The fees payable under these Regulations are prescribed in Schedule 8
One currency point is equivalent to twenty thousand shilling
SCHEDULE TWO Regulate*: 5
AUTHORITY ACT 2011, ACT No. 15 OF 2011
THE UGANDA RETIREMENT BENEFITS REGULATORY AUTHORTT: (LICENSING OF CUSTODIANS) REGULATIONS, 2012.
APPLICATION FOR A LICENCE OF A CUSTODIAN (Under regulation 3 of the Uganda Retirement Benefits Regulatory Authorir. (Licensing of Custodians) Regulations, 2012)
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 of applicant. (Appendix A)
(ii)
Particulars of the Key officer of applicant (Appendix B)
(iii)
Particulars of Auditors (Appendix C)
(iv)
List the retirement benefits schemes the applicant has provided custodial sen ices to uithin lhe period of three years ending as at the date of application. Incase of insufficient space provide separate attachment).
C. ATTACHMENTS. Please attach the followingk (i) certified copies of latest audited report and accounts; (ii) certified copy of the applicant's licence as a financial institution issued under the Financial Institutions Act, 2004; (iii) certified copies of memorandum and articles of applicant; (iv) evidence of the ability of the applicant to perform the functions of a custodian; (v) a certified copy of a No objection letter issued by the Bank of Uganda to offer custodial services; and (vi) a statutory7 declaration supporting the application.
I am aware of the provisions of section
38
(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 herewith are true and accurate to the best of mv knowledge and belief.
feigned on this............................................. day of.....................
Signature..................................................................................... Full name .............................................................. Designation .......................................................................... Signature..................................................................................... Full name ............................................................................... Designation ............................................................................
Signature..................................................................................... Full name ............................................................................... Des'gnation .............................................................................
PARTICULARS OF THE BOARD OF DIRECTORS OF CUSTODIAN
Name of the custodian................................................................................. .
Director Physical Date of No. of Nationality Occupation (full Name) Address Appointment Shares held
PARTICULARS OF KEY OFFICERS OF THE CUSTODIAN
Name of custodian....................................................................................................... Academic Executive Physical Date of and Years of Designation Nationality (full name) Address Appointment Professional experience qualifications
SCHEDULE THREE Regulation 5(2)
AUTHORITY ACT 2011, ACT No. 15 OF 2011
(LICENSING OF CUSTODIANS) REGULATIONS, 2012.
LICENCE OF A CUSTODIAN OF A RETIREMENT BENEFITS SCHEME (Under regulation 5(2) of the Uganda Retirement Benefits Regulatory Authority (Licensing of Custodians) Regulations, 2012)
LICENCE No............................
This is to certify that................................................................................ (custodian is licensed to act as a Custodian of retirement benefits scheme subject to the provisions of the Uganda Retirement Benefits Regulator}' Authority Act. 2011. the regulations made under the Act and the conditions endorsed hereon.
Given under my hand and seal of the Uganda Retirement Benefits Regulator} Authority this.................. day of...........
SCHEDULE FOUR Regulation 5(5)
AUTHORITY ACT 2011, ACT No. 15 OF 2011
(LICENSING OF CUSTODIANS) REGULATIONS, 2012.
NOTICE OF REFUSAL TO GRANT LICENCE OF CUSTODIAN (Under regulation 5(5) of the Uganda Retirement Benefits Regulatory Authority (Licensing of Custodians) Regulations, 2012)
To .................................................
RE:................................................................................................................................
TAKE NOTICE that upon consideration of your application for a licence to act as a custodian 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 5i 5
AUTHORITY ACT 2011, ACT No. 15 OF 2011
(LICENSING OF CUSTODIANS) REGULATIONS. 2012.
APPLICATION FOR RENEWAL OF LICENCE OF A CUSTODIAN. (Under regulation 7(2) of the Uganda Retirement Benefits Regulatory Authority (Licensing of Custodians) Regulations, 2012)
