| Have you ever been the subject of a judgement debt or award against you? | No |
| Please give a full explanation of the events in question. You should include all County Court Judgement (s) (CCJs) made against the candidate, whether satisfied or not, and i)the sum and date of all judgement debts, awards or CCJs (whether satisfied or not); and ii)the total number of all judgement debts, awards or CCJs ordered | |
| Have you ever been party to any civil proceedings which resulted in any order against the candidate (other than a judgement debt or award referred to above)? (You should include, for example, injuctions and employment tribunal proceedings.) | No |
| Are you aware of: | |
| a) Any proceedings that have begun or anyone’s intention to begin proceedings against you, for a CCJ or another judgement debt? | No |
| b) More than one set of proceedings, or anyone’s intention to begin more than one set of proceedings, that may lead to a CCJ or other judgement debt? | No |
| c) Anybody’s intention to claim more than £1,000 of CCJs or judgement debts in total from the candidate? | No |
| Do you have any current judgment debts (including CCJs) made under a court order still outstanding, whether in full or in part? | No |
| Have you ever failed to satisfy any such judgement debts (including CCJs) made under a court order still outstanding, whether in full or part, within one year of the order being made? | No |
| Have you ever: | |
| a) Filed for your own bankruptcy or had a bankruptcy petition served on you? | No |
| b) Been adjudged bankrupt? | No |
| c) Been the subject of a bankruptcy restrictions order (including an interim bankruptcy restrictions order (including an interim bankruptcy restrictions order) or offered a bankruptcy restrictions undertaking? | No |
| d) Made any arrangements with your creditors, for example a deed of arrangement or an individual voluntary arrangement (or in Scotland a trust deed)? | No |
| e) Had assets sequestrated? | No |
| f) Been involved in any proceedings relating to the above matters even if such proceedings did not result in the making of any kind of order against the candidate or result in any kind of agreement with the candidate? | No |
| Do you, or any undertaking under your management, have any outstanding financial obligations arising from regulated activities, which have been carried out in the past (whether or not in the UK or overseas)? | No |
| Have you ever been adjudged by a court or tribunal (whether criminal, civil, or administrative) for any fraud, misfeasance, negligence, wrongful trading or misconduct? | No |
| Are you currently: | |
| a) Party to any civil proceedings? (including those covered in this Civil Proceedings section) | No |
| b) Aware of anybody’s intention to begin civil proceedings against the candidate? (You should include any ongoing disputes whether or not such dispute is likely to result in any order against the candidate.) | No |
| Has any firm at which you hold or have held a position of influence ever been: | |
| a) Adjudged by a court civilly liable for any fraud, misfeasance, wrongful trading or other misconduct? | No |
| b)The subject of a judgement debt or award against the firm? (You should include all CCJs made against the firm, whether satisfied or not.) | No |
| c) Party to any other civil proceedings which resulted in an order against the firm other than in relation to matters covered in a and b above? | No |
| Is any firm held by you or has been held by you, within the last 12 months from the date of the submission of this form, a position of influence currently: | |
| a) A party to civil proceedings? | No |
| b) Aware of anyone’s intention to begin civil proceedings against them? | No |
| Has any company, partnership, or unincorporated association of which you are or have been a controller, director, senior manager, partner or company secretary, in the United Kingdom or elsewhere, 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 it’s creditors? | No |
| 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)? | No |
| b) The subject of any proceedings of a disciplinary nature (whether or not the proceedings resulted in any finding against you)? | No |
| c) The subject of any investigation which has led or might lead to disciplinary proceedings? | No |
| d) Notified of any potential proceedings of a disciplinary nature against you? | No |
| 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.) | No |
| 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? | No |
| 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? | No |