DRAFT RULES, GUIDELINES AND
PROCEDURES REGULATING APPEALS
HEARD BY THE FINANCIAL INTELLIGENCE
CENTRE APPEAL BOARD
DRAFT RULES REGULATING APPEALS HEARD BY THE FINANCIAL INTELLIGENCE CENTRE
APPEAL BOARD
1. Definitions
“The Act”
means the Financial Intelligence Centre Act, 2001 (Act No. 38 of 2001), as
Amended by the Protection of Constitutional Democracy against Terrorist
And Related Activities Act, 2004 (Act 33 of 2004), and the Financial
Intelligence Centre Amendment Act 2008 (Act 11 of 2008)
“Day”
means a business day, i.e any day except a Saturday, Sunday or public
holiday.
“Intervening party”
means a person who has an interest in the appeal and has been granted
leave by the chairperson of the appeal board or the deputy chairperson
to become a party to the proceedings
“Notice”
means written notice, but, in case of notice to the appellant includes
service of it by e-mail.
“Regulations”
means the Money Laundering and Terrorist Financing Control Regulations
Published under GN 1595 in GG 24176 of 20 December 2002 as amended
By GN R456 in GG 27580 of 20 May 2005; GN R867 in GG 33596 of 01
October 2010; GN 1107 in GG 33781 of 26 November 2010., insofar
as they refer to appeals to the Financial Intelligence Centre appeal board
“Secretary”
means the person appointed as secretary of the appeal board in tems
of section 11 of the Act.
“Service”
and the verb “serve” refer to delivery of a document to a person or
institution and in the the case of sevice upon an appellant or applicant
also include delivery thereof by e-mail
2. Notice of Appeal
The document referred to in paragraph 27 of the Regulations is known as the “Notice of
Appeal” and must be drafted to conform as far as possible to the draft document attached
hereto as Form 1. It is the Appellant’s responsibility to ensure that the Notice of Appeal is
received by the Secretary
3. Application for Interim Relief
3.1 An application by an appellant for the relief envisaged in section 45D(11)(b) of the Act
must be supported by an affidavit deposed to by or on behalf of the appellant and may
be submitted only when there is an appeal pending before the appeal board.
3.2 No fee is required when lodging the application.
3.3 The decision-maker must give notice to the Secretary and the appellant, within two
days after receiving the application whether or not he/she intends to oppose the
application.
3.4 If the decision-maker opposes the application, he/she must within five days after giving
notice of opposition submit an answering affidavit to the Secretary and serve a copy
thereof on the appellant.
3.5 The applicant must give notice of his/her/its intention to pursue with the application
within four days of receiving the decision-maker’s answering affidavit and must serve
a replying affidavit, if he/she/it wishes to reply, within four days of having received the
answering affidavit.
3.6 Upon receipt of the replying affidavit or of a notice that the applicant does not wish to
file a replying affidavit the Secretary sets a date for the hearing of the application.
3.7 An unopposed application shall be determined by the chairperson or a deputy
chairperson of the appeal board, solely on the papers. By agreement between the
parties to an appeal an opposed application may also be determined by the
chairperson or deputy chairperson on the papers without the need for argument.
3.8 Subject to the provisions of 2.7 an opposed application will be heard by the appeal
board.
4. Grounds of Appeal
The grounds of appeal referred to in paragraph 27 of the Regulations must be stated
succinctly. The grounds of appeal must be submitted within fifteen days from the date on
which the decision-maker’s reasons were furnished to the appellant.
5. Application for Condonation
5.1 If an appellant fails to note an appeal within the period stipulated in paragraph 27(1)
of the Regulations such appellant may apply for condonation. The application for
condonation must be accompanied by an affidavit explaining the reason for the delay
and why the appeal must be heard.
5.2 An application for condonation may be opposed by the decision-maker and/or by an
intervening party.
5.3 If the decision-maker opposes the application the grouds for opposition must be stated
succinctly in the reasons for the decision. If another party opposes the application the
grounds of opposition must be stated succinctly in an affidavit accompanying the
notice of opposition.
5.4 The applicant for condonation has the right to file a replying affidavit, if so advised.
5.5. An application for condonation will be heard together with the appeal.
6. The Appeal Record
6.1 The appellant is responsible for the compilation of the record. The appellant must
obtain from the Secretary copies of all the documents that were submitted to the
decision-maker before the decision was made as well as the reasons for the decision,
and, if applicable, any other relevant document.
6.2 The appellant must compile a record consisting of those documents, properly
paginated and indexed.
