| In relation to activities regulated by the FCA and/or PRA or any other regulatory body, have:
• You, or;
• Any company, partnership or unincorporated associate of which you are or have been a controller, director, senior manager, partner or company secretary, during your association with the entity and for a period of three years after you ceased to be associated with it, ever – | |
| a Been refused, had revoked, restricted, been suspended from or terminated, any licence, authorisations, registration, notification, membership or any other permission granted by any such body? | |
| b Been criticised, censured, disciplined, suspended, expelled, fined or been the subject of any other disciplinary or interventional action by any such body? | |
| c Received a warning (whether public or private) that such disciplinary or interventional action may be taken against you or the firm? | |
| d Been the subject of an investigation by any regulatory body, whether or not such an investigation resulted in a finding against you or the firm? | |
| e Been required or requested to produce documents or any other information to any regulatory body in connection with such an investigation (whether against the firm or otherwise)? | |
| f Been investigated or been involved in an investigation by an inspector appointed under companies or any other legislation, or required to produce documents to the Secretary of State, or any other authority, under any such legislation? | |
| g Ceased operating or resigned whilst under investigation by any such body or been required to cease operating or resign by any regulatory body? | |
| h Decided, after making an application for any licence, authorisation, registration, notification, membership or any permission granted by any such body, not to proceed with it? | |
| i Been the subject of any civil action related to any regulated activity which has resulted in a finding by a court? | |
| j Provided payment services or distributed or redeemed e-money on behalf of a regulated firm or itself under any contractual agreement where that agreement was terminated by the regulated firm? | |
| k Been convicted of any criminal offence, censured, disciplined or publicly criticised by any inquiry, by the Takeover Panel or any governmental or statutory authority or any other regulatory body (other than as indicated in this group of questions). | |
| In relation to activities regulated by the FCA/PRA or any other regulatory body, have you or any firm at which you have or have held a position of influence at any time during and within one year of your association with the firm ever: | |
| a Been found to have carried on activities for which authorisation or registration by the FCA/PRA or any other regulatory body is required without the requisite authorisations? | |
| b Been investigated for the possible carrying on of activities requiring authorisation or registration by the FCA/PRA or any other regulatory body without the requisite authorisation whether or not such investigation resulted in a finding against the candidate? | |
| c Been found to have performed a controlled function (or an equivalent function requiring approval by the FCA/PRA or any other regulatory body) without the requisite approval? | |
| d Been investigated for the possible performance of a controlled function (or an equivalent function requiring approval by the FCA/PRA or any other regulatory body) without the requisite approval, whether or not such investigation resulted in a finding against you? | |
| e Been found to have failed to comply with an obligation under the Electronic Money Regulations 2011 or Payment Services Regulations2009 to notify the FCA/PRA of the identity of a person acting in a position of influence over its electronic money or payment services business? | |
| f Been the subject of disqualification direction under section 59 of the Financial Services Act 1986 or a prohibition order under section 56 FSMA, or received a warning notice proposing that such a direction or order be made, or received a private warning? | |