finalisation.
Article 40 

1. The record of the Registry constitutes sufficient evidence of title over a Kyoto unit and of any other matter which is by this Regulation directed or authorised to be recorded in the Registry.
2. Any recovery or restitution obligations that may arise under United Kingdom law in respect of a Kyoto unit only apply to the Kyoto unit in kind.
3. Subject to this paragraph, a transaction is final and irrevocable upon its finalisation pursuant to Article 104. Except where a transaction may be reversed in accordance with relevant international climate law, and without prejudice to any provision of or remedy under United Kingdom law that may result in a requirement or order to execute a new transaction in the Registry, the national administrator may not reverse or revoke any transaction that has become final and irrevocable under this Regulation.
4. A purchaser and holder of a Kyoto unit acting in good faith acquires title to that Kyoto unit free of any defects in the title of the transferor.
Section 2
Article 41 
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Section 3
Article 42 
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Article 43 
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Article 44 
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Article 45 
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Article 46 
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Article 47 
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Article 48 
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Article 49 
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Article 50 
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Section 4
Article 51 
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Article 52 
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Article 53 
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Section 5
Article 54 
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Article 55 
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Article 56 
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Article 57 
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Section 6
Article 58 
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Article 59 
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Article 60 
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Article 61 
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Section 7
Article 62 
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Article 63 
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Article 64 
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Section 8
Article 65 
The Secretary of State must ensure that the Registry provides for the carrying out of any request from an account holder to transfer Kyoto units to any other account, unless such a transfer is prevented by the status of the initiating or receiving account.
Article 66 
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Section 9
Article 67 
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Section 10
Article 68 
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Article 69 
The Secretary of State must ensure that the Registry provides for the carrying out of any request from an account holder to cancel Kyoto units held in its accounts by transferring a specified type and number of Kyoto units from the relevant account into the cancellation account of the Registry.
Section 11
Article 70 
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CHAPTER 3
Article 71 
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TITLE 3
Article 72 
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Article 73 
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Article 73a 
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Article 73b 
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Article 73c 
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Article 73d 
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Article 73e 
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Article 73f 
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Article 73g 
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Article 73h 
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TITLE 4
Article 74 
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Article 75 
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Article 76 
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Article 77 
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Article 78 
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Article 79 
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Article 80 
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Article 81 
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Article 82 
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Article 83 
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Article 84 
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Article 85 
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Article 86 
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Article 87 
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Article 88 
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Article 89 
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Article 90 
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TITLE V
CHAPTER 1
Section 1
Article 91 
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Article 92 
The national administrator must provide assistance and support to account holders and account representatives in relation to the Registry through a helpdesk.
Section 2
Article 93 
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Article 94 
If the security of the credentials of an authorised representative has been compromised, the authorised representative must inform the national administrator, who may suspend access to the relevant account.
Article 95 
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Article 96 

1. The  Secretary of State  may ... suspend access to the  Registry  or any part thereof where  the Secretary of State  has a reasonable suspicion that there is a breach of security of the  Registry  or that there exists a serious security risk to the  Registry  that threatens the integrity of the system ....
2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3. If  the national administrator  becomes aware of a situation that requires the suspension of all access to the accounts that it manages in accordance with this Regulation, it  must  inform ... account holders with such prior notice of the suspension as is practicable. ...
4. The notice referred to in paragraph 3  must  include the likely duration of the suspension and  must  be clearly displayed on the public area of the  Registry’s  web site.
Article 97 
The national administrator, acting on request of the Secretary of State, may suspend access to Kyoto units in the Registry for a maximum period of four weeks if it suspects that the Kyoto units have been the subject of a transaction constituting fraud, money laundering, terrorist financing, corruption or other serious crime.
Article 98 
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Article 99 
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Article 99a 
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Section 3
Article 100 
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Article 101 
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Article 102 
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Article 103 
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Article 104 

1. All transactions communicated to the ITL ... shall be final when the ITL notifies the  Registry  that it has completed the process.
2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Section 4
Article 105 
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Article 106 
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CHAPTER 2
Article 107 

1. The  Secretary of State and national administrator must  ensure that the  Registry only stores and processes  the information concerning the accounts, account holders and account representatives as set out in Table III-I of Annex III ... and Table VIII-I of Annex VIII.
2. The Secretary of State and the national administrator must ensure that no special categories of personal data (within the meaning given in Article 9(1) of Regulation (EU) 2016/679, as amended from time to time) are recorded in the Registry.
3. The  Secretary of State and national administrator must  ensure that only personal data related to transactions that transfer Kyoto units are transferred to the ITL.
Article 108 
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Article 109 
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Article 110 