6.3 The appellant must serve four copies of the record on the Secretary for the members
of the appeal board and two copies for the decision-maker and for every other party,
if applicable.
6.4 The Secretary must allow the appellant to compile an original record consisting of the
originals of those documents. The Secretary must keep the original record under
his/her control and must have it available for inspection by the appeal board and the
other parties.
7. Hearing of an Appeal
7.1 The date, time and place for the hearing of an appeal shall be fixed by the chairperson
of the appeal board through the Secretary. The Secretary will from time to time issue
directives relating to the filing of heads of argument and generally with regard to the
conduct of the appeal.
7.2 The unavailability of a legal representative, save in exceptional circumstances and after
prior arrangement with the chairperson upon notice to all other parties, that a
postponement will be sought, shall not constitute a ground for a postponement of an
appeal, once the date has been set.
7.3 The procedure for the hearing of an appeal is set out in section 45D of the Act.
8. Joinder of Parties
8.1 The appellant must cite all the parties who may have an interest in the appeal and must
serve the notice of appeal on each one of them and also on the Secretary.
8.2 If an interested party is not cited by an appellant but wishes to join the proceedings as
an intervening party, such party must, as soon as possible, make application to the
chairperson of the appeal board for leave to intervene as an intervening party.
8.3 The application referred to in paragraph 8.2, must be in writing, and must be served
on all the other parties, and supported by an affidavit. In order to succeed the
applicant must show that he/she/it has a substantial interest in the appeal and that
the application is seriously made and not frivolous.
8.4 The other parties may oppose such an application.
9. Withdrawal of an Appeal
9.1 An appellant may withdraw an appeal at any stage.
9.2 An intervening party may, at any stage, advise the Secretary of its intention to
withdraw from paticipation in the appeal.
9.3 A respondent may withdraw its opposition to the appeal, at any stage.
9.4 If an appeal or opposition thereto is withdrawn after a date for the hearing has been
fixed, or an intervening party withdraws from participating in the appeal after such
date has been fixed, an appellant, respondent or intervening party shall be liable to
pay the wasted costs of the other parties caused by its appeal, opposition or
intervention.
9.5 Unless the party concerned tenders the wasted costs referred to in paragraph 9.4, the
matter shall remain on the roll for the purpose of hearing argument on the issue of
the wasted costs.
10. Dress Code
All parties appearing before the appeal board must be appropriately dressed.
11. Form of Address
The form of address to a panel in proceedings before the appeal board shall
“Chairperson”and “Appeal Board Members”.
12. Costs
The costs of convening an appeal panel and the costs of the remuneration of the appeal
board members are borne by the Financial Intelligence Centre (the Centre). As such costs
constitute an expense for the Centre, the Centre may in appropriate circumstances, apply
for a special order against an appellant, outside respondent and/or an intervening party.
The appeal board may, in its discretion, make such orders as to costs as it deems
appropriate, including the costs of convening an appeal panel.
13. Guidelines
These rules are guidelines only and may be deviated from, at any time, in the discretion
of the chairperson of the appeal board.
APPEALS FILING GUIDELINES AND PROCEDURES
NOTICE OF APPEAL + AFFIDAVIT
The appellant must lodge the Appeal, with the Secretary of the FIC Appeal Board, within 30 days
from the date when notice of the decision by the Supervisory Body or the FIC was received in writing
by the appellant. The notice of appeal (FORM 1) must be accompanied by an affidavit as stipulated
in Regulation 27C (b) of the FICA Regulations, proof of payment of the appeal fee and any relevant
documents.
The documents must be hand delivered to the Secretary of the Appeal Board. The office hours of the
secretary are 08h00 am to 16h00 pm on business days.
PAYMENT OF APPEAL FEE TO THE CENTRE
An appeal fee of R10 000 (ten thousand rand) is payable to the FIC and proof of such payment must
accompany the notice of appeal. The payment, which may be a bank deposit or electronic funds
transfer, must reflect the name of the appellant as reference together with “Reg 27C(d) fee” when
making the payment to the FIC. No appeal fee payment may be made by cheque.
The banking details of the FIC are:
Account name: Financial Intelligence Centre
Bank: Standard Bank
Branch: Pretoria
Bank account number: 010029281
Branch code: 010045
The secretary will only issue an appeal case number when satisfied
that all the appeal requirements, as outlined above, are met.
If a valid appeal is lodged and the case number is issued, the
secretary will issue directives on the filing procedures and timelines
to the parties.