Section 53: Supervision

(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. Schedule 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 _______ ___________________________ Accountable person 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 ___________ ___________________________ Accountable person 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: ______________________________