Fitness and Propriety Questionnaire Individual Director or Controller (CM250)
|
|
- Alberta Walton
- 5 years ago
- Views:
Transcription
1 Fitness and Propriety Questionnaire Individual Director or Controller (CM250) Name (Individual) Name of the Corporate Member Membership number (if known) CM250 (May 2012) Page 1 of 6
2 Introduction This questionnaire is to be completed, in block letters, by an individual ( the Applicant ) proposing to be a controller or director of a firm that is, or is applying to become, a corporate member of Lloyd s ( the Corporate Member ). For a new controller application relating to an existing corporate member, please also submit a completed and signed Change of Control Questionnaire. Application to become a Director Yes No a Controller Yes No Please indicate percentage controlling interest (if relevant) % equity interest % voting interest % interest in losses Personal Identification details Title Surname Forenames Date of birth Nationality Place of birth Passport number Please include a certified 1 copy of your passport, national identity card or copy photo driving licence with this application. Please provide details of your private address(es) in the last three years (starting with the most recent) Private address Previous address Previous address 1 Certified by FSA registered individual/company or equivalent Page 2 of 6
3 Personal Identification details cont d 1. Have you previously applied for Membership of Lloyd s? Yes No If yes, when and through which agent? Please give membership number if known 2. Are you an Annual Subscriber at Lloyd s? Yes No 3. Are you an Associate at Lloyd s? Yes No 4. Are you related to (or partner of) an existing/previous member of Lloyd s? Yes No If yes, please state their full name and relationship 5. Are you or have you been a director/controller of any other Corporate Member of Lloyd s Yes No If yes, please give details 6. Are you an employee or the spouse (or partner of) of an employee of the Corporation of Lloyd s or any of its subsidiaries? Yes No If yes, please give details Page 3 of 6
4 Employment details Give a full record of employment over the last five years. Any gaps in employment over the period must be explained. Use additional sheets if necessary. Employed/Self Employed/Retired * Delete as applicable Other-Please state.. Current employment/self employment (month and year) Name Address Nature of business Position(s) held and responsibilities Previous employment/self employment (month and year) Name Address Nature of business Position(s) held and responsibilities Reasons for leaving Previous employment/self employment (month and year) Name Address Nature of business Position(s) held and responsibilities Reasons for leaving Page 4 of 6
5 Fitness and Propriety The following information shall be provided in respect of events within the last ten years both in the United Kingdom and elsewhere. If the answer to any question is YES, please provide further details in a separate attachment and include copies of any relevant documents. 1 Has the Applicant ever been convicted of any offence involving fraud, theft, false Yes No accounting, offences against the administration of public justice (such as perjury, perverting the course of justice and intimidation of witnesses or jurors), serious tax offences or other dishonesty or an offence (whether or not in the United Kingdom) relating to 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 dealing? 2 Is the Applicant the subject of any current criminal proceedings? Yes No 3 Has the Applicant any convictions for any offences other than those listed above which Yes No are not spent, whether or not in the United Kingdom (excluding traffic offences unless these resulted in a ban from driving or involved driving without insurance)? 4 Is the Applicant, or has the Applicant ever been, the subject of any civil proceedings, Yes No arbitration or litigation, including proceedings that may lead to a County Court Judgment ( CCJ ) or other judgment debts, in the United Kingdom or elsewhere? 5 Is the Applicant aware of any intention to begin such proceedings against the Applicant in Yes No the future? 6 Does the Applicant have any judgement debts (including CCJs) made under a court order Yes No still outstanding, whether in full or in part? 7 Has the Applicant ever failed to satisfy any such judgment debts within one year of the Yes No making of the order? 8 Is the Applicant, or has the Applicant ever been, the subject of any bankruptcy proceedings, Yes No or proceedings for the sequestration of the Applicant s estate? 9 Has the Applicant ever entered into a deed of arrangement or an individual voluntary Yes No arrangement (or in Scotland a trust deed) or other agreement in favour of the Applicant s creditors, or is the Applicant doing so? 10 Does the Applicant have any outstanding financial obligations arising from regulated Yes No activities, which the Applicant has conducted in the past, whether in the United Kingdom or overseas? 11 Has the Applicant ever been found guilty of conducting any unauthorised regulated Yes No activities or been investigated for possible conduct of unauthorised regulated activities? 12 Is the Applicant, or has the Applicant ever been, the subject of an investigation into Yes No allegations of misconduct or malpractice in connection with any business activity? 13 Has the Applicant ever, either in the United Kingdom, or elsewhere a been refused entry to, or been dismissed or requested to resign from, any profession, Yes No vocation, office or employment, or from any fiduciary office or position of trust, whether or not remunerated b been refused, restricted in, or had suspended, the right to carry on any trade, business or Yes No profession for which specific licence, authorisation, registration, membership or other permission is required? Page 5 of 6
