| Although the information requested relates to the United Kingdom, information must also be given in respect of any comparable provisions overseas. | |
| i. Has the firm ever been publicly censured, disciplined, suspended or expelled by the FCA, another Regulator, a clearing house, an exchange, a professional body or a government body or agency or any other organisation, body or association (e.g MCCB, GISC, NAEA)? | No |
| ii. Is the firm currently the subject of any disciplinary proceeding by the bodies specified at above or are you aware that such proceedings are pending? | No |
| iii. Has the firm ever been the subject of a formal investigation under the powers in | |
| a) The Insurance Companies Act 1982? | No |
| b) The Companies Act 1985? | No |
| c) The Financial Services Act 1986? | No |
| d) The Financial Services & Markets Act 2000? | No |
| iv. Whether the firm has had anything equivalent to i or iii above occur under the relevant overseas provisions. | No |
| v. Criminal or civil proceedings – is the firm a defendant in any current civil proceedings connected with professional activities in which an allegation of fraud or dishonesty is being made, the subject of any current criminal proceedings, or has been convicted of any criminal offence, either in the United Kingdom or overseas? | No |
| vi. In the case of a company, been the subject of an application to dissolve it or to strike it off the Register of Companies | No |
| vii. Has the firm ever had a petition presented, or a meeting summoned to consider a resolution, to wind up the company, or has it been wound up. | No |
| viii. Has the firm ever had a receiver, administrative receiver or administrator appointed, in respect of the whole or any part of its property? | No |
| ix. Has the firm ever had an administrator, receiver or trustee in bankruptcy appointed, or an application made for such appointment? | No |
| x. Has the firm ever made a composition or arrangement with one or more of it creditors, or made proposals for such? | No |
| xi. Has the firm had an application for an interim order made against it under section 252 of the Insolvency Act 1986 (or, in Northern Ireland, section 227 of the Insolvency (Northern Ireland) Order 1989). | No |
| xii. Has the firm ever ceased trading in circumstances in which any of its creditors did not receive full payment? | No |
| xiii. Has the firm had anything equivalent to i or xiii above occur under relevant overseas law? | No |
| xiv. Has the firm ever had any judgement debt entered against it | No |
| xv. Is the firm, or has it ever been, in arrears in its dealings with Inland Revenue, HM Customs and Excise. | No |
| xvi. Please provide details in respect of the business, company or firm stated in 1i and 1ii. | |
| a) Has any authorisation, licence registration, membership of or registration by any association of dealers in securities, any stock exchange, any statute body or other professional body ever been refused, revoked or withdrawn? | No |
| b) Has the firm ever resigned from or discontinued an application or membership or authorisation to any such body? | No |
| c) Has any authorisation to carry on insurance, investment or banking business ever been refused, revoked or withdrawn? | No |
| d) Has Professional Indemnity Insurance ever been withdrawn or refused? | No |
| e) Has the firm ever resigned from or discontinued an application for membership or authorisation to, any such body? | No |
| f) Has the firm ever been an Agent, Appointed Representative firm or Introducer Appointed Representative firm for Stonebridge Group? | No |
| xx. Has the business, company or firm at any time been indebted to, where a debt balance remains outstanding: | |
| a) Any other member of the FCA/PIA or associate of any such member? | No |
| b) Any other person who is authorised or exempted under the Financial Services and Markets Act 2000? | No |
| c) The FCA, PIA or any other self-regulating organisation, any recognised professional body or SIB? | No |
| d) The Investors Compensation Scheme? | No |