(1)
A supervisory authority shall supervise an accountable person to ensure that the accountable person complies with the requirements of the Act and these Regulations.
(2)
For the purposes of subregulation (1), a supervisory authority shall have the following powers and duties-
(a)
to collect information and other data from accountable persons to enable the conduct of on- site examinations;
(b)
to compel accountable persons to provide any information and to take copies of documents and files;
(c)
to apply measures and impose sanctions against accountable persons for non-compliance with the provisions of the Act and these Regulations;
(d)
to issue instructions to assist accountable persons in complying with obligations under the Act and these Regulations;
(e)
to cooperate and share information with other competent authorities or any foreign authority concerned with combating money laundering or terrorism financing;
(f)
to verify that foreign branches and majority owned subsidiaries of an accountable person adopt and enforce measures consistent with the Act and these Regulations to the extent permitted by the laws of the host country;
(g)
to promptly notify the Authority of any transactions, activities or facts that could be related to money laundering or terrorism financing;
(h)
to establish and apply efficiency and adequacy processes, and includes standards relating to the experience and integrity of board members, executive or supervisory management members and standards for owning or controlling significant shares of an accountable person;
(i)
to maintain statistics concerning measures adopted and sanctions imposed; and
(j)
to determine the type and extent of measures to be taken by accountable persons under these Regulations.
(3)
Where an accountable person or any of its directors, board members, executive or supervisory management members or members of senior management fails to comply with the Act or these Regulations, the supervisory authority may-
(a)
issue a written warning to the accountable person;
(b)
issue an order to the accountable person to comply with specific instructions;
(c)
issue an order to the accountable person requiring the accountable person to make regular reports on the measures taken to address the identified violations;
(d)
ban individuals responsible for the violation from employment within certain relevant sectors for a period to be determined by the supervisory authority;
(e)
restrict the powers of directors, board members, executive or supervisory management members and controlling owners of the accountable person;
(f)
require the accountable person to suspend, dismiss or replace a director, member of the board of directors or any member involved in executive or supervisory management responsible for the violation.
(4)
Where an accountable person fails, neglects and or refuses to comply with the provisions of the Act or these Regulations, the supervisory authority shall make a report of such fact to the Authority, and notify the Authority of the action taken to address the noncompliance.
Form 1 (Regulations 4(2))
The Anti-Money Laundering Act, 2013
The Anti-Money Laundering Regulations, 2015
Registration form for accountable persons I/ We _______________________ being an accountable person as listed in the second Schedule to the Act, apply to register with the Authority.
Part I - Particulars of the accountable person in case of an Individual Name of the accountable person: _________________
Age: _________________________
Date of birth: _________________________
Telephone number: _______________________
Postal address: _________________________
Email address: _________________________
Tax identification number: _____________________
National identification Number: ________________
Profession: _______________________
Professional body/Industry (if any): ________________
Physical Address: __________________________________
______________________________________________
Part II - Particulars of the accountable person in case of legal entity/corporate Name of the accountable person: _______________________
Name of the representative: _______________________
Industry: _____________________________________
Date of incorporation or registration: _______________________
Registration Number: _______________________
Telephone number: _______________________
Postal address: _______________________
Email address: _______________________
Tax identification number: _______________________
Physical Address: _______________________
Name of the managing Director or CEO. _______________________
Tax identification Number of the managing director or CEO: ________________
Signed ________________ (Accountable person)
Date _______________________
Received by ________________ Date ________________
Notes: For purposes of corporations or other entities the proof of registration or incorporation of the accountable person should be attached.
Form 2 (Regulations 5(2))
The Anti-Money Laundering Act, 2013
The Anti-Money Laundering Regulations, 2015 The Executive Director,
Financial Intelligence Authority.
Notification of change of registered particulars of accountable persons TAKE NOTICE that I/ we _____________________ being an accountable person have made changes in the register as follows-
Former particulars in the register of the accountable person.
_____________________________________
__________________________________ (state former full particulars)
The changes of any particulars in the register by the accountable person.
_____________________________________
Dated this __________ day of ________, 20 _______
___________________________
Form 3 (Regulations 6(2) and (7))
The Anti-Money Laundering Act, 2013
The Anti-Money Laundering Regulations, 2015 The Executive Director,
Financial Intelligence Authority.
Notification of appointment of money laundering control officer TAKE NOTICE that, I /We ____________________ being an accountable person and required by the section
6(m)
of Act and the Regulations to appoint an money laundering control officer.
I/ We have appointed the following person as the money laundering control officer.
Name of the officer: ______________________________
The designation /title of the officer: _______________________
Telephone number of the officer: ________________
Email address: ______________________________
Physical address: _______________________
Employee ID Number: _______________________
Appointment date: _______________________
Money laundering control officer supervisor: _______________________
Designation of the supervisor: _______________________
Dated this ________ day of ______________, 20 ___________
___________________________
Form C (Section
10(1)
, regulation 10(1)(a))
The Anti-Money Laundering Act, 2013
The Anti-Money Laundering Regulations, 2015
Declaration of the particulars of the currency or the negotiable bearer instruments to Uganda Revenue Authority at the port of exit In accordance with section
10
(1) of the Act and the Regulations the named person is intending to transporter carry currency or negotiable bearer instruments, outside Uganda equivalent to or exceeding one thousand five hundred currency points..
Part I - Particulars of the reporting entity/ Person Full names: ______________________________
Passport ID and Number: _______________________
Telephone number: _______________________
Email address: _______________________
Tax identification number: _______________________
Nationality: ______________________________
Country of residence: _______________________
Profession: _______________________
Part II - Particulars of the travel Flight/ Vehicle Registration / Vessel No. ______________________________
Country of destination: ______________________________
Date of exit: ______________________________
Date of entry: ______________________________
Part III - Address while outside Uganda Physical Address: ______________________________
Hotel: ______________________________
City/ town/ village: ______________________________
Telephone contacts outside Uganda: ________________
Street address: ______________________________
Postal address: ______________________________