6 c been disqualified by a court from acting as a director of a company or from acting in Yes No a management capacity or conducting the affairs of any company, partnership or unincorporated association? d been the subject of a disqualification direction under section 59 of the Financial Services Yes No 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 or order? 14 In respect of activities regulated by the FSA or any other regulatory body, has the Applicant, or has any company, partnership or unincorporated association of which the Applicant is or has been a controller, director, senior manager, partner or company secretary, during the Applicant s association with that entity and for a period of three years after the Applicant ceased to be associated with it, ever a been refused, had revoked, restricted or terminated, any licence, authorisation, Yes No registration, notification, membership or other permission granted by any such body? b been criticised, censured, disciplined, suspended, expelled, fined, or been the subject of Yes No any other disciplinary or intervention action by any such body? c resigned whilst under investigation by, or been required to resign from, any such body? Yes No d decided, after making an application for any licence, authorisation, registration, notification, Yes No membership or other permission granted by any such body, not to proceed with it? e been the subject of any civil action which has resulted in a finding against the Applicant or Yes No it by a court? 15 Has any company, partnership, or unincorporated association of which the Applicant is or has been a controller, director, senior manager, partner, or company secretary, in the United Kingdom or elsewhere, at any time during the Applicant s involvement or within one year of such an involvement a been put into liquidation, wound up, ceased trading, had a receiver or administrator Yes No appointed or entered into any voluntary arrangement with its creditors? b been adjudged by a court liable for any fraud, misfeasance, wrongful trading or other Yes No misconduct? c been investigated or been involved in an investigation by an inspector appointed under Yes No companies or any other legislation, or required to produce documents to the Secretary of State, or any other authority, under any such legislation? d been convicted of any criminal offence, censured, disciplined or publicly criticised, by any Yes No inquiry, by the Takeover Panel or any governmental or statutory authority or any other regulatory body (other than as already indicated under 14(b) above)? I hereby certify that the information supplied to Lloyd s is, to the best of my knowledge and belief, accurate in all material respects and does not omit any information relating to me which might reasonably be considered relevant to my application to become a controller or director of a corporate member of Lloyd s. Furthermore, I hereby undertake and agree that I shall immediately notify Lloyd s of any changes in the information provided in this form which occur after the date of submission of this application. Signature Date Page 6 of 6
B. The purpose of these directions is to amend the forms set out in the Annexes to this notice.
DIRECTION NOTICE Powers exercised A. The Prudential Regulation Authority ( PRA ) gives the directions contained in this notice in the exercise of the following powers and related provisions in the Financial
More informationForm D Notification - Changes to personal information/application details and conduct breaches/disciplinary action related to conduct
Application number (for FCA/PRA use only) The FCA has produced notes which will assist both the firm and the approved person in answering the questions in this form. Please read these notes, which are
More informationIndividual Prospect Checklist
Individual Prospect Checklist Prior to an individual being authorised through our network, it is necessary to establish whether they can be considered as fit and proper, as defined by the Financial Conduct
More informationApplication for Authorisation
(NOTES) Approved Person Application Application for Authorisation Notes to assist with the completion of the Long and/or Short Form A for both UK and the Overseas, and Incoming EEA firms, when making an
More informationCENTRAL BANK OF BAHRAIN. Form 5: Application for Registration of Appointed Representative
Name of Firm: Name of Appointed Representative: CENTRAL BANK OF BAHRAIN Form 5: Application for Registration of Appointed Representative (Application for registration of appointed representative in the
More informationCENTRAL BANK OF BAHRAIN
Volume 6 CENTRAL BANK OF BAHRAIN MAE Form 3: Application for Approved Person Status (Application for approved person status in the Kingdom of Bahrain) Volume 6 MAE Form 3: Application for Approved Person
More informationCentral Bank of Bahrain. Form 3: Application for Approved Person Status (Application for approved person status in the Kingdom of Bahrain)
Form 3: Application for Approved Person Status (Application for approved person status in the Kingdom of Bahrain) This form was last updated in July 2018 Form 3: Application for Approved Person Status
More informationCENTRAL BANK OF BAHRAIN. Form 3: Application for Approved Person Status (Application for approved person status in the Kingdom of Bahrain)
Name of (Proposed) Licensee CENTRAL BANK OF BAHRAIN Form 3: Application for Approved Person Status (Application for approved person status in the Kingdom of Bahrain) (This form was last updated in October
