The fees payable under these Regulations are prescribed in Schedule 8.
One currency point is equivalent to twenty thousand shillings.
SCHEDULE TWO Regulation ?
AUTHORITY ACT. 2011, ACT No. 15 OF 2011
(LICENSING OF ADMINISTRATORS) REGULATIONS. 2012.
APPLICATION FOR LICENCE OF ADMINISTRATOR OF A RETIREMENTBENEFITS SCHEME (Under regulation 3 of the Uganda Retirement Benefits Regulatory Authorir. (Licensing of Administrators) Regulations, 2012) Provide the following - A. PARTICULARS OF APPLICANT (i) Name of applicant..................................................................................
(ii)
Date and place of incorporation ........................................................ (iii) Tax Identification Number................................................................
(iv)
Physical address of principal place at which the business of the applicant is to be carried on................................................................ Telephone ............................................................................................ Fax .......................................................................................................... Email....................................................................................................... (v) Citizenship...........................................................................................
(i)
Particulars of Directors in case of administrator (Appendix A)
(ii)
Particulars of the Key officer of administrator (Appendix B)
(iii)
Bankers and Auditors (Appendix C)
(iv)
List the retirement benefits schemes the applicant has provides administrator services to within the period of three years endins at the date of application. (Incase of insufficient space provide separate attachment).
C. ATTACHMENTS. Please attach the following where applicable- - (i) certified copies of latest audited report and accounts; (ii) certified copies of certificate of incorporation (if applicant is a body corporate); (iii) certified copies of memos and articles of incorporation (if applicant is a body corporate); (iv) proof that the applicant holds capital in the sum determined by the Authority; (v) a certifed copy of an insurance policy to cover the operational risks which the administrator may be expossed to; (vi) evidence of the ability of the applicant to perform the functions of an administrator; and < x ii) a statutory declaration supporting the application.
I am aware of the provisions of section
52
(1) (a) of the Act relating to false statements made in relation to the application. I hereby declare that the information contained herein and the documents submitted herew ith are true and accurate to the best of my knowledge and belief.
Signed on this ............................. day of Signature of Applicant............................................................................................ Full Name: Designation: Signature of Applicant................................................ Full Name: Designation:
Signature of Applicant............................................................................................ Full Name: .. Designation:
PARTICULARS OF THE BOARD OF DIRECTORS
Name of the Administrator......................................................................................
Director Physical Date of Nationality Occupation (full Name) Address Appointment
PARTICULARS OF KEY OFFICERS OF THE ADMINISTRATOR
Name of Administrator..............................................................................................
Academic and Physical Date of Full name Designation Nationality Professional Address Appointment qualifications
PARTICULARS OF AUDITORS AND BANKERS
Name of Administrator.......................................................................
Name offirm/ Tax Physical Address Affiliated Identification Telephone and Professional institution Number fax Address body
SCHEDULE THREE Regulation 5(2)
AUTHORITY ACT. 2011, ACT No. 15 OF 2011
(LICENSING OF ADMINISTRATORS) REGULATIONS, 2012.
LICENCE OF ADMINISTRATOR 1 Lnder regulation 5(2) of the Uganda Retirement Benefits Regulatory Authority (Licensing of Administrators) Regulations, 2012
LICENCE No.................
This is to certify that..................................................... (administrator) is licensed and authorised to act as an administrator of a retirement benefits schemes subject to the provisions of the Uganda Retirement Benefits Regulatory Authority Act,2011, the regulations made under the Act and the conditions endorsed hereon.
Given undei my hand and seal of the Uganda Retirement Benefits Regulatory Authority this............ day of........
Chairperson Chief Executive Officer.
SCHEDULE FOUR Regulation 5(5)
AUTHORITY ACT. 2011. ACT No. 15 OF 2011
(LICENSING OFADMINISTRATORS) REGULATIONS, 2012.
NOTICE OF REFUSAL TO GRANT LICENCE OF ADMINISTRATOR (Under regulation 5(5) of the Uganda Retirement Benefits Regulatory Authority (Licensing of Administrators) Regulations, 2012)
To ................................................
TAKE NOTICE that upon consideration of your application for a licence to act as an Administrator of a retirement benefits scheme in accordance with the provisions of the Uganda Retirement Benefits Regulatory Authority Act, 2011 and the regulations made under the Act, the Authority has found your application unsuccessful and consequently refused to license you due to the following reasons:-
Chief Executive Officer Uganda Retirement Benefits Regulatory Authority.
SCHEDULE FIVE Regulation 7 (3)
THE UGANDA RETIREMENTS BENEFITS AUTHORITY ACT 2011, ACT No. 15 OF 2011
(LICENSING OF ADMINISTRATOR) REGULATIONS, 2012.
APPLICATION FOR RENEWAL OF LICENCE OF AN ADMINISTRATOR. (Under regulation 7(2) of the Uganda Retirement Benefits Regulatory Authority (Licensing of Administrators) Regulations, 2012)
Application is made for the renewal of a licence for an administrator and the following statements are made in respect of the applicant-
(a)
applicant's name: .................................................................................. (b) licence No:............................................................................................. (c) expiry date of licence:...........................................................................
'. Please complete the following-(Answer "Yes" or "No" in space provided. If "Yes" attach annexure giving all relevant particulars.)
(a)
Since the last application- (i) Has there been a change in the applicant's key officers?
(ii)
Has the applicant or the applicant's key officers been suspended from membership of any professional body?
(iv)
Has the applicant been an administrator of any retirement benefits scheme other than that/those referred to in the last application?
(v)
Has the applicant taken any disciplinary action against any of its representatives?
(vi)
Has the applicant received am complaint against anx of its representatives?
(vii)
Has the applicant undertaken to conduct any material new administrator function?
If so, state the nature of the function...... ...............................
(b)
Please furnish details of any other event which has occurred which is likely to have a significant effect on the applicant's functions during the currency of the licence if granted (including any legal claim against the applicant.)
