Revised Laws of Saint Lucia (2021)

Schedule 5

(Section 36)

ENFORCEMENT

PART 1
General Provisions as to Evidence and Information

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      (1)     Without prejudice to any other provisions of this Act, the Director of Finance and Planning may give to any person in or resident in Saint Lucia directions requiring him or her, within such time and in such manner as may be specified in the directions, to furnish to him or her, or to any person designated in the directions as a person authorised to require it, any information in his or her possession or control which the Director of Finance and Planning or the person so authorised, as the case may be, may require for the purpose of securing compliance with or detecting evasion of this Act.

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      (2)     A person required by any such directions as aforesaid to furnish information shall also produce such books, accounts or other documents (hereafter in this Part of this Schedule referred to as “documents”) in his or her possession or control as may be required for the said purpose by the Director of Finance and Planning or by the person authorised to require the information, as the case may be.

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      (3)     The preceding provisions of this paragraph shall not be taken to require any person who has acted as counsel or solicitor for any person to disclose any privileged communication made to him or her in that capacity.

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      (4)     Where a person is convicted on indictment for failing to give information or produce documents when required so to do under this paragraph, the court may make an order requiring the offender, within such period as may be specified in the order, to comply with the requirement to give the information or produce the documents.

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      (1)     If a justice of the peace is satisfied by information on oath given by a person authorised by the Director of Finance and Planning to act for the purposes of this paragraph either—

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         (a)     that there is reasonable ground for suspecting that an offence against this Act has been or is being committed and that evidence of the commission of the offence is to be found at any premises specified in the information, or in any vehicle, vessel or aircraft so specified; or

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         (b)     that any documents which ought to have been produced under the preceding paragraph and have not been produced are to be found at any such premises or in any such vehicle, vessel or aircraft,

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      he or she may grant a search warrant authorising any police officer, together with any other person named in the warrant and any other police officers, to enter the premises specified in the information or, as the case may be any premises upon which the vehicle. vessel or aircraft so specified may be, at any time within one month from the date of the warrant, and to search the premises or, as the case may be, the vehicle, vessel or aircraft.

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      (2)     A person authorised by any such warrant as aforesaid to search any premises or any vehicle, vessel or aircraft, may search every person who is found in, or whom he or she has reasonable ground to believe to have recently left or to be about to enter, those premises or that vehicle, vessel or aircraft, as the case may be, and seize any article found in the premises or in the vehicle, vessel or aircraft which he or she has reasonable ground for believing to be evidence of the commission of any offence against this Act or any documents which he or she has reasonable ground for believing ought to have been produced under the preceding paragraph.

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           However, a female shall not, under any warrant issued under this paragraph, be searched except by a female.

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      (3)     Where, by virtue of this paragraph, a person has any power to enter any premises, he or she may use such force as is reasonably necessary for the purpose of exercising that power.

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      (1)     Any article coming into possession of an executive authority (whether in consequence of the seizure of the article under or by virtue of this Act or otherwise) which the authority has reasonable ground for believing to be evidence of the commission of an offence against this Act may be retained for a period of 3 months or, if within that period there are commenced proceedings in respect of such an offence in which the article is, or can properly be, adduced in evidence, until the final determination of those proceedings.

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      (2)     For the purposes of this paragraph, any person to whom any powers of the competent authority under this Act are delegated or on whom any functions are conferred by or by virtue of this Act, including any police officer, is considered to be an executive authority.

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      (3)     For the purposes of this paragraph, any proceedings are considered not to have been finally determined so long as there is pending any appeal in the matter of the proceedings, and an appeal in that matter is considered to be pending during the ordinary time within which such an appeal may be lodged, and, if such an appeal is duly lodged, the appeal is considered to be pending until it is decided or withdrawn.

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      (4)     The powers conferred by this paragraph in relation to any article shall be in addition to, and not in derogation of, any powers otherwise exercisable in relation thereto.

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   4.   A person in or resident in Saint Lucia shall not—

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      (a)     with intent to evade the provisions of this Act, destroy, mutilate, deface, secrete or remove any documents;

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      (b)     in furnishing any information for any of the purposes of this Act make any statement which he or she knows to be false in a material particular, or recklessly make any statement which is false in a material particular;

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      (c)     obstruct any person in the exercise of any powers conferred on him or her by virtue of this Part of this Schedule.

PART 2
GENERAL PROVISIONS AS TO OFFENCES

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      (1)     Any person in or resident in Saint Lucia who contravenes any restriction or requirement imposed by or under this Act, and any such person who conspires or attempts, or aids, abets, counsels or procures any other person, to contravene any such restriction or requirement as aforesaid, commits an offence punishable under this Part of this Schedule.