More informationDIRECTORS AND OFFICERS QUESTIONNAIRE
BANK of ZAMBIA DIRECTORS AND OFFICERS QUESTIONNAIRE STATEMENT BY INDIVIDUALS WHO ARE HOLDING, OR ARE PROPOSING TO HOLD, THE OFFICE OF A DIRECTOR OR AN EXECUTIVE OFFICER OF A BANK, FINANCIAL INSTITUTION,
More informationCENTRAL BANK OF BAHRAIN. Form 3: Application for Approved Person Status (Application for approved person status in the Kingdom of Bahrain)
Name of (Proposed) Licensee CENTRAL BANK OF BAHRAIN Form 3: Application for Approved Person Status (Application for approved person status in the Kingdom of Bahrain) Form 3: Application for Approved Person
More informationCENTRAL BANK OF BAHRAIN. Form 3: Application for Approved Person Status (Application for approved person status in the Kingdom of Bahrain)
CENTRAL BANK OF BAHRAIN Form 3: Application for Approved Person Status (Application for approved person status in the Kingdom of Bahrain) Form 3: Application for Approved Person Status Table of Contents
More informationCENTRAL BANK OF BAHRAIN. Form 2: Application for Authorisation of Controller (Application for authorisation of controller in the Kingdom of Bahrain)
CENTRAL BANK OF BAHRAIN Form 2: Application for Authorisation of Controller (Application for authorisation of controller in the Kingdom of Bahrain) (This form was last updated in July 2018) Form 2: Application
More informationPersonal Questionnaire Form
FINANCIAL SERVICES AUTHORITY Bois De Rose Avenue P.O. Box 991 Victoria Mahé Seychelles Tel: +248 4380800 Fax: +248 4380888 Website:www.fsaseychelles.sc Email: enquiries@fsaseychelles.sc Page 1 of 9 Instructions
More informationPlease use BLOCK CAPITALS and black ink throughout and retain a photocopy of the completed form for future reference. Full name Title Date of birth
PIB (UK) 2017 Application for registration of a non-acca partner/director/controller or a non-partner/director responsible for Exempt Regulated Activities work in a firm seeking Exempt Regulated Activities
More informationApplication to appoint authorised individual; Head of Legal Practice; or Head of Finance and Administration
Application to appoint authorised individual; Head of Legal Practice; or Head of Finance and Administration This form is for accredited probate firms that wish to appoint a new authorised individual. An
More informationAPPLICATION FOR REGISTRATION AS AN AUTHORISED DEALER WITH LIMITED AUTHORITY (ADLA) TIER 3 - BUREAU DE CHANGE. answer Not applicable or Not known.
APPLICATION FOR REGISTRATION AS AN AUTHORISED DEALER WITH LIMITED AUTHORITY (ADLA) TIER 3 - BUREAU DE CHANGE INSTRUCTIONS ON HOW TO COMPLETE THIS FORM i. Attach Annexure wherever necessary. ii. Do not
More informationCENTRAL BANK OF BAHRAIN. Form 2: Application for Authorisation of Controller (Application for authorisation of controller in the Kingdom of Bahrain)
CENTRAL BANK OF BAHRAIN Form 2: Application for Authorisation of Controller (Application for authorisation of controller in the Kingdom of Bahrain) Form 2: Application for Authorisation of Controller Table
More informationNON-BANK FINANCIAL INSTITUTIONS REGULATORY AUTHORITY (NBFIRA)
NON-BANK FINANCIAL INSTITUTIONS REGULATORY AUTHORITY (NBFIRA) FIT AND PROPER PERSON RULES FOR CONTROLLERS In terms of Section 4 (2) (d) of the NBFIRA Act, 2016 Version 1 of 2017 TABLE OF CONTENTS 1. INTRODUCTION...
More informationAPPENDIX 3A DIRECTOR S DECLARATION
APPENDIX 3A DIRECTOR S DECLARATION This form of declaration is to be entered into by each director and proposed director (or comparable official) of an issuer, other than a director of an issuer of specialist
More informationAPPENDIX IV PERSONAL QUESTIONNAIRE
APPENDIX IV PERSONAL QUESTIONNAIRE TO BE COMPLETED BY ANY PERSON INTENDING TO BECOME A CONTROLLER OR OFFICER OF AN ENTITY LICENSED UNDER THE INVESTMENT FUNDS ACT 2006 Please return this form to:- Banking,
More informationAppointment Procedure for Members of the Board of MTR Corporation Limited (the Company )
Appointment Procedure for Members of the Board of MTR Corporation Limited (the Company ) Subject to the Company s Articles of Association (the Articles ), the Company may, by passing an ordinary resolution,
More informationSTATUTORY INSTRUMENTS. S.I. No. 302 of 2017 COMPANIES ACT 2014 (PRESCRIBED FORM CATEGORY 5 LIQUIDATORS) REGULATIONS 2017
STATUTORY INSTRUMENTS. S.I. No. 302 of 2017 COMPANIES ACT 2014 (PRESCRIBED FORM CATEGORY 5 LIQUIDATORS) REGULATIONS 2017 2 [302] S.I. No. 302 of 2017 COMPANIES ACT 2014 (PRESCRIBED FORM CATEGORY 5 LIQUIDATORS)
More informationForm C2 Declaration Form (Nominee Agent)
Important note: The form must be completed by the nominee agent. Please answer all questions. Please submit the completed form to your Primary Principal. Do not send this form to General Insurance Association
More informationApplication for Financial Services Permission
Application for Financial Services Permission Financial Services Regulatory Authority (FSRA) Extend or vary Approved Person status (EVAP) Form This form must be submitted by an Authorised Person applying
More informationTHE LAW SOCIETY OF UPPER CANADA APPLICATION FOR A PERMIT AS A FOREIGN LEGAL CONSULTANT UNDER BY-LAW 14
THE LAW SOCIETY OF UPPER CANADA LSFORMS@LSUC.ON.CA COMPLAINTS & COMPLIANCE 130 QUEEN STREET WEST, TORONTO, ON M5H 2N6 PHONE: 416-947-3315 OR 1-800-668-7380 EXT. 3315 THE LAW SOCIETY OF UPPER CANADA APPLICATION
More informationPension and Provident Funds (Amendment) Regulations, 2017 (No. 24)
Statutory Instrument 80 of 2017. [CAP. 24:09 Pension and Provident Funds (Amendment) Regulations, 2017 (No. 24) IT is hereby notified that the Minister of Finance and Economic Development has, in terms
More informationTHESE REGULATIONS ARE MADE PURSUANT TO RULE J1(F) OF THE ASSOCIATION.