1. Information held in the Registry, including the holding of accounts, all transactions made, the unique unit identification code of the allowances and the unique numeric value of the unit serial number of the Kyoto units held or affected by a transaction, must be considered confidential except as otherwise required by domestic or international law, including relevant international climate law.
2. The national administrator may provide information held in the Registry to the following entities—
(a) a designated national authority;
(b) the European Anti-fraud Office of the European Commission;
(c) law enforcement authorities, tax authorities or insolvency services in the United Kingdom;
(d) international law enforcement authorities, tax authorities or insolvency services;
(e) the UNFCCC;
(f) the administrator of a registry connected to the UNFCCC International Transaction Log.
3. Information may be provided to the entities referred to in paragraph 2 upon their request to the national administrator if such requests are justified and necessary for the purposes of investigation, detection, prosecution, tax administration or enforcement, auditing and financial supervision of fraud involving Kyoto units, or of money laundering, terrorism financing, other serious crime, or a market manipulation offence for which the accounts in the Registry may be an instrument.
4. An entity receiving information in accordance with paragraph 3 must ensure that the information received is only used for the purposes stated in the request in accordance with paragraph 3 and is not made available deliberately or accidentally to persons not involved in the intended purpose of the information use. This provision does not preclude these entities from making the information available to other entities listed in paragraph 2, if this is necessary for the purposes stated in the request made in accordance with paragraph 3.
5. Upon their request, the national administrator may provide access to transaction information which does not allow the direct identification of specific persons to the entities referred to in paragraph 2 for the purpose of looking for suspicious transaction patterns. Entities with such access may notify suspicious transaction patterns to other entities listed in paragraph 2.
6. The national administrator may decide to notify to law enforcement and tax authorities all transactions that involve a number of units above the number determined by the national administrator and to notify any account that is involved in a number of transactions within a period that is above a number determined by the national administrator.
7. The national administrator may not require account holders to submit price information concerning Kyoto units.
8. In this Article, “a market manipulation offence” means an offence under Part 7 of the Financial Services Act 2012.
Article 110a 

(1.) For the purpose mentioned in paragraph 4, the national administrator or the Secretary of State (a “relevant body”) may, by notice, require a person (“P”) to furnish the relevant body with such information as is specified in the notice.
(2.) A notice under this paragraph must specify—
(a) the form in which information is to be provided;
(b) the period within which, or time at which, the information must be provided.
(3.) The information which P may be required to furnish by a notice under paragraph 1 includes information, which, although it is not in P’s possession or would not otherwise come into P’s possession, is information which it is reasonable to require P to compile for the purpose of complying with the notice.
(4.) The purpose referred to in paragraph 1 is the performance of the relevant body’s functions.
(5.) A relevant body must not disclose or publish any information it has received under paragraph 1 except where—
(a) disclosure or publication is—
(i) required by this Regulation or otherwise by law;
(ii) necessary for the performance of the relevant body’s functions; or
(iii) made with the consent of the person by or on behalf of whom the information was provided; or
(b) disclosure is between the relevant bodies.
(6.) The Secretary of State may use any information held or obtained for the purposes of this Regulation, and may share such information with other government bodies, for the purpose of preparing and publishing national energy and emissions statistics, including the preparation and publication of a national inventory.
(7.) In this Article—
(a) “national inventory” means the estimation, under Article 4(1)(a) of the UNFCCC, of anthropogenic emissions of greenhouse gases by sources and removals of all greenhouse gases by sinks not controlled by the Montreal Protocol;
(b) “functions” means functions—
(i) under this Regulation; or
(ii) related to compliance with relevant international climate law.
Article 110b 

(1.) Subject to paragraph 2, a person who is aggrieved by a notice served on them under Article 110a(1) may appeal against the notice to the First-tier Tribunal.
(2.) An appeal under paragraph 1 may not be made to the extent that the notice implements a direction given by—
(a) the Secretary of State under section 40 of the Environment Act 1995;
(b) the First-tier Tribunal under this Regulation.
(3.) The bringing of an appeal under paragraph 1 suspends the effect of the notice pending the final determination or withdrawal of the appeal.
(4.) Subject to paragraph 5, in determining an appeal under paragraph 1, the First-tier Tribunal may—
(a) affirm the notice;
(b) quash the notice; or
(c) vary any of the terms of the notice.
(5.) The First-tier Tribunal may not make a determination that would result in a notice which could not otherwise have been made under this Regulation.
Article 110c 

(1.) This Article applies to an appeal against a decision under Article 22(3), 24(6), 25(3), 33(5) or 34(6)
(2.) An appeal may be made to the First-tier Tribunal.
(3.) The bringing of an appeal does not suspend the effect of the decision pending the final determination or withdrawal of the appeal.
(4.) Subject to paragraph 5, in determining an appeal, the First-tier Tribunal may give directions to the national administrator as to the exercise of its functions under this Regulation.
(5.) The First-tier Tribunal may not make a determination that would result in a decision which could not otherwise have been made under this Regulation.
Article 110d 

