ANNEX VI
SELF DECLARATION
(Article 15(2))
In the self-declaration to be provided under Article 15(2)(b), each member of the senior management shall state whether the relevant person falls under any of the following categories:
(a) | has been convicted of any criminal offence; |
(b) | has been subject to or has been notified of any proceedings of a disciplinary nature brought by a regulatory body or of a criminal nature; |
(c) | has been subject to any adverse finding in civil proceedings in connection with the provision of financial services, misconduct, fraud or the management of a legal entity; |
(d) | has to his or her knowledge been subject to any existing or previous investigation by any regulatory authority or government bodies or agencies; |
(e) | has been involved with an undertaking whose registration or authorisation was withdrawn by a regulatory body; |
(f) | has been refused the right to carry on activities which require registration or authorisation by a regulatory body; |
(g) | has been involved in the management of an undertaking which has gone into insolvency, liquidation or administration while this person was connected to the undertaking or within a year of the person ceasing to be connected to the undertaking; |
(h) | has been involved with an undertaking which was investigated or suspended by a regulatory body and which resulted in an enforcement action; |
(i) | has been investigated, suspended or sanctioned by a regulatory body; |
(j) | has been disqualified from acting as a director, disqualified from acting in any managerial capacity, dismissed from employment or other appointment in an undertaking as a consequence of allegations of misconduct or malpractice. |