OWNERS AND DIRECTORS TEST 2016-2017 331 THESE REGULATIONS ARE MADE PURSUANT TO RULE J1(F) OF THE ASSOCIATION. Regulations for the Owners and Directors Test For Clubs Competing in The Football Conference
More informationReturn the form to: Authorisation, ACCA, 2 Central Quay, 89 Hydepark Street, Glasgow G3 8BW, United Kingdom.
2014 ERA Application for Exempt Regulated Activities registration (UK) This form should be completed if you wish your firm to undertake exempt regulated activities through ACCA under the Financial Services
More informationApplication to register as an Authorised Legal Activities Individual ( ALAI ) Probate from an individual who is not a member of ACCA
ALAI 2019 (non-member) Application to register as an Authorised Legal Activities Individual ( ALAI ) Probate from an individual who is not a member of ACCA This form should be completed only by an individual
More informationCHAPTER 260 MONEY SERVICES BUSINESS ACT
CHAPTER 260 MONEY SERVICES BUSINESS ACT Act Subsidiary Legislation ACT Act No. 27 of 2005 ARRANGEMENT OF SECTIONS 1. Short title and commencement. 2. Interpretation. 3. Application of the Act. 4. Requirement
More informationApplication to register as an ATOL Reporting Accountant ( ARA ) from an individual who is not a member of ACCA
ATOL 2019 (non-member) Application to register as an ATOL Reporting Accountant ( ARA ) from an individual who is not a member of ACCA This form should be completed only by an individual who is not a member
More informationAbu Dhabi Investment Authority Form ASP1 Ancillary Service Provider Application for registration
(For ADIA use only) Form ASP1 Ancillary Service Provider Application for registration Name of applicant The appropriate forms and supplements must be submitted if you wish to carry on one or more Ancillary
More information2008 No. 29 NATIONAL HEALTH SERVICE, WALES. The Alternative Provider Medical Services (Wales) Directions 2008
SUBORDINATE LEGISLATION 2008 No. 29 NATIONAL HEALTH SERVICE, WALES The Alternative Provider Medical Services (Wales) Directions 2008 Made - - - - 15 th September 2008 Coming into force - - 16 th September
More informationThe Law Society of Upper Canada s By-Law 4 is available for your information at:
THE LAW SOCIETY OF UPPER CANADA CHECKLIST TO THE APPLICATION FOR LICENCE UNDER THE NATIONAL MOBILITY AGREEMENT OR THE TERRITORIAL MOBILITY AGREEMENT AND SUBSECTION 9(2) OF BY-LAW 4 Instructions to the
More informationMANDATORY PROVIDENT FUND SCHEMES ORDINANCE (CAP. 485) ( the Ordinance )
Annex C to V.6 FORM OI-TI MANDATORY PROVIDENT FUND SCHEMES ORDINANCE (CAP. 485) ( the Ordinance ) APPLICATION FOR APPROVAL OF APPOINTMENT OF TRUSTEE (for applicant who is a natural person) NOTES: (1) The
More informationFinancial Services and Markets Act 2000
Financial Services and Markets Act 2000 2000 Chapter c.8 ARRANGEMENT OF SECTIONS PART I THE REGULATOR Section 1.The Financial Services Authority. The Authority's general duties 2. The Authority's general
More informationSWORN DECLARATION. 1. Identification of the undersigned person. Last name of the undersigned (as indicated on the identity card or passport)
SWORN DECLARATION 1. Identification of the undersigned person Last name of the undersigned (as indicated on the identity card or passport) First name(s) of the undersigned (as indicated on the identity
More informationPERSONAL INFORMATION FORM
PERSONAL INFORMATION FORM This Form constitutes Form 4 for Toronto Stock Exchange, operated by TSX Inc. ( TSX ) and Form 2A for TSX Venture Exchange, operated by TSX Venture Exchange Inc. ( TSX Venture
More informationForm CR (Revised in Apr 2017) Page 1 HONG KONG INSTITUTE OF CERTIFIED PUBLIC ACCOUNTANTS CHARACTER REFERENCE
Form CR (Revised in Apr 2017) Page 1 PART I to be completed by the applicant Name of applicant: Name: HONG KONG INSTITUTE OF CERTIFIED PUBLIC ACCOUNTANTS CHARACTER REFERENCE ( ) (Surname) (Other name)