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           However, an offence punishable by virtue of Part 3 of this Schedule is not punishable under this Part.

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      (2)     Where an offence punishable under this Part of this Schedule is committed by a body corporate, any person who at the time of the commission of the offence was a director, general manager, secretary or other similar officer of the body corporate, or was purporting to act in any such capacity, commits that offence, unless he or she proves that the contravention was committed without his or her consent or connivance and that he or she exercised all such diligence to prevent the commission of the offence as he or she ought to have exercised having regard to the nature of his or her functions in that capacity and to all the circumstances.

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      (3)     Where a corporation is charged, whether alone or jointly with some other person, with an indictable offence punishable under this Part of this Schedule, the magistrate may, if he or she is of opinion that the evidence offered on the part of the prosecution is sufficient to put the accused corporation upon trial, commit the corporation for trial.

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      (4)     Where an indictment has been filed against a corporation in respect of an offence punishable as aforesaid, the corporation may, on arraignment before the High Court enter in writing by its representative a plea of guilty or not guilty, and if either the corporation does not appear by a representative or, though it does so appear, fails to enter as aforesaid any plea, the court shall order a plea of not guilty to be entered and the trial shall proceed as though the corporation had duly entered a plea of not guilty.

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      (5)     Any indictment filed against a corporation or other document addressed to a corporation may be served upon the corporation by leaving it at, or sending it by post to, the registered office of the corporation or, if there be no such office in Saint Lucia, by leaving it at or sending it by post to, the corporation at any place in Saint Lucia at which it trades or conducts business.

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      (6)     In this paragraph the expression “representative” in relation to a corporation means a person duly appointed by the corporation to represent it for the purpose of doing any act or thing which the representative of a corporation is by this Part of this Schedule authorised to do, but a person so appointed shall not, by virtue only of being so appointed, be qualified to act on behalf of the corporation before any court for any other purpose.

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           A representative for the purposes of this Part of this Schedule need not be appointed under the seal of the corporation, and a statement in writing purporting to be signed by a managing director of the corporation, or by any person (by whatever name called) having, or being one of the persons having, the management of the affairs of the corporation, to the effect that the person named in the statement has been appointed as the representative of the corporation for the purposes of this Part of this Schedule shall be admissible without further proof as prima facie evidence that that person has been so appointed.

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      (7)     Any person who commits an offence punishable under this Part of this Schedule is liable—

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         (a)     on summary conviction, to imprisonment for not more than 3 months or to a fine or to both;

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         (b)     on conviction on indictment, to imprisonment for not more than 2 years or to a fine or to both,

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      and where the offence is concerned with any currency, any security, any gold, any goods or any other property, the court may, if they think fit so to do, order the currency, security, gold, goods or property to be forfeited.

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      (8)     Except in the case of a body corporate convicted on indictment, the maximum fine which may be imposed for an offence punishable under this Part shall be—

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         (a)     on summary conviction $2,400; and

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         (b)     on conviction on indictment $4,800,

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      so, however, that (in either case) where the offence is concerned with any currency, any security, any payment, any gold, any goods or any other property, and does not consist only of a failure to give information or produce books, accounts or other documents with respect thereto when required so to do under Part 1 of this Schedule, a larger fine may be imposed not exceeding 3 times the amount or value of the currency, security, payment, gold, goods or property.

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      (1)     Proceedings for an offence punishable under this Part of this Schedule, shall not be instituted, except by or with the consent of the Attorney General or appropriate officer.

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           However, this subparagraph shall not prevent the issue or execution of a warrant for the arrest of any person in respect of such an offence, or the remanding in custody or on bail of any person charged with such an offence.

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      (2)     Proceedings against any person in respect of an offence punishable under this Part of this Schedule may be taken before the appropriate court in Saint Lucia having jurisdiction in the place where that person is.

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           However, the Attorney General may, in the case of proceedings cognizable by a district court, direct that such proceedings be instituted in any district court in Saint Lucia.

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      (3)     Any proceeding under a law establishing summary jurisdiction which may be taken against any person in respect of any offence punishable under this Part of this Schedule may, despite anything to the contrary in that law, be taken at any time within 12 months from the date of the commission of the offence or within 3 months from the date on which evidence sufficient in the opinion of the Director of Finance and Planning to justify the proceedings comes to the knowledge of the Director of Finance and Planning, whichever period last expires, or where the person in question was outside Saint Lucia at the date last mentioned, within 12 months from the date on which he or she first arrives in Saint Lucia thereafter.

