| a) Have you ever been convicted of any offence involving fraud, theft, false accounting, offences against the administration of public justices (such as perjury, perverting the course of justice and intimidation of witnesses or jurors), serious tax offences or other dishonesty or an offence relating to the companies, building societies, industrial and provident societies, credit unions, friendly societies, insurance, banking or other financial services, insolvency, consumer credit or consumer protection, money laundering, market manipulations or insider dealings? | |
| b) Are you the subject of any current criminal proceedings? | |
| c) Have you any convictions for any offences other than those listed in question 6a (spent or unspent). (Excluding traffic offences unless they resulted in a ban from driving or involved driving without insurance)? | |
| d) Are you or have you ever been the subject of any civil proceedings, arbitration or litigation including proceedings that may lead to a County Court Judgement or other judgement debts? | |
| e) Are you aware of any intention to begin such proceedings against you in the future? | |
| f) Are you or have you ever been the subject of any bankruptcy proceedings or proceedings for the sequestration of your estate? | |
| g) Have you ever entered into a deed of arrangement, an individual voluntary arrangement, a trust deed or other arrangement in favour of your creditors, or are you in the process of doing so? | |
| h) Do you have any outstanding financial obligations arising from regulated activities which have been conducted in the past? | |
| i) Have you been found guilty of conducting any unauthorised regulated activities or been investigated for possible conduct of unauthorised regulated activities? | |
| j) Are you or have you ever been the subject of an investigation into allegations of misconduct or malpractice in connection with any business activity? | |
| k) Have you ever been refused entry to or been dismissed or requested to resign from any profession, vocation, office or employment or from any fiduciary office or position of trust, whether or not remunerated? | |
| l) Have you ever been refused, restricted or had suspended the right to carry out any trade, business or profession for which a specific licence, authorisation, registration, membership or other permission is required? | |
| m) 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 any company, partnership or unincorporated association? | |
| have you ever been the subject of any disqualification direction under section 59 of the Financial Services Act 1986 or a prohibition order under section 56 of the Financial Services and Markets Act 2000 or received a warning notice to make such a direction order | |
| In respect of activities 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 3 years after your association with it ever:- | |
| o) been refused, had revoked, restricted or terminated any licence, authorisation, registration, notification, membership or other permission granted by any such body? | |
| p) been criticised, censured, disciplined, suspended, expelled, fined or been the subject of any other disciplinary or intervention action by such a body? | |
| q) resigned while under investigation by or been required to resign from any such body? | |
| r) decided after making an application for any licence, authorisation, registration, notification, membership or other permission granted by any such body not to proceed with it? | |
| s) been the subject of any civil action which has resulted in a finding against you by a court? | |
| t) Are you aware of any complaints received against you via any previous employment or network? This includes any rejected, upheld and ongoing complaints. | |
| u) Have you ever been removed from a lenders panel? | |