More informationIsle of Man Financial Services Authority
Isle of Man Financial Services Authority Financial Services Act 2008 Application Form for a Class 1(3) Financial Services Licence to act as a Representative Office of a deposit taker / bank (this form
More informationCHARITIES AND TRUSTEE INVESTMENT (SCOTLAND) ACT 2005 EXPLANATORY NOTES
Appendix 1 CHARITIES AND TRUSTEE INVESTMENT (SCOTLAND) ACT 2005 Chapter 9 - Charity trustees Charity trustees: general duties EXPLANATORY NOTES 79. The term "charity trustees" (which is defined in section
More informationApplication to register as an ATOL Reporting Accountant ( ARA )
ATOL 2016 (member) Application to register as an ATOL Reporting Accountant ( ARA ) This form should be completed if you wish to register as an ATOL Reporting Accountant ( ARA ). Please note that your firm
More informationApplication to register as an Authorised Legal Activities Individual ( ALAI ) Probate
ALAI 2019 (member) Application to register as an Authorised Legal Activities Individual ( ALAI ) Probate This form should be completed if you wish to register as an Authorised Legal Activities Individual
More informationAGENCY APPLICATION (CORPORATE)
AGENCY APPLICATION (CORPORATE) To: Agency Department Date: AIG Asia Pacific Insurance Pte. Ltd. AIG Building 78 Shenton Way #07-16 Singapore 079120 From: Company Name: Contact Person: Checklist: Kindly
More informationApplication for a Firm s Investment Business Certificate (Ireland)
IIA 2019 Application for a Firm s Investment Business Certificate (Ireland) Please read carefully section 4 of the Practice Information handbook, which can be found on ACCA s website (www.accaglobal. com/practising),
More informationApplication for a Firm s Auditing Certificate (Ireland)
FAC (Ireland) 2016 Application for a Firm s Auditing Certificate (Ireland) This form should be completed if you wish your firm to be registered by ACCA to act as auditor under the Companies Act 2014 and
More informationAPPLICATION FOR RENEWAL: BROKERAGE
Real Estate Council of Ontario 3300 Bloor St. W. West Tower Suite 1200, Toronto, Ontario M8X 2X2 Website: www.reco.on.ca Tel: 416-207-4800 Toll Free: 1-800-245-6910 Fax: 416-207-4820 E-mail: registration@reco.on.ca
More informationApplication for a Firm s Investment Business Certificate (Ireland)
IIA 2017 Application for a Firm s Investment Business Certificate (Ireland) Please read carefully section 4 of the Practice Information handbook, which can be found on ACCA s website (www.accaglobal. com/practising),
More informationNOTICE OF BROKERAGE/SOLE PROPRIETOR CHANGE
Real Estate Council of Ontario 3300 Bloor St. W. West Tower Suite 1200, Toronto, Ontario M8X 2X2 Website: www.reco.on.ca Tel: 416-207-4800 Toll Free: 1-800-245-6910 Fax: 416-207-4820 E-mail: registration@reco.on.ca
More informationApplication for a Firm s Auditing Certificate (Ireland)
FAC (Ireland) 2019 Application for a Firm s Auditing Certificate (Ireland) This form should be completed if you wish your firm to be registered by ACCA to act as auditor under the Companies Act 2014 and
More informationFAC (Ireland) Application for a Firm s Auditing Certificate (Ireland)
2014 FAC (Ireland) Application for a Firm s Auditing Certificate (Ireland) This form should be completed if you wish your firm to be registered by ACCA to act as auditor under the Companies Act 1990 and
More informationReproduced by Sabinet Online in terms of Government Printer s Copyright Authority No dated 02 February 1998 NOTICE 27 OF 2011
4 No. 34024 GOVERNMENT GAZETTE, 14 FEBRUARY 2011 NOTICE 27 OF 2011 DIRECTIVE PF No.5 Date issued: 10 December 2010 FINANCIAL SERVICES BOARD REPUBLIC OF SOUTH AFRICA PENSION FUNDS ACT (ACT 24 OF 1956) SECTION
More informationNATURAL PERSONS (NP) FIT AND PROPER REQUIREMENTS STATEMENT: UNIT TRUST
NATURAL PERSONS (NP) FIT AND PROPER (FAP) REQUIREMENTS STATEMENT: UNIT TRUST MANAGEMENT COMPANIES Date of submission to NAMFISA: To be completed by all natural persons who may be controlling or participating,