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      (4)     For the purpose of this paragraph a certificate of the Director of Finance and Planning as to the date on which such evidence as aforesaid came to the knowledge of the Director of Finance and Planning shall be conclusive evidence thereof.

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   3.   The maximum period of imprisonment that may be imposed by a court of summary jurisdiction in Saint Lucia—

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      (a)     in respect of the non-payment of a sum adjudged to be paid by a conviction for an offence punishable under this Part of this Schedule; or

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      (b)     in respect of the default of a sufficient distress to satisfy any such sum,

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   shall, in cases where the sum exceeds $96, be increased in accordance with the following scale, that is to say—

   Where the amount of the sum adjudged to be paid by the conviction, as ascertained by the conviction—	The said period shall not exceed—
   Exceeds $96 but does not exceed $480	4 months.
   Exceeds $480	6 months.

PART 3
IMPORT AND EXPORT

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      (1)     The enactments relating to customs shall, subject to such modifications, if any, as may be prescribed to adapt them to this Act apply in relation to anything prohibited to be imported or exported by any of the provisions of Part 4 except with the permission of the Director of Finance and Planning as they apply in relation to goods prohibited to be imported or exported by or under any of the said enactments and any reference in the said enactments to goods shall be construed as including a reference to anything prohibited to be imported or exported by any of the provisions of the said Part 4 except with the permission of the Director of Finance and Planning.

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      (2)     References in this paragraph to the enactments relating to customs shall be taken as including references to the Customs (Control and Management) Act.

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   2.   Any declaration required to be given under Part 4 shall, for the purposes of the Customs (Control and Management) Act be deemed to be a declaration in a matter relating to customs.

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   3.   If anything prohibited to be exported by any provision of the said Part 4 is exported in contravention thereof, or is brought to a quay or other place, or waterborne, for the purpose of being so exported, the exporter or his or her agent is liable to the same penalty as that to which a person is liable for an offence to which the Customs (Control and Management) Act applies, and where the offence is concerned with any currency, any security, any gold, any goods or any other property, the Court may, if it think fit so to do, order the currency, security, gold, goods or property to be forfeited.

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   4.   Without prejudice to any of the preceding provisions of this Part of this Schedule, any person who, on any occasion, is about to leave Saint Lucia or arrives in Saint Lucia (which person is hereafter in this paragraph referred to as “the traveller”) shall, if on that occasion he or she is required so to do by an officer of Customs or an immigration officer—

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      (a)     declare whether or not he or she has with him or her anything prohibited to be imported or exported by any of the provisions of the said Part 4 except with the permission of the Director of Finance and Planning; and

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      (b)     produce any such thing as aforesaid which he or she has with him or her,

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   and the officer may examine or search any article which the traveller has with him or her for the purpose of ascertaining whether he or she is conveying or has in his or her possession any such thing, and, if the officer has reasonable grounds for suspecting that the traveller has about his or her person any such thing, search him or her, and may seize anything produced as aforesaid or found upon such examination or search as aforesaid as to which the officer has reasonable ground for suspecting that it is prohibited to be imported or exported by any of the provisions of the said Part 4 except with the permission of the Director of Finance and Planning.

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   However, a female shall not be searched in pursuance of this paragraph except by a female.

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   5.   Paragraph 1(2) of Part 2 of this Schedule applies also to offences punishable by virtue of this Part of this Schedule.

CHAPTER 15.15
EXCHANGE CONTROL ACT

SUBSIDIARY LEGISLATION

List of Subsidiary Legislation

Exchange Control (Securities) Order – Section 38

(Statutory Instrument 58/1994)

Statutory Instrument 58/1994 .. in force 24 September 1994

ARRANGEMENT OF ORDERS

EXCHANGE CONTROL (SECURITIES) ORDER – SECTION 38

Commencement [24 September 1994]

1.   Citation

This Order may be cited as the Exchange Control (Securities) Order.

2.   Definitions

In this Order—

“Act” means the Exchange Control Act;

“Director” means the Director of Finance, Ministry of Finance, Statistics and Negotiations;

“transferee” means a person, whether an individual or a body corporate, to whom securities are transferred;

“transferor” means a person, whether an individual or a body corporate, by whom securities are transferred.

3.   Residence requirements

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   (1)   For the purposes of section 10 of the Act, a person

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      (a)     who wishes to apply to a person issuing securities to purchase such securities; or

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      (b)     who is a nominee of a person described in subparagraph (1)(a),

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   is to be resident in Saint Lucia for a period of 3 consecutive years prior to the date of such application.