(1.) The Secretary of State may issue guidance to the national administrator with respect to the carrying out of any of its functions—
(a) under this Regulation; or
(b) related to compliance with relevant international climate law.
(2.) The national administrator must have regard to any guidance issued under paragraph 1.
Article 110e 
Annex 8a (notices) has effect.
Article 111 
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Article 112 
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TITLE IV
Article 113 
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Article 114 
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Article 115 
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Article 116 
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Article 117 
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Article 118 
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This Regulation shall be binding in its entirety and directly applicable in all Member States.
ANNEX I

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ANNEX II 1. The terms and conditions regarding any registry fees for establishing and maintaining accounts.
 2. Modification of the core terms to reflect changes to this Regulation or changes to domestic legislation.
 3. Provisions relating to disputes between account holders and choice of court for national administrator.
 4. The limitation of liability for the national administrator.
 5. The limitation of liability for the account holder.

ANNEX III
1. 

Table III-I
Account details for all accounts
 A B C D E ...
Item No. Account detail item Mandatory or Optional? Type Can be updated? Update requires the approval of the  national administrator? ...
1 Account ID (given by ... Registry) M Preset No n.a. . . .
2 Account type M Choice No n.a. . . .
3 Commitment period M Choice No n.a. . . .
4 Account holder ID (given by ... Registry) M Free Yes Yes . . .
5 Account holder name M Free Yes Yes . . .
6 Account identifier (given by account holder) M Free Yes No . . .
7 Account holder's address – country M Choice Yes Yes . . .
8 Account holder's address - region or state O Free Yes Yes . . .
9 Account holder's address – city M Free Yes Yes . . .
10 Account holder's address – postcode M Free Yes Yes . . .
11 Account holder's address – line 1 M Free Yes Yes . . .
12 Account holder's address – line 2 O Free Yes Yes . . .
13 Account holder's company registration number M Free Yes Yes . . .
14 Account holder's telephone 1 M Free Yes No . . .
15 Account holder's telephone 2 M Free Yes No . . .
16 Account holder's email address M Free Yes No . . .
17 Date of birth (for natural persons) M for natural persons Free No n.a. . . .
18 Place of birth – city (for natural persons) M for natural persons Free No n.a. . . .
19 Place of birth - country O Free No n.a. . . .
20 Type of document supporting identity (for natural persons) M Choice Yes Yes . . .
21 Identity document number (for natural persons) M Free Yes Yes . . .
22 Identity document expiry date O Free Yes Yes . . .
23 VAT registration number with country code M where assigned Free Yes Yes . . .
24 Account opening date M Preset No n.a. . . .
25 Account closing date O Preset Yes Yes . . .
2. The account identifier shall be unique within the registry system.

ANNEX IV
1. The information set out in Table III-I of Annex III. (The account ID and the alphanumeric identifier are unique within the registry system.)

2. Proof that the person requesting the account opening has an open bank account in a Member State of the European Economic Area or the United Kingdom.

3. 

((a)) an identity card issued by a State that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development;
((b)) a passport.

4. 

((a)) the identity document submitted under point 3, if it contains the address of the permanent residence;
((b)) any other government-issued identity document that contains the address of permanent residence;
((c)) if the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee's permanent residence;
((d)) any other document that is customarily accepted in the  United Kingdom  as evidence of the permanent residence of the nominee.

5. 

((a)) a copy of the instruments establishing the legal entity and a copy of a document proving the registration of the legal entity;
((b)) bank account details;
((c)) a confirmation of VAT registration;
((d)) information on the legal entity's beneficial owner as defined in  regulation 3 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017  including the type of ownership or control they are exercising;
((e)) list of directors;
((f)) a copy of the annual report or of the latest audited financial statements, or if no audited financial statements available, a copy of the financial statements stamped by the tax office or the financial director.

6. Evidence to support the registered address of the legal person account holder, if this is not clear from the document submitted in accordance with point 5.

7. Any criminal  record of the natural person requesting the account opening or if it is a legal person, of its directors.

8. Any copy of a document submitted as evidence under this annex must be certified as a true copy by a notary public or other similar person specified by the national administrator. Regarding documents issued outside the  United Kingdom, the copy must be legalised. The date of the certification or legalisation must not be more than three months prior to the date of application.

9. The  national administrator  may require that the documents submitted are accompanied with a certified translation into a language specified by  the national administrator.

10. Instead of obtaining paper documents, the  national administrator  may use electronic mechanisms to check the evidence to be submitted in accordance with this Annex.

ANNEX V

1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX VI
1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. 
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ANNEX VII
1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2. 
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3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX VIII
1. 