More informationPERSONAL BIOGRAPHICAL AFFIDAVIT
PERSONAL BIOGRAPHICAL AFFIDAVIT Notes: A. This form should be completed by individual applicants and also by each business proprietor, director, shareholder and officer of an applicant company. B. Complete
More informationFORM 11 (Rule 81) Admission Application, Questionnaire & Undertaking
The Law Society of Yukon #202 302 Steele Street Whitehorse, Yukon Y1A 2C5 Phone: 867-668-4231 Fax: 867-667-7556 E-mail: info@lawsocietyyukon.com FORM 11 (Rule 81) Admission Application, Questionnaire &
More informationFit and Proper Person s Test
Agenda Item: Trust Board Paper K TRUST BOARD 5 February 2015 Fit and Proper Person s Test DIRECTOR: AUTHOR: Emma Stevens, Acting Director of Human Resources Emma Stevens, Acting Director of Human Resources/Helen
More informationReal Estate Council of Ontario
Real Estate Council of Ontario 3300 Bloor St. W. West Tower, Suite 1200 Toronto, Ontario M8X 2X2 Tel: 416-207-4800 Toll Free: 1-800-245-6910 Fax: 416-207-4820 E-mail: registration@reco.on.ca Website: www.reco.on.ca
More information5.1.6 Form F5 Personal Information Form and Authorization to Collect, Use and Disclose Personal Information
5.1.6 Form 45-108F5 Personal Information Form and Authorization to Collect, Use and Disclose Personal Information FORM 45-108F5 PERSONAL INFORMATION FORM AND AUTHORIZATION TO COLLECT, USE AND DISCLOSE
More informationApplication to register as an ATOL Reporting Accountant Firm ( ARA Firm )
ATOL 2017 (firm) Application to register as an ATOL Reporting Accountant Firm ( ARA Firm ) This form should be completed if you wish your firm to be registered as an ATOL Reporting Accountant Firm ( ARA
More informationThe Law Society of Upper Canada s By-Law 4 is available for your information at:
THE LAW SOCIETY OF UPPER CANADA CHECKLIST TO APPLICATION FOR A LICENCE UNDER THE NATIONAL MOBILITY AGREEMENT OR THE TERRITORIAL MOBILITY AGREEMENT AND SUBSECTION 9(2) OF BY-LAW 4 Complete all sections
More informationFA2 - Individual Approval Application Form
FA2 - Individual Approval Application Form This is a form to make an application to the SRA by an applicant firm or authorised body for approval of the following: Managers Owners Managers of a corporate
More informationApplication for registration for an entity to be regulated by IPReg
Application for registration for an entity to be regulated by IPReg Name of Entity Trading Name (if different) Companies House Registration Number (if applicable) Country of Incorporation or Registration
More informationConsolidated Practice Committee Rules
Consolidated Practice Committee Rules Health and Care Professions Council (Practice Committees and Miscellaneous Amendments) Rules 2009 Health and Care Professions Council (Investigating Committee) (Procedure)
More informationCONSOLIDATED PRACTICE COMMITTEE RULES
CONSOLIDATED PRACTICE COMMITTEE RULES Health and Care Professions Council (Practice Committees and Miscellaneous Amendments) Rules 2009 Health and Care Professions Council (Investigating Committee) (Procedure)
More informationApplication for direct admission to membership
DM (MICPA) 2019 Application for direct admission to membership A Certified Public Accountant member of the Malaysian Institute of Certified Public Accountants (MICPA), who has successfully completed the
More informationAPPLICATION FOR: CORPORATE SHAREHOLDER (FOR RECORD PURPOSES ONLY)
Real Estate Council of Ontario 3300 Bloor St. W. West Tower Suite 1200, Toronto, Ontario M8X 2X2 Website: www.reco.on.ca Tel: 416-207-4800 Toll Free: 1-800-245-6910 Fax: 416-207-4820 E-mail: registration@reco.on.ca
More informationThe Bar Training Regulations ANNEX A
The Bar Training Regulations ANNEX A Formatted: Right Contents I. Introduction II. III. IV. Admission to Inns of Court The Academic Stage The Vocational Stage V. The Professional Stage VI. VII. VIII. IX.
