| Have you ever been: | |
| a) Disqualified from acting as a director or similar position (one where you act in a management capacity or conduct the affairs of any company, partnership or unincorporated association)? | |
| b) The subject of any proceedings of a disciplinary nature (whether or not the proceedings resulted in any finding against you)? | |
| c) The subject of any investigation which has led or might lead to disciplinary proceedings? | |
| d) Notified of any potential proceedings of a disciplinary nature against you? | |
| e) The subject of an investigation into allegations of misconduct or malpractice in connection with any business activity? (This question covers internal investigation by an authorised firm, as well as investigation by a regulatory body, at any time.) | |
| Have you ever been refused entry to, or been dismissed, suspended or requested to resign from, any professional, vocation, office or employment, or from any fiduciary office or position of trust whether or not remunerated? | |
| Do you have any material written complaints made against you by your clients or former clients which you have accepted, or which are awaiting determination, or has been upheld – by an ombudsman or complaints scheme? | |