Table VIII-I
Authorised representative details
 A B C D E ...
Item No. Account detail item Mandatory or Optional? Type Can be updated? Update requires the approval of the  national administrator? ...
1 Person ID M Free No n.a. . . .
2 Type of account representative M Choice Yes No . . .
3 First name M Free Yes Yes . . .
4 Last name M Free Yes Yes . . .
5 Title O Free Yes No . . .
6 Job title O Free Yes No . . .
 Company name O Free Yes No . . .
 Company department O Free Yes No . . .
7 Country M Preset No n.a. . . .
8 Region or state O Free Yes Yes . . .
9 City M Free Yes Yes . . .
10 Postcode M Free Yes Yes . . .
11 Address – line 1 M Free Yes Yes . . .
12 Address – line 2 O Free Yes Yes . . .
13 Telephone 1 M Free Yes No . . .
14 Mobile phone M Free Yes Yes . . .
15 E-mail address M Free Yes Yes . . .
16 Date of birth M Free No n.a. . . .
17 Place of birth – city M Free No n.a. . . .
18 Place of birth – country M Free No n.a. . . .
19 Type of document supporting identity M Choice Yes Yes . . .
20 Identity document number M Free Yes Yes . . .
21 Identity document expiry date O Free Yes Yes . . .
. . . . . . . . . . . . . . . . . . . . .
23 Confidentiality level O Choice Yes No . . .
24 Rights as additional account representative M Multiple Choice Yes Yes . . .
2. A signed statement from the account holder indicating that it wishes to nominate a particular person as authorised representative ..., confirming that the authorised representative has the right to initiate or ... approve transactions on behalf of the account holder and indicating any limitations to that right.

3. 

((a)) an identity card issued by a state that is a member of the European Economic Area or the Organisation for Economic Cooperation and Development;
((b)) a passport.

4. 

((a)) the identity document submitted under point 3., if it contains the address of the permanent residence;
((b)) any other government-issued identity document that contains the address of permanent residence;
((c)) if the country of permanent residence does not issue identity documents that contain the address of permanent residence, a statement from the local authorities confirming the nominee's permanent residence;
((d)) any other document that is customarily accepted in the  United Kingdom  as evidence of the permanent residence of the nominee;

5. Any criminal  record of the nominee.

6. Any copy of a document submitted as evidence under this annex must be certified as a true copy by a notary public or other similar person specified by the national administrator. Regarding documents issued outside the  United Kingdom, the copy must be legalised. The date of the certification or legalisation must not be more than three months prior to the date of application.

7. The  national administrator  may require that the documents submitted are accompanied with a certified translation into a language specified by the national administrator.

8. Instead of obtaining paper documents, the  national administrator  may use electronic mechanisms to check the evidence to be submitted in accordance with this Annex.

ANNEX 8a

1. In this Annex, “notice” means any notice served by the national administrator under this Regulation.

2. A notice must be in writing.

3. A notice may be served on a person (“P”) by—

((a)) delivering it to P in person;
((b)) sending it to a postal or email address provided by P for the purpose of service of notices;
((c)) leaving it at P’s proper address; or
((d)) sending it by post or electronic means to P’s proper address.

4. In the case of a body corporate, a notice may also be served on the secretary or clerk of that body.

5. In the case of a partnership, a notice may also be served on a partner or a person having control or management of the partnership business.

6. If a person (“Q”) to be served with a notice has specified an address in the United Kingdom (other than Q’s proper address) at which Q or someone on Q’s behalf will accept notices of that description, that address must instead be treated as Q’s proper address.

7. For the purposes of this Annex, “proper address” means, subject to paragraph 6—

((a)) in the case of a body corporate or its secretary or clerk—
((i)) the registered or principal office of that body, or
((ii)) the email address of the secretary or clerk;
((b)) in the case of a partnership or a partner or person having control or management of the partnership business—
((i)) the principal office of the partnership, or
((ii)) the email address (or, in the case of a partnership established outside the United Kingdom, the last known address) of a partner or a person having that control or management;
((c)) in any other case, a person’s last known address (which for the purpose of this point and point (b) includes an email address).

8. For the purposes of paragraph 7, where a body corporate registered outside the United Kingdom or a partnership established outside the United Kingdom has an office in the United Kingdom, the principal office of that body corporate or partnership is its principal office in the United Kingdom.

ANNEX IX
1. 
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ANNEX X

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ANNEX XI

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ANNEX XII

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ANNEX XIII

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ANNEX XIV
I.  1. 
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 2. 
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 3. 
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 4. 
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 4a. 

((a)) holdings of allowances issued in the linked emissions trading system on all accounts in the Union Registry;
((b)) number of allowances issued in the linked emissions trading system used for compliance in the EU ETS;
((c)) sum of allowances issued in the linked emissions trading system that were transferred to accounts in the Union Registry in the preceding calendar year;
((d)) sum of allowances that were transferred to accounts in the linked emissions trading system in the preceding calendar year.
 5. 
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 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

II.  7. 
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 8. 
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