More informationPART A APPLICANT S DETAILS AND DECLARATION. 1. Mortgage Intermediary name. 2. Mortgage Intermediary is (please tick appropriate):
PART A APPLICANT S DETAILS AND DECLARATION APPLICATION FOR APPOINTMENT TO THE SOCIETY S PANEL OF MORTGAGE INTERMEDIARIES Norwich & Peterborough Building Society is a trading name of Yorkshire Building
More informationAPPLICATION FOR REINSTATEMENT: BROKERAGE
Real Estate Council of Ontario 3300 Bloor St. W. West Tower Suite 1200, Toronto, Ontario M8X 2X2 Website: www.reco.on.ca Tel: 416-207-4800 Toll Free: 1-800-245-6910 Fax: 416-207-4820 E-mail: registration@reco.on.ca
More informationSRA Assessment of Character and Suitability Rules
SRA Assessment of Character and Suitability Rules Introduction All individuals applying for admission or seeking restoration to the roll of solicitors or those applying to become or renewing their registration
More informationPERSONAL INFORMATION FORM
PERSONAL INFORMATION FORM This Form constitutes Form 4 for Toronto Stock Exchange, operated by TSX Inc. ( TSX ) and Form 2A for TSX Venture Exchange, operated by TSX Venture Exchange Inc. ( TSX Venture
More informationForm C Declaration Form
Form C Declaration Form For individual agents, please answer question numbers 1 to 5 and 7 to 8, and complete page 5. For company registered agents and Trade Specific Agents (TSA), please answer question
More informationOfficial Gazette of the Republic of Srpska Number 61/16 UNOFFICIAL TRANSLATION
Official Gazette of the Republic of Srpska Number 61/16 UNOFFICIAL TRANSLATION Pursuant to Article 7, paragraph 2, indent 7, of Article 9, paragraph 1, indent 2, Article 60, paragraph 10 and in connection
More informationEDUCATION & CREDENTIALS APPLICATION FORM
EDUCATION & CREDENTIALS APPLICATION FORM TEMPORARY PRACTICE BY LAWYERS FROM JURISDICTIONS PARTICIPATING IN THE NATIONAL MOBILITY AGREEMENT, WHO REQUIRE A PERMIT [Pursuant to Regulation 6.3.4] This application
More informationMANDATORY PROVIDENT FUND SCHEMES AUTHORITY. Guidelines on Notification of Events of Significant Nature
MANDATORY PROVIDENT FUND SCHEMES AUTHORITY II.9 Guidelines on Notification of Events of Significant Nature INTRODUCTION Section 62(1) of the Mandatory Provident Fund Schemes (General) Regulation ( the
More informationA BILL. entitled CORPORATE SERVICE PROVIDER BUSINESS ACT 2012
Corporate Service Provider Business Act 2012 - Draft 6.xml gnjohnson 27 February 2012, 16:00 DRAFT A BILL entitled CORPORATE SERVICE PROVIDER BUSINESS ACT 2012 TABLE OF CONTENTS 1 2 3 4 5 6 7 8 9 10 11
More informationCLEARING MEMBERSHIP AGREEMENT DATED LCH.CLEARNET LIMITED. and. ("the Firm") Address of the Firm
CLEARING MEMBERSHIP AGREEMENT DATED LCH.CLEARNET LIMITED and ("the Firm") Address of the Firm THIS AGREEMENT is made on the date stated above BETWEEN the Firm and LCH.CLEARNET LIMITED ("the Clearing House"),
More informationMICROFINANCE INSTITUTIONS AUTHORISATION MODULE
MICROFINANCE INSTITUTIONS AUTHORISATION MODULE MODULE: AU(Authorisation) Table of Contents AU-A AU-B AU-1 AU-2 AU-3 AU-4 AU-5 Date Last Changed Introduction AU-A.1 Purpose 07/2015 AU-A.2 Module History
More informationImportant: PRINT or TYPE all information in BLACK INK
Real Estate Council of Ontario 3300 Bloor St. W. West Tower Suite 1200, Toronto, Ontario M8X 2X2 Website: www.reco.on.ca Tel: 416-207-4800 Toll Free: 1-800-245-6910 Fax: 416-207-4820 E-mail: registration@reco.on.ca
More informationFORM F4 REGISTRATION OF INDIVIDUALS AND REVIEW OF PERMITTED INDIVIDUALS (section 2.2)
FORM 33-109F4 REGISTRATION OF INDIVIDUALS AND REVIEW OF PERMITTED INDIVIDUALS (section 2.2) GENERAL INSTRUCTIONS Complete and submit this form to the relevant regulator(s) or in Québec, the securities
More informationSTUDENT ADMISSION DECLARATION
STUDENT ADMISSION DECLARATION The data given below will be maintained for membership purposes, in accordance with Regulation EU 2016/679 ( the General Data Protection Regulation ) and the Data Protection
More informationPBA International Society
PBA International Society MEMBERSHIP APPLICATION FORM Please provide as much information as possible to proceed with your application. Any documentation forwarded to the Association, that is not required,
More informationApplication for a Public Accountant Licence
Public Accountants Board of the Province of Nova Scotia PO Box 8, Tatamagouche, NS B0K 1V0 e-mail: applications@pabns.com web: www.pabns.com Application for a Public Accountant Licence Pursuant to By-law
More informationCity Province Country Postal Code
Law Society of Yukon #304 104 Elliott Street Whitehorse, Yukon Y1A 0M2 Phone: 867-668-4231 Fax: 867-667-7556 FORM 11A (Rule 86) Application - Certificate of Permission to Act Complete this application
