Disclosure Please confirm the following
Have you ever been convicted of any offence (whether spent or not and whether or not in the united kingdom)
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Involving fraud, theft, false accounting, offences against the administration of public justice (such as perjury, perverting the course of justice and intimidation of witnesses or jurors) serious tax offences or other dishonesty
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An offence (whether or not in the united kingdom) relating to companies, building societies industrial and provident societies, credit unions, friendly societies, insurance, banking or other financial services, insolvency, customer credit or consumer protection, money laundering, market manipulations or insider dealing?
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Are you a subject to any current criminal proceedings?
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Have you ever been given a caution in relation to any criminal offence?
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Have you any convictions for any offences (whether spent or not and whether or not in the United Kingdom) other than those listed in 1 above (excluding traffic offences that did not result in a ban from driving or did not involve driving without insurance)?
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Are you, or have you been, the subject of any civil proceedings, arbitration or litigation including proceedings that may lead to a county court judgement (CCJ) or other judgement depts.
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Are you aware if any intention to begin such proceedings against you in the future?
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Are you or have you ever been, the subject of any bankruptcy (or in Scotland sequestration) proceedings of your estate?
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Have you ever entered into a deed or arrangement or an individual voluntary arrangement (or in Scotland a trust deed) or other agreement in favour of your creditors, or are you doing so?
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Do you have any outstanding financial obligations arising from regulated activity’s, which you have conducted in the past?
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Have you ever been found guilty of conducting any unauthorised regulated activity’s or been investigated for possible conduct of unauthorised regulated activity’s?
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Have you ever been found guilty of conducting any unauthorised regulated activity’s or been investigated for possible conduct of unauthorised regulated activity’s?
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Are you or have you ever been subject to disciplinary action, investigation into allegations of misconduct or malpractice, warning, formal or in formal in connection with any business activity?
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Have you ever been refused entry to, been dismissed or requested to resign from any employment, profession, or from any position of trust, whether or not remunerated?
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Have you ever been refused, restricted in, or been suspended, the right to carry on any trade, business or profession for which specific licence, authorisation, registration membership or other permission required.
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Have you ever been disqualified by a court from acting as a director of a company or from acting in a management capacity or conducting the affairs of a company, partnership or unincorporated association.
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Have you ever been the subject of a disqualification direction under section 59 of the financial services act 1986 or a prohibition order under section 56 of the financial services act 2000 or received a warning notice to make such an order?
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In respect of activity’s regulated by the FCA or any other regulatory body have you or any company, partnership or unincorporated association of which you are or have been a controller, director, senior manager, partner or company secretary, during your association with that entity and for a period of three years after you ceased to be associated with it ever been refused, had revoked, restricted or terminated, any licence, authorisation, registration, notification, membership or other permission granted by any such body?
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a) been criticised, censured, disciplined,suspended,expelled, fined, or been the subject of any other disciplinary or investigation by such body
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b) decided after making an application for any license, authorisation, registration, notification, membership or any other permission granted by such body, not to proceed with it?
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c) been subject of any civil action which has resulted in a finding against you or it by court.
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Has any company, partnership, or unincorporated association of which you are or have been a controller, director, senior manager, partner, or company secretary at any time during your involvement or within one year of such involvement been put into liquidation, wound up, ceased trading, had a receiver or administrator appointed or entered into any voluntary arrangement with its creditors
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a) been adjudged by a court liable for any fraud, misfeasance (meaning negligence, incompetence or the improper performance of a legal act) wrongful trading or any other misconduct.
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b) been investigated or been involved in an investigation by an inspected appointed under companies or any other legislation, or required to produce documents to the secretary of state or any other authority such as legislation.
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c) been convicted of any criminal offence, censured, disciplined or publicly criticised by any inquiry, by the takeover panel or any other governmental or statutory authority any other regulatory body (other than already indicated under 16b above?
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Is there any information you want to advise to the finance planning group that maybe disclosed in credit checks or references? Where such information might be considered detrimental to you.
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Please provide details of other areas of investment business in which you are involved or which you have financial interest under the financial services &markets act 2000, including offshore interests.
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