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   (2)   For the purposes of section 11(1)(a) and 11(1)(a)(c) of the Act—

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      (a)     a transferor or transferee of securities; or

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      (b)     a nominee of such a transferor or transferee,

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   is to be resident in Saint Lucia for a period of 3 consecutive years prior to the date on which he or she intends to transfer or purchase, as the case may be, securities to which section 11 of the Act applies.

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   (3)   Subject to subparagraph (4), a person resident in any of the States specified in the Schedule for a continuous period of 3 years, on proof thereof, is considered to have the residence requirements for the purposes of subparagraphs (1) and (2).

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   (4)   Despite subparagraphs (1) and (2), the Director—

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      (a)     may approve the purchase or transfer of securities by a person to whom subparagraph (3) applies; and

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      (b)     may, having regard to all the circumstances of a particular case, approve the purchase or transfer of securities by a person who is without the residence requirements specified in subparagraphs (1) to (3),

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   subject to such conditions as may be imposed by the Director.

4.   Evidence

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   (1)   The prescribed evidence for the purposes of section 10(1)(b) of the Act which is required by that Act to be produced to a person issuing securities is as follows—

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      (a)     a certificate, letter or legal document issued by the relevant and competent authority attesting to the fact that the person to whom securities are to be issued has been resident in Saint Lucia for 3 consecutive years prior to the date on which the application is made for the purchase of securities; and

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      (b)     the written permission of the Director to purchase the securities specified in such permission.

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   (2)   The prescribed declaration for the purposes of section 11(1)(b) of the Act which must be produced to the transferee is a declaration stating the residence of the transferor and that of the person, if any, for whom he or she is a nominee.

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   (3)   A declaration under subparagraph (2) must be signed by the transferee.

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   (4)   Without prejudice to subparagraphs (1) to (3), a person issuing securities or a transferee may require such additional evidence as is reasonable in the objective circumstances of any case.

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   (5)   Evidence produced under this paragraph shall be retained by the person to whom it is produced and shall be supplied to the Director upon request.

5.   Prohibition on Registration

Securities, exceeding such amount as the Director determines, shall not be registered in the name of a person under any enactment unless the requirements of this Order with respect to the residence of that person are satisfied.

Schedule

(Paragraph 3(4))

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   Anguilla

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   Antigua & Barbuda

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   Barbados

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   Commonwealth of Dominica

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   Grenada

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   Montserrat

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   St. Kitts and Nevis

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   St. Vincent & the Grenadines

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   Trinidad & Tobago

Exchange Control (Specified Notes) Order – Section 23

(Statutory Instrument 47/1994)

Statutory Instrument 47/1994 .. in force 27 August 1994

ARRANGEMENT OF ORDERS

EXCHANGE CONTROL (SPECIFIED NOTES) ORDER – SECTION 23

Commencement [27 August 1994]

1.   Citation

This Order may be cited as the Exchange Control (Specified Notes) Order.

2.   Specified notes

The following notes are hereby specified for the purposes of section 23 (1) (b) of the Exchange Control Act—

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   (a)     British Pound

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   (b)     Canadian Dollar

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   (c)     French Franc

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   (d)     German Mark

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   (e)     Italian Lira

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   (f)     Japanese Yen

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   (g)     United States Dollar.

3.   Permitted amounts of specified notes

A person arriving in Saint Lucia may, without the permission of the Director of Finance, have in his or her possession—

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   (a)     if he or she is ordinarily resident in Saint Lucia, an amount of any of the notes specified in paragraph 2 which is equivalent in value to EC$2,000; or

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   (b)     if he or she is not ordinarily resident in Saint Lucia, an amount of any of the notes specified in paragraph 2 which is equivalent in value to EC$15,000.

Exchange Control (Suspension) Orders – Section 44

(Statutory Instruments 56/2004 and 165/2006)

Statutory Instrument 56/2004 .. in force 28 June 2004

Statutory Instrument 165/2006 .. in force 16 October 2006

ARRANGEMENT OF ORDERS

EXCHANGE CONTROL (SUSPENSION) ORDERS – SECTION 44

Commencement [28 June 2004]

1.   Citation

This Order may be cited as the Exchange Control (Suspension) Order.

2.   Interpretation

In this Order—

“Act” means the Exchange Control Act;

“capital account transaction” includes the buying and selling of a foreign security, the acquisition abroad of an asset of a non-consumable nature and the transfer abroad of funds or any other asset;

“current account transaction” includes the buying and selling of goods, payment or receipt of payment for services and payment or receipt of income, whether derived from employment, profit, interests, rent or any other legitimate source.

3.   Suspension

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   (1)   The Schedule and the provisions of the Act listed in the Schedule of this Order are suspended.

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   (2)   Any statutory instrument made under any of the provisions specified in the Schedule is suspended.

Schedule