More informationIntroduction and background
Guidance Notes For Applicants Relating to the criteria applied by the Council of the Law Society of Scotland in considering whether a person is a fit and proper person to be a solicitor in Scotland. Introduction
More informationAdmission to ACCA membership under the European Communities (Recognition of Professional Qualifications) Regulations (Directive 2013/55/EU)
PQD 2019 Admission to ACCA membership under the European Communities (Recognition of Professional Qualifications) Regulations (Directive 2013/55/EU) Please read the whole of this form carefully before
More informationAPPLICATION FOR REINSTATEMENT: PARTNERSHIP
Real Estate Council of Ontario 3300 Bloor St. W. West Tower Suite 1200, Toronto, Ontario M8X 2X2 Website: www.reco.on.ca Tel: 416-207-4800 Toll Free: 1-800-245-6910 Fax: 416-207-4820 E-mail: registration@reco.on.ca
More informationApplication for direct admission to membership
DM (CA ANZ) 2018 Application for direct admission to membership If you are a current member in good standing of Chartered Accountants Australia and New Zealand (CA ANZ) you may be eligible to apply for
More informationSTATEMENT OF INSOLVENCY PRACTICE 3A (SCOTLAND) 2009 TRUST DEEDS
STATEMENT OF INSOLVENCY PRACTICE 3A (SCOTLAND) 2009 TRUST DEEDS 1 INTRODUCTION 1.1 This Statement of Insolvency Practice (SIP) is one of a series of guidance notes issued to licensed insolvency practitioners
More informationEducation Legislation Amendment (Staff) Act 2006 No 24
New South Wales Education Legislation Amendment (Staff) Act 2006 No 24 Contents Page 1 Name of Act 2 2 Commencement 2 3 Amendment of Teaching Service Act 1980 No 23 2 4 Amendment of Technical and Further
More informationApplication for direct admission to membership
DM (CA ANZ) 2019 Application for direct admission to membership If you are a current member in good standing of Chartered Accountants Australia and New Zealand (CA ANZ) you may be eligible to apply for
More informationBERMUDA VIRTUAL CURRENCY BUSINESS ACT 2018 BR/ 2018: TABLE OF CONTENTS PART 1 PRELIMINARY
BERMUDA VIRTUAL CURRENCY BUSINESS ACT 2018 BR/ 2018: TABLE OF CONTENTS PART 1 PRELIMINARY 1. Citation 2. Interpretation 3. Meaning of "director", "controller", "senior executive" and "associate" 4. Carrying
More informationBERMUDA INVESTMENT BUSINESS ACT : 20
QUO FA T A F U E R N T BERMUDA INVESTMENT BUSINESS ACT 2003 2003 : 20 TABLE OF CONTENTS 1 2 3 4 5 6 7 8 9 10 11 12 13 PART I PRELIMINARY Short title and commencement Interpretation Investment and investment
More informationBERMUDA TRUSTS (REGULATION OF TRUST BUSINESS) ACT : 22
QUO FA T A F U E R N T BERMUDA TRUSTS (REGULATION OF TRUST BUSINESS) ACT 2001 2001 : 22 TABLE OF CONTENTS 1 2 3 4 4A 5 6 7 8 9 10 11 11A 12 13 14 15 16 17 18 19 20 21 22 PRELIMINARY Short title and commencement
More informationApril Under the European Union (Payment Services) Regulations 2018 and the European Communities (Electronic Money) Regulations 2011(as amended)
Guidance on the Specific Requirements that apply to persons seeking approval for a Pre-Approval Controlled Function role in a Payment Institution or Electronic Money Institution Under the European Union
More informationINSTRUMENT AND ARTICLES OF GOVERNMENT
New College Stamford Corporation INSTRUMENT AND ARTICLES OF GOVERNMENT Approved by New College Stamford Corporation 17 October 2018 Instrument and Articles Sept 2018 1 Instrument of Government Contents
More informationFORM 11 (Rule 81) Admission Application
FORM 11 (Rule 81) Admission Application Law Society of Yukon #304 104 Elliott Street Whitehorse, Yukon Y1A 0M2 Phone: 867-668-4231 Fax: 867-667-7556 Complete this application fully and precisely; omissions
More informationCOMPANIES BILL Unofficial version. As amended in Report Stage (Dáil) on 25 th March and 2 nd April 2014
COMPANIES BILL 2012 Unofficial version As amended in Report Stage (Dáil) on 25 th March and 2 nd April 2014 v1.02.04.2014 Disclaimer: Whilst every care has been taken in reflecting the changes made at
More informationIf yes please provide details (on a separate sheet of paper)
Passport size photograph Attach here THE LAW SOCIETY OF SCOTLAND APPLICATION FOR A PRELIMINARY ENTRANCE CERTIFICATE TO ENTER INTO A PRE-PEAT TRAINING CONTRACT This Application MUST be lodged at least four
More information1. Important information
For office use only Admin initials CPD status 1. Important information FtP status Contact updated 1.1 Payment of the fee of 81 must be submitted with this application. This fee is non-refundable. Please
More information